Upload
others
View
0
Download
0
Embed Size (px)
Citation preview
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
1 01/09/2009 Failure to recruit and retain staff with the necessary skills
Loss of confidence in service/ externalisation of work/inadequate budget to cover
Appraisals focussed on personal motivation/training opportunities/awareness of marketplace/flexible HR policies - home working where staff have skills to work unsupervised
C4 B4 Ian Anderson/ Lisa Dixon/ Gill Wilkinson/ Steve Pike/ David Gomersall
2 01/09/2009 Inadequate legal income from external clients and capital projects to meet targets
Cuts in legal staff/inability to provide range of legal advice to meet internal requirements
Service Level Agreements/Statutory power of Monitoring Officer to require adequate resources to fulfil role
B3 B3 Ian Anderson / Lisa Dixon/ David Kitson/ Kerry Russett
3 01/09/2009 Inadequate capacity to meet work demands of revenue projects
Work undertaken ineffectively/ deadlines missed/loss of confidence in service
Service Level Agreements/Statutory power of Monitoring Officer to require adequate resources to fulfil role
C3 B3 Ian Anderson/ Lisa Dixon/ David Kitson/ Kerry Russett
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
4 01/09/2009 Inadequate capacity to meet work demands of capital projects
Lack of legal input on capital projects/diversion of legal time onto capital projects away from revenue work/fee generating work/income targets missed/damage to reputation of the Council
Close working relationship with Council's overall Projects Manager/Ensure consequential legal costs are identified in projects/ensure budgetary provision/ensure external funding bodies accept inclusion of internal fees/external framework contract for support services/use of Counsel
C4 B4 Lisa Dixon/Carol Rehill
5 01/09/2009 Inadequate Project Management skills/project management
Projects not progressed, costs overrun/Deadlines missed/lack of motivation/ disinterest
Project management training/Adoption of Project management systems
B2 B2 Ian Anderson/ Kerry Russett
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
6 01/09/2009 Too much external work
Insufficient capacity to undertake internal/external work/loss of clients
Monitor workloads/increase capacity as resources allow
B3 B2 Ian Anderson/ Lisa Dixon
7 01/09/2009 Failure to identify, report on and achieve appropriate Performance Indicators
Internal/external challenge upon performance/inability to effectively defend
Review of Pis through business planning/performance reporting systems
C3 B2 Ian Anderson/ Kerry Russett/ Diane Cross
8 01/09/2009 Inadequate document management system
Inability to find evidential documents, evidential documents unusable because not stored in an acceptable format
Case Management system/procurement of EDRM system/support for move to email package that integrates with systems (e.g. MS Outlook)
C4 B2 Ian Anderson/ Kerry Russett
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
9 01/09/2009 Budget not adequately monitored
Overspend on budget/failure to commit available resources to service requirements
Monthly reviews B3 B2 Ian Anderson/ Gill Wilkinson/ Steve Pike
10 01/09/2009 Loss /destruction of premises/files
Destruction of working papers/evidential documents
Business continuity plan/Electronic document management processes/Case/ democratic management system/VPN access
B3 B2 Ian Anderson/ Gill Wilkinson/ Kerry Russett
11 01/09/2009 IT systems failure
Case management system inaccessible/court/ legal deadlines missed
Internet access/local backup/"Hit the road" functionality
B3 B3 Ian Anderson
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
12 01/09/2009 Security breach - data loss
Legal action/Loss of reputation/ confidence
Establish Secure encryption to control access to laptops/amend laptop receipt form to confirm that all work while connected to the internet must be via Virtual Private Network
C3 B2 HoLSS
13 01/09/2009 Inadequate storage/document destruction systems
Overload of documentation/ loss of significant documents/health and safety hazards
Effective document destruction processes/systems
B4 B3 HoLSS
14 01/09/2009 Failure to put in place systems to adequately communicate legal risk/advice
Loss of confidence in service/decisions made uninformed by legal risks/damage to reputation of Council
Establish Service Level Agreements/ corporate systems to ensure appropriate legal advice given
B3 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
15 01/09/2009 Democratic process documentation not printed/ distributed at required time
Breach of Access to Information rules/legal challenge/ Ineffective meetings/ uninformed decision making/lack of consultation
Make available electronically via web/email to public/members/Electronic Democratic Process management system/establish framework contract/develop list of alternate approved suppliers
B2 B2 HoLSS
16 01/09/2009 Inadequate cover arrangements for illness etc
Inexperienced officers covering work (e.g. minute taking)
Good training/cross service arrangements/ substitute arrangements
B2 B2 HoLSS
17 01/09/2009 Failure to maintain website information
Poor service to members/public/ill informed comment
Use of website as primary service management tool
C3 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
18 01/09/2009 Failure of Service websites
Documents not available to the public/internal users
Externally hosted websites with contractual terms that safeguard the provision
B2 B2 HoLSS
19 01/09/2009 Liquidation of suppliers (e.g. websites)
Software loss/breakdown in service
Pre-Qualification of suppliers/escrow contracts with third parties for key software suppliers
B3 B2 HoLSS
21 01/09/2009 Failure to ensure adequate legal knowledge and training for officers and clients
Mistake as to the law/challenge/ breach of law by the Council; Judicial review
Appraisals/LNTV/Training/Internal training/Legal Brief
B2 B2 HoLSS
22 01/09/2009 Lexcel Accreditation not achieved in timescale
Loss of external clients
Project Management C3 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
23 01/09/2009 Legal Library not maintained
Not up to date with changes in law/Errors in legal advice given/Damage to reputation of the Council/integrity of service undermined
Maintenance of funding for legal update services/Purchase service from on-line provider
B2 B2 HoLSS
24 01/09/2009 Staff training not maintained
Not up to date with changes in law/Professional body disciplinary processes instigated/errors in legal advice/integrity of service undermined
Personal training programmes through appraisal, maintaining a healthy training budget
B2 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
25 01/09/2009 Advice beyond internal knowledge skills
Uninformed advice given leading to breach of law
Maintain list of Counsel/Professional Services framework contract/ externalisation of advice where need for advice occasional/beyond capacity/identify costs within projects/work with partner Councils
B3 B3 HoLSS
26 01/09/2009 Conflict of interests between external and internal clients
Professional misconduct complaint to professional bodies
Risk Management process on opening files/Arrangements for referral of conflict work to external solicitors
B4 B2 HoLSS
27 01/09/2009 Failure to put in place systems to ensure legal advice given in respect of Council decisions
decisions made uninformed by legal risks/damage to reputation of Council/Monitoring Officer
Establish corporate systems to ensure appropriate legal advice given
B4 B4 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
28 01/09/2009 Failure to identify and report to Members unlawfulness
Integrity of individual officers undermined/Loss of confidence in service/external clients lost/damage to reputation of the Council
Establish corporate systems to ensure appropriate legal advice given
B4 B4 HoLSS
29 01/09/2009 Standards Investigations referred to Borough Council not undertaken/poorly managed
Integrity of individual officers undermined/Loss of confidence in service/external clients lost/damage to reputation of the Council
Train Legal Services officers to undertake/manage investigations
B2 B2 HoLSS
30 01/09/2009 Freedom of Information Act response targets not met
Complaint to Information Commissioner
Maintenance of monitoring system
B3 B3 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
31 01/09/2009 RIPA investigations not authorised and monitored in accordance with the law
Damage to reputation of Council; Public humiliation and damage to career of individuals; breach of law by the Council; Judicial review
Maintenance of monitoring system
A3 A3 HoLSS
32 01/09/2009 Failure to maintain adequate procedures/rules for the conduct of Council business
Damage to reputation of Council; Public humiliation and damage to career of individuals; breach of law by the Council; Judicial review
Training programme for officers/limit officers involved in process to trained core
C3 B3 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
33 01/09/2009 Failure to maintain/ enforce Constitution/ Procedural Rules
Damage to reputation of Council; Public humiliation and damage to career of individuals; breach of law by the Council; Judicial review
Review reports for impact/rigorously update constitution in on-line format/Training programme for officers/limit officers involved in process to trained core
C4 B4 HoLSS
34 01/09/2009 Failure to ensure external appointees understand their role and terms of reference
Damage to reputation of the Council/Breaches of Code of Practice/decisions made outside powers/terms of reference
Member Training for external appointees/good communication with external bodies and members on role
C3 B3 HoLSS
35 01/09/2009 Failure to ensure that external appointees are not placed in a position where a conflict of interest arises
Damage to reputation of the Council/Breaches of Code of Practice/barred from being a company director
Member Training for external appointees/good communication with external bodies and members on role
C3 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
36 01/09/2009 Inadequate Contracting procedures
Loss of confidence in the local authority/legal challenge
Effective Contract Management System incorporating audit trail/training in system
C4 B4 HoLSS
37 01/09/2009 Failure to follow Contract procedure rules
Loss of confidence in the local authority/legal challenge
Effective Contract Management System incorporating audit trail/training in system for core of authorised officers
C4 B4 HoLSS
38 01/09/2009 Register of Contracts not maintained
Loss of confidence in the local authority/legal challenge
Effective Contract Management System incorporating audit trail/training in system
C4 B4 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
39 01/09/2009 Equipment breakdown (printers etc)
Unable to use equipment
Establish framework contract for print services/lease of print equipment/repair service
B1 B1 HoLSS
40 01/09/2009 Inadequate tendering processes
Loss of confidence in the local authority/legal challenge
Effective Contract Management System incorporating audit trail/training in system
B4 B4 HoLSS
41 01/09/2009 Procurement Joint Committees make decisions outwith their powers
Ensure appropriate legal agreement/ensure compliance with Access to Information Rules/
Training for members/new officers/partner Councils
C3 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
42 01/09/2009 Failure to ensure effective support to Overview and Scrutiny Committee
Inadequate testing of proposed decisions/diminution of democratic process
Training for members/officer support for committees/some budgetary provision
B3 B3 HoLSS
43 01/09/2009 Inadequate promotion of public engagement in democratic process/Community Leadership
Disinterest of public/poor election turnout/Corporate Plan not fulfilled/declining performance against national indicators
Democracy week/Review of O and S and Area Committees
B3 B3 HoLSS
44 01/09/2009 Corporate Complaints procedure is not followed leading to the complaint being referred to the Ombudsman
Poor public perception of council
Robust three stage complaints procedure
B3 B3 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
45 01/09/2009 Limited regard paid to ethical conduct through Standards and good governance not being integrated into the work of the Council
Poor perception of Council/negative assessment of Council by Auditors
Bi-annual meetings between CE/Leader/Chair of Standards and MO//Ensuring close integration of working between the Audit Committee and Standards Committee/Joint Training for co-opted and elected members
B2 C2 HoLSS
46 01/09/2009 Council fails to effectively resource Standards
Council's ethical standing in the community undermined/ negative Audit assessment
Effective support through designated officers for Standards
HoLSS
47 01/09/2009 Constitution does not reflect the practice of the Council
Unlawful decisions/Council acting ultra vires
Regular review of Constitution/Involvement of Standards Committee in review of Constitution
B2 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
48 01/09/2009 Members and Officers have insufficient understanding of their powers and the limitations thereon
Members and officers make decisions outside their powers
Clear scheme of delegation within the Constitution/Training for officers/Provision of User friendly guides
C3 B2 HoLSS
49 01/09/2009 Officers lack awareness of potential for conflicts of interest
Challenges to decisions on basis that decision maker had conflict of interest
Revision of Officer Code for Declaration of Interests/Training
D3 B2 HoLSS
50 01/09/2009 Failure to provide appropriate training and guidance to Parish and Borough Councillors
Not up to date with changes in law/Errors in legal advice given/Damage to reputation of the Council/integrity of service undermined
Establish and implement Member training programme
B3 B3 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
51 01/09/2009 Ethical conflicts not recognised by officers or partnerships
Breaches of contracts of employment/ Breaches of Code of Conduct for members/Public loss of confidence
Standards and Audit Committee review governance/ethical arrangements for partnerships
C3 B2 HoLSS
52 01/09/2009 Decision making by partnerships outside powers
Partnerships take actions that impact upon the Council and the Council is required to resolve
Ensure Legal and Democratic advice and support upon partnerships
C3 B2 HoLSS
53 01/09/2009 Partnerships established without proper regard to governance issues
Ineffective partnerships/ partnerships that breach ethical and financial conduct requirements/partnerships that require Council action to address problems that arise
Partnership Guide/training on the Guide/Legal involvement in development of governance arrangements for partnerships and legal agreements
B2 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
54 01/09/2009 Partnerships not performing
Ineffective partnerships/loss of public confidence
Scrutiny of Partnerships through Projects and Partnerships O and S
C3 B2 HoLSS
55 01/09/2009 Register of Electors not monitored and secured.
Identity theft/impersonation.
Implementation of Verification Framework.
B1 B1 HoLSS
56 01/09/2009 Failure to deliver election forms/ballot papers
Inadequate notice of election
Identify alternative suppliers, introduction of penalties for non-delivery into contracts
B2 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
57 01/09/2009 Ballot papers returned late
Challenge to election result
Late postal sweep B1 B1 HoLSS
58 01/09/2009 Ensuring polling/count stations available to manage elections and by elections
Electors unable to vote/challenge to election
Identify alternative polling station arrangements
B1 B1 HoLSS
59 01/09/2009 Ballot papers not printed/ numbering errors
complaints/ damage to reputation
Contract conditions to include quality checks
B2 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
60 01/09/2009 Static/declining turnout figures at elections
lack of engagement with electorate/ declining performance against National Indicators
Promotion of democracy through annual events/promotion of democratic process within schools (e.g. lawyers into schools/school events)/engagement through webcasts
B2 C3 HoLSS
61 01/09/2009 Availability of temporary out of hours staff group
Incapacity to manage election
Have reserve staff list B2 B2 HoLSS
62 01/09/2009 Civic Vehicle breakdown
External contract for vehicle and chauffeur hire/alternate vehicles
External Contract established
C1 B1 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
63 01/09/2009 Inadequate security
Theft from civic rooms/loss of civic regalia/loss of insurance
Restrict use of regalia for to key engagements/ensure adequate security arrangements/secure rooms/supervised access to external groups
B3 B2 HoLSS
64 01/09/2009 Unlawful charging arrangements by Property Information Unit
Legal Challenge to approach to charging by Property Search Groups/Audit criticism
Establish clearer accounting process for management of Land Charges and Property Information Unit/Review Charges by Dec 09
D3 A1 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
65 01/09/2009 Land Charges income targets not met
Insufficient income to meet cost of providing service across the Council
Ensure only Land Charges costs are included in budget - pursue funding bid in relation to balance/Improve software integration across the Council/Develop SBC contribution to Home Information Packs/Engage partners in improving service/facilitate through IT/Introduce actual cost charges to PSGs/
C3 B2 HoLSS
66 01/09/2009 Land Charges information sources inaccurate
Information from which Land Charges information drawn out of date or inaccurate
Centralisation of information managers into Central admin (completed)/Introduction of single managed information system/Review of all data in systems
C3 B2 HoLSS
Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495
No Date Risk Consequences Mitigation Current Risk
Score
Target score
Action Plan Responsible officers
67 01/09/2009 Land Charges register not maintained
Damage to reputation of Council;
Electronic management system integrated into partners records
B2 A1 HoLSS