1
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
2
Managed By: Benefits Manager
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
3
Managed By: Project Director
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
4
Managed By: Drainage Engineering Manager
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
5
Managed By: Policy & Improvement Manager
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
6
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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)
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
10
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
11
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
Progress
07-PD11(R011) Fail to
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
07-PD12(R013) Fail to
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
12
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
13
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
14
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
Progress
07-PD27(R012) Fail to
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
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
07-PD8(R008) Fail to
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
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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
16
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
17
Managed By: Planning Policy Manager
Risk Code & Title Current Risk Matrix Target Risk Matrix Potential Effect Linked Actions Action due Date
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.