Strategic Business Planning Guidance

2008-09

Contents Page

Introduction to Business Planning in Westminster

3

The Business Planning Framework

6

The Business Planning Cycle

6

Scope and content of Business Plans - Section 1: Service Profile (WHERE ARE WE NOW?) - Section 2: Priorities and Objectives (WHERE DO WE WANT TO BE?) - Section 3: Detailed Action Plan (HOW DO WE GET THERE?) - Section 4: Data Quality, monitoring and review (HOW DO WE KNOW

OBJECTIVES WILL BE MET?)

8

10

12

15

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INTRODUCTION This guidance explains Westminster City Council’s approach to business planning. It covers: How Business Plans fit within the overall framework of the City Council’s plans What Business Plans need to cover The process for producing the 2008/09 Business Plans

The importance of business planning Business Plans are a key part of the City Council’s overall Performance Management Framework and are essential to good performance management. They provide a vital link between corporate and community objectives at a strategic level through to service and individual performance plans, so that each service and member of staff knows how what they do contributes to achieving the City Council’s objectives. Business Plans are an essential tool for making rational and co-ordinated decisions about levels and types of provision where resources, financial, people and assets are used well, through clear links to financial planning. They should be used as a framework for team discussions on performance and provide an opportunity for the key issues to be highlighted to Corporate Management Board, Audit and Performance Committee and individual service Overview and Scrutiny Committees. Our Business Plans need to: Ensure achievement of outcomes prioritised by the City Council, Westminster City

Partnership and community Set out planned service priorities and improvements Identify and mitigate risks to planned service levels and improvements Provide a mechanism by which managers, Members and officers can focus on

performance management and improvement and track progress. Business Plan Timeframe The business planning process involves an annual refresh of One City and departmental priorities, available resources and performance levels but needs to take account of the ‘rolling’ three-year targets in the City Plan, Local Area Agreement and other strategic plans and local plans in particular the Local Area Renewal Partnerships. Format and Audience Business Plans are, primarily, strategic documents and their audience is staff, managers, Members and partners. Their main purpose is to set out the vision and priorities of services, ensure clarity in setting of targets and objectives and act as the baseline by which departments manage their performance and improve service delivery. They should be relatively short (15-20 pages), user-friendly and accessible so that external audiences can understand the strategic plans of the City Council. Detailed service, team and individual plans underpinning Business Plans should provide more detailed operational information. The Business Plans will be made publicly available via the internet and will be accessible to all staff via the intranet.

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Using this guidance This guidance sets out the City Council’s business planning framework to ensure a consistent approach to business planning across the organisation and ensure service priorities and key performance information is captured in a systematic way. They should include an honest appraisal of the key service priorities and identification of meaningful indicators and risks in order that the effort put in to produce and monitor them will be worthwhile and proportionate. This guidance should be seen as ‘minimum standards’ for Business Plans and Departments may wish to explore some areas in more detail or add other elements to reflect their particular priorities and local context. Changes to last year’s guidance The format for Business Plans 2008/09 has been refreshed to ensure: More robust links between departmental plans and corporate plans and targets

including those set out in Year 3 of the One City Programme, the City Plan, the improvement priorities set out in the Local Area Agreement, Local Area Renewal Partnerships the Corporate Plan (BVPP) and CPA Corporate Assessment Improvement Plan.

The amended departmental (and strategic) risk management approach is adopted. A clearer focus on areas for improvement established by services themselves and

highlighted by inspections and service reviews. Compliance with statutory equality legislation is clearly set out. Data Quality requirements are understood and accountability for meeting and

exceeding data quality requirements is clear. Plans for locality/neighbourhood based working/outcomes are highlighted. Great clarity around the links between business plans and related service plans and

more transparency in relation to how business and service plans are monitored.

The new format should make the planning process more logical and demonstrate greater links between the external and internal environments and the actions planned by each Department. Timescale for production of 2007/08 Business Plans Business Plans will be used as the basis of the development of the Corporate Plan (Best Value Performance Plan) 2008/09 and performance profiles being produced to support the corporate ‘neighbourhoods’ agenda and therefore the deadlines set out below are fixed. Launch of business planning guidance 19 October 2007 Business Planning Seminar 23 October 2007 Quality control by Performance Improvement Team (to ensure minimum standards met) and peer review of Business Plans

End January 2008

Business Plans feed into new neighbourhoods profiles Early February 2008 Overview and Scrutiny Committees sign off Business Plans By end/March 2008 Business Plans published on intranet/internet 1 April 2008

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Ownership/sign off arrangements Departments have responsibility and flexibility for local ‘sign-off’ arrangements. Nominated CMB Lead(s) should take ownership of each Business Plan and this should be recorded in the Plan. However, it will be necessary that Overview and Scrutiny Committees formally agree the financial elements and have oversight of the whole Business Plan. More information/ Sources The following documents and strategies may be useful in compiling your business plan: • City Plan • BVPP • Corporate Assessment – self assessment • Corporate Assessment Improvement Plan • One City White Paper • The current 12 LAA stretch (enhanced performance) targets • Draft new national indicator set for local government (to replace BVPIs in 2008/09) • Westminster’s new LAA improvement priorities • Equality Standard Level 4 Action Plan • Local Area Renewal Partnership plan actions may be appropriately reflected in service

plans but business plans should incorporate key issues • PMMI Guide to target setting • IDeA guide to Performance Management • Data Quality Strategy and Action Plan • Equalities Policy • Risk Management Strategy – November 2007 For further information or queries please contact: Una McCarthy, Performance Manager, ext 3164 or Nick Lowe, Performance Improvement Officer, ext 3480.

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THE BUSINESS PLANNING FRAMEWORK Business Plans are the central element of the City Council’s planning framework, setting out how the City Council’s services will deliver on the major strategic priorities. They make these priorities ‘business as usual’, and allow teams and individuals to focus their work on the priorities of the City Council. The City Council requires a limited number of Business Plans in order that the whole Council, its staff and partners can be clear about our achievements and future plans. The chart below summarises this framework:

Best Value Performance PlanOur Corporate Plan detailing our contribution to the City Plan, with

targets for the next three years.

Other Statutory PlansAs defined by Central Government e.g. Local Development

Framework, Crime & Disorder Reduction Strategy.

Business PlansOutlining what and how the department will be delivering its services

over the next year, including three year targets.

Team/Service PlansMore detailed plan for a specific element of a department, linking

business plan objectives with individuals.

Individual Work PlansHow an individual will contribute towards the objectives of a team.

Local Area Agreement 2008-11Three year delivery programme agreed with partners to help delivery

of the (includes 12 key stretch targets) City Plan through a single, streamlined grant.

WCC Business Planning Framework

City Plan 2006-16Westminster’s community strategy for the next ten years focussing on 4

priority themes and 4 cross-cutting themes.

Statutory

Non-Statutory

THE BUSINESS PLANNING CYCLE Business Planning is a key process which assists us to provide the best possible services for local people which meet their needs and continually improve performance. The process of developing the Business Plan and how it fits with other processes (budget setting, strategic planning and performance monitoring) is vital to good performance management and improvement. In the City Council, a clear timetable is in place to directly link financial and service planning, management, review and monitoring. There is a three-year financial planning process which is tied into an annual Strategic Review which provides a clear analysis of the resource required to support the delivery of priorities. The financial remit enables departments to prepare their budget options within the corporate framework and the Star Chamber process (which is inextricably linked with the core priorities of the City Council as expressed through the annual Leader’s Speech and One City Programme). Cabinet Members are fully engaged in the review of service performance, efficiency savings and the identification of policy-led and unavoidable cost increases.

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The diagram below shows the key milestones in the business planning cycle.

StrategicReview

sets out Leader’s vision,corporate aimsand priorities

Changing PrioritiesAnnual Review and

assessment of existingperformance measured

against key PI’s andthe new priorities

Setting BudgetOptions

Growth and savings options agreedCity Survey

Consultation onnew One City priorities

WestminsterPerformance Plan

Estimates, ServicePlans and review

programme agreed

Quarterly PerformanceMonitoring

Quarterly reporting of service plansand reviews

Westminster’s Performance Management Process 2008-09

May

June

August

SeptemberOctoberNove

mberDecember

February

March

Publication of BVPP

CAAUse of Resources, Risk assessment,Direction of Travel

statement

April

Audit of BVPP and key Performance

Indicators

RSG announced

Closing of accounts

July

January

Budget and Council Tax

agreed

Review of 2007/08

performanceLeader’s Speech

Business Planning

09/10 started

Management letter & Audit

reportMid year review

Business Plans 09/10 completed

Q1 Key Performance Indicators & LAA

monitoring

Q3 Key Performance Indicators & LAA

monitoring

Star Chamber proposals finalised

LAA Programmeagreements signed off

LAA agreed

BUSINESS PLANS IN WESTMINSTER The following Business Plans are produced for the following groups of services: Children’s Services Housing Adult Social Care Environment and Leisure Community Protection Planning and City Development Transportation Central Services

These plans are underpinned with more detailed Service, Team and individual plans.

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SCOPE AND CONTENT OF BUSINESS PLANS SECTION 1: SERVICE PROFILE – WHERE ARE WE NOW? (4-5 pages) This section focuses on: Services Context Users Achievements Comparisons

The purpose of this section is to provide a baseline for the business plan by which future plans and objectives can be developed. SERVICE PROFILE The minimum mandatory descriptions for this section are: SERVICE ACCOUNTABILITY The CMB members and Cabinet members who are responsible for the services delivery SERVICE SCOPE The range of activities delivered (and by whom including partners) and the current staffing level. SERVICE USERS Service planning should be driven by what serves residents and existing or potential customers best. Please list information including number of users, any particular requirements, how the user base may change and the key outcomes sought for these users. OPERATING CONTEXT Evaluate the current internal and external influences for the Department – this includes factors that may affect the provision or cost of the service, such as changes in demographics, price increases or changes in the law, national priorities and guidance. NEIGHBOURHOOD/ LOCALITY WORKING Business Plans should highlight services and initiatives developed and delivered on a neighbourhood level, what the unit of delivery is for those services for example a ward or locality basis and LARP involvement. CONSULTATION/ COMMUNITY ENGAGEMENT Service planning should be driven by what potential and existing customers need. This section should present the key findings from customer consultation exercises, formal and informal feedback e.g. complaints and customer comments, analysis of service views and any other consultation that will drive service improvement. A description of the methodology, full list of results and technical analysis is not required and this section should be short and succinct. Departments should list the planned action in particular areas in the forthcoming year taken in response to consultation and communications

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activity. Any key consultations or engagement activities to be undertaken in 2008/09 need to be noted. FINANCIAL RESOURCES Please provide a short financial overview of the amount of money to be spent on delivering the service(s) against revenue and capital budgets. This should compare 2006/07 actual out-turns against the 2007/08 position and a high level summary of the forecasted budget for 2008/09. It should also state performance against 2007/08 efficiency targets. This section should summarise the information in Schedules 1-6 (Appendix 1 attached). LEGISLATIVE/STATUTORY BACKGROUND The service should provide details of statutory frameworks within which the service works and the legal requirements it has to meet. REVIEW OF PERFORMANCE 2007/08 Outline the existing performance of the service – showing the outturn against the previous year’s key performance indicators (please also complete Appendix 2) including: Summary of performance against BVPIs or other national indicators Summary of performance against key local performance indicators including LAA

stretch targets Summary of performance against professional standards if applicable

KEY ACHIEVEMENTS/OUTCOMES IN 2007/08 While the previous section summarised performance against key indicators, this section should draw out the key achievements over the past year, what has been achieved against the previous year’s business plan and what external judgements have told us. This section should include externally acknowledged achievements but also models of service delivery/projects that have demonstrated effective leverage of external or partnership monies and/or delivered innovative solutions locally. SERVICE COMPARISON TO OTHER SERVICE PROVIDERS You may also want to provide a comparison of the service against similar providers (usually the inner London Authorities but could be the private and voluntary sector), using quartile markings, or benchmarking club data to set the performance of the service. TO OTHER COUNCILS In any thorough assessment of a service, there should be comparison of service performance against those of other councils. This sets the service in context of what can be achieved and how well the service is doing in comparison with others and raises the bar of expectation.

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SECTION 2: PRIORITIES AND OBJECTIVES - WHERE DO WE WANT TO BE? (1-2 pages) This section focuses on: City Plan priorities Corporate Plan (BVPP) priorities Local Area Agreement One City priorities Local Area Renewal Partnerships CPA improvement plan WorkSmart project commitments Local priorities Responding to the changing local context

The purpose of this section is to demonstrate a clear fit between the business aims over the next year and the wider priorities (especially from the One City Programme, BVPP, LAA and City Plan) that will inform future plans. This section should include a short commentary on how the service contributes to local priorities or addresses local needs by including links to key strategies – both corporately and departmentally. The service needs to take account of the City Council’s strategic priorities and external factors to develop a limited number of high level objectives, which can be understood by all staff and users and can be translated into action. Each service will need to go through a structured process to arrive at its own service objectives considering the following elements: FACTORS TO CONSIDER IN DEVELOPING OBJECTIVES

KEY QUESTIONS

1. City Plan/LAA What are the key priorities and targets outlined in the City Plan which are relevant for the service? (NB: spreadsheet highlighting link between Council departments and LAA priorities is available) What actions are necessary to deliver City Plan 3-year priorities and targets, LAA outcomes and LAA stretch targets?

2. Corporate Plan (BVPP) - One City Delivery Programmes: Order Opportunity Enterprise Renewal

What are the key priorities for action and targets highlighted for each theme which are relevant to the service?

3. Corporate Plan - One City Cross Cutting priorities: Neighbourhood Focus A Tolerant City Active Citizenship Customer Focus

How does the service contribute to these agendas?

4. WorkSmart Will WorkSmart affect service delivery in 2008/09?

5. Mandatory requirements What new and existing commitments (legislation, national standards, new regional priorities etc) need to be considered in setting service objectives for 2008/09?

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6. Responding to local needs and neighbourhood working/ Embedding Local Area Renewal Partnerships within service planning

What neighbourhood/area based initiatives and plans are in place to deliver services? What support is required for the delivery of area based initiatives and projects. Initiatives for 2008/9 should be listed in Appendix 3. It is imperative that activities which have major impacts at the ward level are included, as these will be used to inform Members’ Ward Profiles. Services should include a statement stating how their services will assist the delivery of LARP Action Plans focussing on key issues/ themes.

7. Community needs

What community needs are relevant to service delivery? What local priorities need to be addressed as identified through consultation, local strategies and plans or feedback from users? What further consultation is required to address customer needs?

The key output of this section is a short list of annual objectives for the service

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SECTION 3: DETAILED ACTION PLAN - HOW DO WE GET THERE? (5-10 pages) Detailed Action Plans Staff Development and Consultation Risk Management Resources Equality and Diversity

The purpose of this section is to set out the means by which the objectives identified in the previous section will be translated into action. This section forms the bulk of the document. ACTION PLAN The business plan should set out, in detail, how the service is going to operationalise the objectives it has identified, and the accountabilities for delivery. This is the key part of the plan that will be used to monitor and track performance over the year. The Action Plan needs to be as concise as possible and focussed on key PIs and outcomes, but detailed enough to signpost how targets will be met and by whom. Service, team and individual plans will give more detail on activities. Information should be presented for each service objective as per the template in Appendix 3. In order to have clear lines of accountability and monitoring, each action must be assigned to a CMB/Officer lead. Finally, each objective will require a performance measure - which says how the Department will measure success. This could include one or more of the following: Performance against a PI (national indicators or a local PI). Delivery by target date. Increased satisfaction measured through consultation exercises.

Departments should also list the statutory, service and operational plans to be produced in 2008/09 (Appendix 4). STAFF DEVELOPMENT Departments should provide some information about any future team development issues including: Looking ahead, are there key skills/knowledge the team will need to develop/acquire to

meet future demand/methods of service delivery? Could there be new partnerships that will impact on the team? Are there any particular staff recruitment or retention issues? What is the age/skill profile of the current team and what will be the impact of this in 5

years?

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STAFF CONSULTATION A short description of the key actions to be taken to address the ‘Your Voice’/ other staff survey findings should be presented. FINANCIAL SUMMARY A short summary of the financial schedules (outlined in Appendix 1) should be provided to show the key financial headlines for each service area. A short statement of actions taken to meet the Annual Efficiency Statement actions for 2008/09 should also be outlined. RISK MANAGEMENT The City Council’s approach to risk management is set out in its Risk Management Strategy (RMS) and covers: The overall process for identifying, assessing and managing risks. The respective roles of officers and members. Arrangements for monitoring and reporting.

The City Council also has a strategic risk register that focuses on the key risks to the achievement of corporate objectives. All Departments are required to have departmental risk registers in place to support their business objectives and plans. In creating risk registers, Departments are required to adopt the five-stage process set out in the RMS. Key stages in identifying departmental risks Stage 1 Identification of the ‘key’ risks that could have an adverse affect, prevent

key business objectives from being met, or opportunities from being exploited.

Stage 2 Analysing each risk to gain a clear understanding of its cause and the consequences of the risk occurring.

Stage 3 Ranking and prioritising risks according to the potential likelihood of them occurring and the resulting impact. Each risk needs to be scored and categorised as red, amber or green.

Stage 4 Planning actions necessary to mitigate the risks identified and recording these in the risk register.

Stage 5 Monitoring and reviewing risk registers on a quarterly basis and re-prioritising risks where necessary. Risks will be formally monitored through CMB, CESG, Cabinet and the Audit & Performance Committee.

The format to be used and guidance for all Departmental Risk Registers is attached at Appendix 5. If you need further support and guidance please contact Julia Bourne, Risk and Governance Manager, ext 3429 or Toni Walker, Head of Risk and Audit, ext. 8558. EQUALITIES AND DIVERSITY Existing legislation on race equality (Race Relations Amendment Act 2000), disability equality (Disability Discrimination Act 2005), and gender equality (Equality Act 2006) impose explicit ‘Duty to Promote Equality’ requirements for all public authorities including local authorities. The Equality Act (2006) also prohibits discrimination on the grounds of

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Religion or Belief, Age and Sexual Orientation in the provision of goods, facilities and services. The Equality Standard Level 4 Action Plan (October 2007) will highlight the key objectives each service should meet in the next year. The actions to meet those objectives should be included in this section of the Business Plan. In addition this section should outline the main issues around equalities in your Department, particularly highlighting initiatives to ensure the statutory duty to promote equality is mainstreamed into service delivery. It is also necessary to demonstrate how you are delivering the actions outlined in your Departmental Equality Action Plan (DEAPS).

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SECTION 4: DATA QUALITY, MONITORING AND REVIEW - HOW DO WE KNOW OBJECTIVES WILL BE MET? (1-2 pages) Please set out the nominated departmental champion for ensuring data quality requirements are understood and incorporated within the business planning process and the sign off arrangements that exist within the department for ensuring good data quality in relation to data that is submitted to the Performance Improvement Team on monthly and annual performance against key statutory and corporate performance indicators. Please set out the arrangements for monitoring progress against targets and keeping on track. Include clear information on: What will be reported Frequency of information reported Who will report to whom Which Overview and Scrutiny Committee will receive periodic business plan monitoring Who will take action if there is insufficient progress

What will be reported

Frequency Officer O&S Committee

Who will follow up action

For targets it is desirable to set trigger points where remedial action will occur if an indicator falls below target. It may be appropriate to monitor progress of certain performance indicators that are key to council priorities more frequently. Please include a Performance Management Structure chart to show the arrangements and responsibilities for collating, monitoring, scrutinising and signing off all performance/finance related issues.

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Appendix 1: Financial Schedules (Tables as required by O&S Committees) - Schedule 1 : 2008/9 Estimates – Management Structure - Schedule 2 : Change in Requirements for 2008/9 - Schedule 3 : Planned changes 2008/9 to 20010/11 - Schedule 4 : Summary of Capital Estimates - Schedule 5 : Summary of Revenue Estimates - Schedule 6 : Staffing Resources Separate MS Excel attachments to be provided.

Appendix 2: Service Performance 2007/08 Please list all relevant BVPIs*, the 200 (198) Government set indicators to be introduced from 2008/9, LAA stretch targets, local and service specific performance standards

Description Actual 2006/07

Res

ult Top 25%

Inner London 2006/07

Target 2007/08

Actual 2007/08

Target 2008/09

Target 2009/10

Target 2010/11

Service Area 1a 1b 1c 2a 2b 3

(Figures for published Business Plan to be those as at end of December 2007, full year figures to be appended when ready and signed off) * NB: BVPIs cease to be mandatory from April 2008, therefore three year targets are not required unless the service chooses to keep monitoring selected BVPIs.

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Appendix 3: Departmental Objectives 2008/09 NB: Where using the City Plan objectives please refer to the separate guidance. Objective Link to City Plan

and LAA Improvement Priorities

Other links Performance Indicators/ Targets

Planned actions

Timescales & milestones

Lead Ward or City Wide

Risk Ref.

1. What high level objectives does the service hope to achieve

Separate guidance highlights each service’s responsibility for delivering the City Plan and LAA targets. Departments should show how City Plan/LAA improvement priorities will be met by services.

List programme(s) this objective aligns to One City

programme/ priorities

LAA Corporate Plan

(BVPP) WorkSmart Local/statutory plan National/local

requirement Actions following

Inspection Other (please

indicate)

Challenging yet achievable targets should be set for each objective. Targets should be relevant and realistic as well as specific. Where relevant all national PIs should be detailed as a measure of success. Reference source where applicable (e.g. City Plan Ref 1.1) All relevant three year City Plan targets owned by the Business Plan area should be reflected in this section.

1. The operational steps by which the performance indicator/ target will be achieved.

Date by when task will be completed and significant milestones

A named CMB/ Officer Lead responsible for ensuring the task is completed

Does the objective have a Ward specific of City wide impact? Refer to which wards will be affected

List any risks associated with this objective. If listed in the risk register just a reference number is acceptable.

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Appendix 4: Statutory, service and operational plans to be produced 2008/09 Name of Plan Status (statutory,

service plan etc) Period covered by plan Which Wards are affected Updating frequency (annual, bi-

annual etc)

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Appendix 5: Departmental Risk Register The following format should be used for strategic and departmental risk registers: SUMMARY

Ris

k N

o

Obj

ectiv

e

Ris

k O

wne

r

Like

lihoo

d

Impa

ct

Scor

e

RA

G S

tatu

s

Dire

ctio

n of

Tr

avel

Short Description

INDIVIDUAL REGISTER ENTRIES

Ris

k N

o

Obj

ectiv

e

Ris

k O

wne

r

Like

lihoo

d

Impa

ct

Scor

e

RA

G S

tatu

s

Dire

ctio

n of

Tr

avel

Vulnerability/Cause

Consequences

Current Mitigation

Further Action Planned

Act

ion

Ow

ner

Action Dates & Review Frequency Ta

rget

Sc

ore

Targ

et R

AG

St

atus

&

D

ate

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NOTES: Objective column is used to show link to Council objectives, ie: 1 Order – creating safe communities and a healthy environment 2 Opportunity – giving people the chance to succeed and tackling poverty and exclusion 3 Enterprise – working with business, building on Westminster’s status as an economic

powerhouse. 4 Renewal – providing the right built environment for our residents and visitors. Direction of Travel describes how effective mitigating actions have been in controlling risk and should be applied as follows:

= Improvement (i.e. severity of risk has been reduced) = Static (i.e. no change in severity of risk) = Deterioration (i.e. severity of risk has increased)

Risk Score should be assessed using the attached matrix and scoring definitions. Target Score and Target RAG Status columns should be used to describe the expected impact of the mitigating actions, ie risk either reduced or maintained at current level. RISK SCORING MATRIX

Very

Hig

h

A

6 1 2 1 8 2 4

Hig

h

B

5 1 0 1 5 2 0

Sign

ifica

n

t C

4 8 1 2 1 6

Low

D

3 6 9 1 2

Very

Low

E

2 4 6 8

LIK

ELIH

OO

D

Impo

ssib

l

e F

1 2 3 4

I V I I I I I I

N e g l i g i b l e M a r g i n a l C r i t i c a l C a t a s t r o p h i cI M P A C T

RISK IDENTIFICATION The following categories should be used as prompts to help identify potential areas of vulnerability: Risk Definition Examples Political Associated with the failure to deliver either

local or central government policy or meet the local administration’s manifest commitment

New political arrangements, Political personalities, Political make-up

Economic Affecting the ability of the council to meet its financial commitments. These include internal budgetary pressures, the failure to purchase adequate insurance cover, external macro level economic changes or consequences proposed investment decisions

Cost of living, changes in interest rates, inflation, poverty indicators

Social Relating to the effects of changes in demographic, residential or socio-economic trends on the council’s ability to meet its objectives

Staff levels from available workforce, ageing population, health statistics

Technological Associated with the capacity of the Council to deal with the pace/scale of technological change, or its ability to use technology to address changing demands. They may also include the consequences of internal technological failures on the council’s ability to deliver its objectives

E-Gov. agenda, IT infrastructure, Staff/client needs, security standards

Legislative Associated with current or potential changes in national or European law

Human rights, appliance or non-appliance of TUPE regulations

Environmental Relating to the environmental consequences of progressing the council’s strategic objectives

Land use, recycling, pollution

Professional/ Managerial

Associated with the particular nature of each profession, internal protocols and managerial abilities

Staff restructure, key personalities, internal capacity

Financial Associated with financial planning and control

Budget overspends, level of council tax, level of reserves, fraud

Legal Related to possible breaches of legislation Client brings legal challenge Physical Related to fire, security, accident prevention

and health and safety Offices in poor state of repair, use of equipment

Partnership/ Contractual

Associated with failure of contractors and partnership arrangements to deliver services or products to the agreed cost and specification

Contractor fails to deliver, partnership agencies do not have common goals

Competitive Affecting the competitiveness of the service (in terms of cost or quality) and/or its ability to deliver best value

Fail to win quality accreditation, position in league tables

Customer/ Citizen

Associated with failure to meet the current and changing needs and expectations of customers and citizens

Managing expectations, extent of consultation

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IMPACT AND LIKELIHOOD ASSESSMENT - RISK MATRIX SCORING DEFINITIONS The definitions below provide guidance as to what is meant by both likelihood and impact. Using this table will aid consistency. IMPACTS Negligible Marginal Critical Catastrophic Financial Impact

£0K - £25K £25k - £250K £250K - £2M £2M+

Service Provision No effect Slightly Reduced Service Suspended Short Term / reduced

Service Suspended Long Term Statutory duties not delivered

Health & Safety Sticking Plaster / first aider Broken bones/Illness Loss of Life/Major

illness Major loss of life/Large scale major illness

Objectives Objectives of one section not met

Directorate Objectives not met Corporate objectives not met

Morale Some hostile relationship and minor non co-operation Industrial action Mass staff leaving/Unable to

attract staff

Reputation No media attention / minor letters

Adverse Local media Leader

Adverse National publicity Remembered for years!!

Government relations Poor Assessment(s) Service taken over

temporarily Service taken over permanently

LIKELIHOOD PROBABILITY TIMING Very High > 90% This week High 55% to 90% Next week / this month Significant 15% to 55% This year Low 5% to 15% Next year Very Low 1% to 5% Next year to five years Almost Impossible 0% to 1% Next ten years