red risks and actions to change status appendix ccommitteedmz.dartford.gov.uk/documents/s9530/risk...

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Red Risks and Actions to change status APPENDIX C

Managed By: Head of Finance & Resources

Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date

Progress

07-FR1(R001) Suitable

procurement solution

not available or cost

prohibitive

FR1.1(R) Electronic Procurement Cycle- Review options and opportunities (07); FR1.2(R) Electronic Procurement Cycle - present report on Business case (07)

31/12/2007

31/03/2008

07-FR7(R007)

Consultation papers on

concessionary fares

and LABGI final

proposal are not fair

for Dartford

Dartford will lose substantial sums of grant

FR7.1(R) Government grant for Concessionary Fares (07); FR8.1 LABGI Scheme (07)

31/01/2008

31/01/2008

07-FR9(R008)

Timescales for AMP

will slip if full

resources are not

available

Impact on customers at Acacia Hall and budget, energy efficieincies not realised

FR9.1 Annual review of AMP approved by GAC (07); FR9.2 Complete priority items from AMP Action Plan (07); FR9.3 Deliver programme of improvements to agreed timescales (07); FR9.4 Produce policy and action plan for reducing the Council's use of Energy (07)

31/10/2007

30/06/2007

31/03/2008

31/12/2007

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Managed By: Benefits Manager


Progress

07-B1(R002) Loss of

key trained Staff

Loss of processing impacting on customers Loss of subsidy

07-B10(R008)

Academy mobile does

not function.

B10.1(R) Add CT & Welfare to Academy - Work with IT department to roll out product and train staff ( 07)

30/09/2007

07-B2(R004)

Overpayments not

recovered promptly

B6.1 Increase HB overpayments recovered ( 07)

30/06/2007

07-B8(R007) On-line

claim system for new

benefit customers does

not function.

B8.0(R) Introduce online claims for new customers - Work with IT department to roll out product and train staff ( 07); B8.1(R) Liaise with IT section on testing and implementation of the new online claims system.(07); B8.2(R) Arrange training once implementation of online system is complete

31/10/2007 31/08/2007 31/10/2007

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Managed By: Project Director


Progress

07-MP1(R002)TB

Failure to supply

specification and

marketing strategy for

Council approved by

deadline.

Delay in sale of Tranche 2 of residential Phase 1 with loss of

revenue. Delay in meeting the original target within Development Agreement with George Wimpey.

MP1.1(R) (TB) Work with Prologis to deliver

Fastrack Route A (07)

31/03/2008

07-MP3(R004)SL If not

available, premises not

acceptable to end user.

End user unwilling to complete lease. New occupier needed.

MP3.0(R) Complete Outdoor bowls project by July 2007.

30/09/2007

07-MP3(R005)SL

Unforseen contract

delays

Delay in completion

07-MP6(R008)PP

Outstanding

defects/works not

completed by

November 2007.

Potential additional costs and legal action against contractors

MP6.1(R) Meet consultant on a regular basis to ensure defects work carried out. (07)

31/12/2007

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Managed By: Drainage Engineering Manager


Progress

07-DCP1(R001)

Interim arrangements

create a period of

uncertainty.

Difficulty with enforcement of statutory Notices

DCP1.1(R) To ensure the smooth transition of private

sewer responsibilities to the sewerage undertakers (07); 07-DCP1(R001) DEFRA & Water Co's: Prioritise the work bearing in mind the impending operational changes

31/03/2008 31/03/2008

07-DCP2(R002) That

the work is not

completed and the

Gypsies and Travellers

Grant is repayable

Unable to undertake the project due to lack of funding

DCP2.1(R) Complete the design and construction of first-time sewerage at Claywood Lane/Sandy Lane, Bean. (07); DCP2.2 Obtain planning application for caravan site extension and prepare contract documents for the second phase of the project (07); 07-DCP2(R002) Gypsy & Traveller Grants: Implement a firm programme for completion of works on time.

31/07/2008 31/07/2008 31/07/2008

07-DCP3(R003)

Landowners are not

sufficiently aware of

the responsibility for

closing tidal flood

gates

Widespread flooding because the Thames tidal flood defences are not sealed

DCP3.1(R) Issue revised directions to Thames Tidal Gate owners.(07); DCP3.2 Exercise the flood warning process (07); 07-DCP3(R003) Issue revised direction & information to landowners & exercise flood gate process.

01/08/2007

31/10/2007 31/10/2007

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Managed By: Policy & Improvement Manager


Progress

07-PIM1(R001)

Corporate Plan not

produced

No direction or mechanism to judge the Council's performance in VfM and other targets and use of resources, poor external inspection scores and lower satisfaction results,

PIM1.1 consult relevant officers about Corporate themes aims and objectives; PIM1.2 Draw together evidence base about Dartford area profile, including consultation

results; PIM1.3 Identify critical success factors for the agreed aims and objectives in the Corporate Plan; PIM1.4 Produce a first draft of the Corporate Plan for Management Team; PIM1.5 Final draft prepared for Cabinet discussion; PIM1.6 Take report to Cabinet/GAC; PIM1.7 Final document designed and printed; PIM1.8 Plan disseminated to Members, managers and staff

01/09/2007 01/09/2007

30/11/2007 30/11/2007 31/12/2007 31/01/2008 30/04/2008 30/04/2008

07-PIM12(R012) Poor

assessment score

Lower reputation with external assessors, poor press, nationally and locally

PIM17.1 Identify main aspects of the service to be reviewed; PIM17.2 Identify poor performing elements of service and actions necessary to improve performance; PIM17.3 Produce draft self assessment

01/08/2007

01/10/2007

31/03/2008

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Progress

07-PIM4(R004) Failure

to properly identify and

manage risks across

the Council

Vulnerability to legal, financial and political challenge

PIM4.1 Identify KEY corporate risks and update the Corporate Risk register PIM4.2 Update the Corporate Risk register; PIM4.3 Identify training for staff and members on risk; PIM4.4 Identify the main risks associated with the Local Strategic Partnership and the Sustainable Community Strategy

30/09/2007 31/08/2007 31/01/2008 31/12/2007

07-PIM9(R009) Failure

to introduce a system

for the management of

Consultation

PIM14.1 Specify system and

tender; PIM14.2 Introduce system

01/09/2007 01/11/2007

Managed By: Information Technology Manager (Delivery)


Progress

07-IT3(R002) systems

not used to best effect

Service levels lower than need be, costs are higher.

IT3.1(R) support and maintain application systems (07)

31/03/2008

7


Progress

07-IT4(R003) online

services not developed

Service levels lower than need be, costs are higher.

IT4.0(R) Participate in corporate fitness check (07)

31/03/2008

07-IT6(R005) potential

improvements not

achieved

service improvements and efficiency gains not realised

IT6.1 Provide adequate IT infrastructure to enable sharing of information (07)

31/03/2008

7-IT7(R006) IT may

not be aware of plans

future

Unable to introduce new ways of providing services without delay and considerable cost.

07-P(R002) Suppliers

may increase charges

unnecessarily

Increased Costs P3.1(R) Migrate to the new BS7666 Standard for Addressing

31/12/2007

8


Progress

07-P(R004) The

introduction of HIPS

could increase the

number of searches

requiring processing

Increased or Decreased workload

P16.1 Monitor and manage the introduction of HIPS

31/12/2007

Managed By: Development Control Manager


Progress

07-DC2(R002) Unable

to meet major

application targets

(07)

Performance indicators not met, failure to reach Govt standard could affect CPA and affect Planning Delivery Grant, customer dissatisfaction

DC2.1 Ensure the provision of a responsive planning service by improving response times on major planning applications (07)

31/10/2007

9


Progress

07-DC5(R006) Unable

to meet other

application targets

Performance indicators not met, failure to reach Govt standard could affect CPA and affect Planning Delivery Grant, customer dissatisfaction

DC5.1(R) Determine minor and other planning applications in specified timescales.(07)

31/03/2008

07-DC7(R008) Unable

to implement the

enforcement

improvement plan

Failure to tackle planning enforcement will lead to increased public dissatisfaction, which is likely to result in increased service and/ or Ombudsman complaints

DC7.1 Complete the actions identified in the enforcement improvement plan (07)

31/03/2008

Managed By: Customer Services Manager


Progress

07-CS1(R001) Lack of

organisational support

for delivery of

Customer Service

strategy

Customer Services strategy fails to be delivered

CS1.1 (R) Draft Customer Service Strategy document to be developed (07)

31/10/2008

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Progress

07-CS1(R002) Lack of

resources to deliver

Customer Service

strategy

Customer Services strategy fails to be delivered

CS1.1 (R) Draft Customer Service Strategy document to be developed (07)

31/10/2008

Managed By: Project Delivery Manager


Progress

07-PD1(R001) Cost

overuns and delays ON

Town Centre

improvement program

PD1.1 TC Environmental Improvements - Attend regular contract/client review meetings.(07); PD1.2 TC Environmental Improvements - Project Handover by August 2007 (07)

30/11/2007 30/11/2007

07-PD10(R010) Fail to

progress consultation

(long term Parking

Problems)

PD10.1 Parking - To scope out potential solutions and clarify issues with on site visits (07); PD10.2 Parking - To initiate consultation with local residents (07); PD10.3 Parking - To draw initial recommendations and options from consultation with local residents (07)

30/06/2007 31/09/2007 31/03/2008

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Progress


upload information

(TRO's)

PD11.1 TROs - To scope out existing information and details (07); PD11.2 TROs - To train additional support on Parkmap systems (07); PD11.3 TROs - To input data on TRO’s into Parkmap (07)

31/08/2007 31/02/2008 31/03/2008


undertake liaison

(accessible &

sustainable travel)

PD12.0 Accessible & sustainable travel - Attend relevant stakeholder& partner meetings re: travel plans(07); PD12.1 Accessible & sustainable travel - Attend at least two stakeholder meetings at County level

31/03/2008 31/03/2008

07-PD14(R014) Sports

Awards do not take

place

loss of prestige for the borough and lost opportunity to promote sporting activities within the borough

PD14.0 Dartford Sports Awards - deliver a Sports Award Ceremony (07); PD14.1 Dartford Sports Awards - To agree plan for

Sports Award Ceremony PD14.2 Dartford Sports Awards - initiate arrangements for Sports Award Ceremony(07); PD14.3 Dartford Sports Awards - organise and prepared publicity for Ceremony(07); PD14.4 To deliver Sports Award Ceremony (07)

31/03/2008 30/11/2007

30/11/2007 30/11/2007 31/03/2008

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Progress

07-PD16(R015) Delays

and cost overuns

(Skateboard)

PD16.1(R) Skatepark - To complete building works on new Skatepark (07); PD16.2(R) Skatepark - ensure partner’s access to Barclays Development funds for Skatepark (07); PD16.3 Skatepark - To monitor usage (07)

30/06/2007 30/09/2007 31/03/2008

07-PD17(R016) Failure

to submit application

(Childrens Play Lottery

prog)

PD17.1 Childrens Play Lottery - Co-ordinate corporate& key stakeholders views (07); PD17.2 Childrens Play Lottery -Undertake & complete application form etc.(07)

31/08/2007 30/09/2007

07-PD20(R017) Small

Grants Scheme not

delivered

PD20.1(R) Small Grants - Publicise & organise application rounds for small grant schemes (07); PD20.2 Small Grants -

Organise & administer three grant approval panels with relevant Members (07); PD20.3 Small Grants -To inform and notify relevant groups of outcomes (07); PD20.4(R) Small Grants -To request monitoring information from successful groups.(07)

31/03/2008 31/03/2008

31/03/2008 31/03/2008

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Progress

07-PD21(R018) Unable

to recruit Project

Officer post. Lack of

engagement with

building owners to

deliver scheme.

PD21.1(R) Townscape Heritage-To receive formal approval for THI and assess any additional criteria (07); PD21.2(R) Townscape Heritage-To recruit support worker for project (07); PD21.3(R) Townscape Heritage-To organise, disseminate relevant publicity and application backs (07); PD21.4(R) Townscape Heritage-To undertake initial approvals & ensure expenditure of at least £200,000 (07)

31/08/2007 30/09/2007 31/10/2007 31/03/2008

07-PD24(R021) Local

business protocols not

drawn up

Lost opportunities for local businesses

PD24.1 Work with relevant organisations to develop a protocol for small local businesses. (07)

31/03/2008

07-PD25(R022)

Equality Impact

Assessment forms are

not developed

impacts on BVPI2a

PD25.1 Equalities monitoring form - Spark IT project (07); PD25.2 Equalities monitoring form - Small Grants (07); PD25.3 Equalities monitoring form - Museum Service (07); PD25.4 Equalities monitoring form - Town Centre projects (07)

31/01/2008 30/11/2007 30/09/2007 31/03/2008

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Progress


undertake review

Pedestrianisation )

PD27.1 Contribute to the development of the pedestrianisation of Dartford Town Centre (07)

01/12/2007

07-PD4(R004) Lack of

consensus and delivery

of activities (TC

business Partnership

Board)

Plans not developed or delivered to improve town centre activity

PD4.1 To hold at least two Town Centre Partnership Meetings (07); PD4.2 Provide Town Centre Partnership Meeting with an annual report (07)

31/03/2008 31/03/2008

07-PD5(R005) Failure

to deliver URBAN

targets

PD5.1 S & G Training Scheme - scope out options for exit strategy (07); PD5.2 S & G Training Scheme - provide adequate management & service support & Spark IT project

30/11/2007 31/03/2008

07-PD6(R006) Lack of

liaison with key

partners (employment

& training

opportunities0

PD6.1 Employment opps - Attend at least 4 relevant partnership and key stakeholder meetings (07); PD6.2 Employment opps - Identify at least one opportunity for additional services and/or funding to be directed to DBC (07)

31/03/2008 31/03/2008

15


Progress

07-PD7(R007) DTAC

scheme declines

PD7.1 To monitor and maximise income for the DTAC scheme through quarterly apparaisals of spend (07)

31/03/2008


undertake reviews

(Street Parking &

Control)

PD8.1 Parking Study - Scope out and attain formal approval for undertaking a Parking Study (07); PD8.2 Parking Study - To have drawn out initial

recommendations and potential actions (07)

31/08/2007

31/03/2008

Managed By: Head of Public Realm


Progress

07-PR3(R004) KCC fail

to finalise contract for

construction of new

local waste transfer

station at Pepper Hill

Council fails to meet statutory recycling targets, and CPA rating is marked down

07-PR3(R004) Try to minimise recycling scheme delay due to external factors such as lack of disposal facilities

31/03/2008

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Managed By: Building Control Manager

Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due DateAction due DateAction due DateAction due Date ProgressProgressProgressProgress

07-BC(R002) Technical

or administrative staff

leave

Loss of fee income to the Council.

BC3.1(R) Ensure full cost recovery of all Fee earning work.(07)

31/03/2008

07-BC1(R001)

Technical Staff leave

Failure to meet statutory legal requirements and/or increase in negligence claims against the Council arising from increased levels of public injuries and fatalities.

BC1.1 (R) Provide an adequate site inspection regime (07); BC1.2(R) Ensure that formal enforcement actions are taken (07); BC2.1(R) Process all applications in an efficient and timely fashion.(07)

31/03/2008 31/03/2008 31/03/2008

07-BC4(R003) Reduce

non recoverable costs

to the Council

BC4.5.(R) Recover all reasonable Dangerous Structures costs effectively and efficiently(07)

31/03/2008

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Managed By: Planning Policy Manager


Progress

07-PP2(R002)

Council's proposals for

transport tariff are

challenged and unable

to proceed

Developer contributions unable to be raised and transport programme not implemented. Housing development blocked

07-PP6(R006)

Council's policies for

housing supply and

mix are undermined.

Applications allowed

on appeal which are

not in accordance with

the policies.

Housing developed in inappropriate locations. Housing developed does not create sustainable communities. Existing communities suffer as housing development exceeds community infrastructure and environmental constraints.

red risks and actions to change status appendix ccommitteedmz.dartford.gov.uk/documents/s9530/risk...

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