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Appendix 1Strategic Risk Register 6 December 2010
Summary
Breakdown by Risk Ranking 29 risks noted
6 High Risk 12 High/Medium Risk 3 Medium Risk 8 Medium/Low
Breakdown by Risk Category
6 Legislative & Regulatory 4 External 5 Major Projects 5 Partnerships
5 Financial 3 Contingency 1 Internal
No new risks added or removed. Scores remain unchanged.
The New Marlowe Theatre Project and the Beaney Redevelopment are thehighest rated risks.
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Strategic Risk Register December 2010Risks Scores & Ranking
Risk Likelihood Impact Score Last QrtVery High None
None
High Risk (16 To 20)
New Marlowe Theatre 4 5 20 20
Beaney Redevelopment 4 5 20 20
Budget Management 4 4 16 16
Building Maintenance Funding 4 4 16 16
Horsebridge Centre 4 4 16 16
Active Life 4 4 16 16
High/Medium (12 to 15)
Coastal & River Flooding 3 5 15 15
Safeguarding Children 3 5 15 15
Herne Bay High School New Sport Facilities 3 4 12 12
Traffic Congestion 3 4 12 12
Business Continuity (General) 3 4 12 12
Housing Demand 4 3 12 12
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Strategic Risk Register December 2010Risks Scores & Ranking Continued
Risk Likelihood Impact Score Last QrtMedium (9 to 11)
Coastal Regeneration 3 3 9 9
Management Skills & Staff Development 3 3 9 9
Fraud & Corruption 3 3 9 9
Medium/Low (6 to 8)
Business Continuity (ITC Services) 2 4 8 8
Shared Services 2 4 8 8
Banking Crisis & UK Public Finances 4 2 8 8
Anti-Social Behaviour 2 3 6 6
Equalities and Discrimination Legislation 2 3 6 6
New International Financial Reporting Standards 3 2 6 6Food Safety Inspections 2 3 6 6
Capita Housing Rent IT System 2 3 6 6
Low (1 to 5) - None
None
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Likelihood
Score - 1 Score - 2 Score - 3 Score - 4 Score - 5
Highly Unlikely Unlikely Possible Very Likely Definite
Previous experience at thisand other similar
organisations makes thisoutcome highly unlikely to
occur.
Previous experiencediscounts this risk as being
likely to occur but otherorganisations have
experienced problems in
this area.
The council has in pastexperienced problems in
this area but not in last threeyears.
The council hasexperienced problems inthis area in the last three
years.
The council is experiencingproblems in this area orexpects to in the next 12
months.
There are effective, testedand verifiable controls in
place that preventoccurrence of this risk.
There are controls in placedthat whilst not tested appear
to be effective.
Some controls are in placeand generally work but therehave been occasions when
they have failed andproblems have arisen.
Controls may be in placebut are generally ignored or
ineffective.No controls are in place.
Impact
Score - 1 Score - 2 Score - 3 Score - 4 Score - 5
Negligible Low Medium High Very High
Little or no financial impact(less than 5,000).
The financial impact wouldbe losses or loss income of
no greater than 25,000.
The financial impact wouldresult be losses or loss
income of no greater than100,000.
The financial impact wouldresult be losses or loss
income of no greater than500,000.
The financial impact wouldbe greater than 500,000.
Council services are notdisrupted.
Some temporary disruptionto the activities of onecouncil service but not
beyond this.
Regular disruption to theactivities for one or more
council service.
Severe service disruptionon a departmental level orregular disruption affectingmore than one department.
Severe disruption to theactivities of all council
departments.
No impact on the delivery ofthe council's corporate
objectives.
It may cost more or theremay be delay in delivery
one of the council'scorporate objectives.
A number of corporateobjectives would be delayed
or not delivered.
Many corporate objectivesdelayed or not delivered.
Unable to deliver mostobjectives.
No loss of confidence andtrust in the council.
Some loss of confidenceand trust in the council feltby a certain group or withina small geographical area.
A general loss of confidenceand trust in the council
within the local community.
A major loss of confidenceand trust in the council
within the local community.
A disastrous loss ofconfidence and trust in the
council both locally andnationally.
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Risk Category Definitions
The purpose of categorising risks is to give a general overview of range and type of risks the council is managing. Strategic risks by their naturecan often be placed into several different categories, but to simply this risk on this register are placed into their most relevant category.
1. Financial Risks
Significant risks related to budget management and financial controls.
2. Contingency Risks
Risks with a high impact but low probability e.g. business continuity.
3. External Risks
Risks where the local community would largely feel the impact.
4. Internal Risks
Risks that impact largely on internal service delivery and risks associated with the development of new services.
5. Legislative & Regulatory Compliance
Risks that arising from the introduction of new legislation, regulation and directives.
6. Major Projects
Risks that impact upon the councils major projects.
7. Officer & Member Capacity
The councils ability to deliver good quality services is related to the abilities of its officer and members. These list the risks that could impact onofficer and member capacity and damage performance.
8. Partnerships
Risks arising from the councils key partnerships and contracts.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Major Projects
New MarloweTheatre
Head of Culture
&Enterprise
JaniceMcGuinness
1. Funding Shortfall Therisk that funding targets are
not achieved and thefunding shortfall will need to
be paid for via contingency.
2. Project DelayThe risk ofdelay and additional costsdue to constructionproblems, archaeologydelay and/or unforeseenground conditions.Remaining risks to the
project include the risk ofarchaeological finds duringdrainage works andflooding in the existingbasement.
3. Cost Overruns Risk thatcosts may overrun as aresult of additionalcontractor claims andchange controls during the
build period. Increasingrisk that additionalexpenditure will be requiredpost Practical Completionand during the client fit out
period.
4. Community RelationsLoss of goodwill with localresidents and businessesarising from inconveniencearising from construction.
5. Interim Audience Loss-The closure of the theatre,the loss of business andattracting back audiences
4 Possible5 Very
High 20
Funding AgreementsKCC grant and loan
agreements signed andsealed. First 1 million ofKCC grant banked.
Fundraising- FundraisingCampaign target has been
reduced from 6m to 4.1mand the capital budgetrevised. Review carried outby MT. The fundraisingcampaign has 1.5 million
left to raise.
Project DelayProgramme float wasincluded to cover
unforeseen events andarchaeological
discoveries. Building workis currently 14-weeks indelay, but the projectremains on track to re-open as planned inSeptember 2011.
Contingency Budget Setup to cover essentialadditional work - Changecontrol and approvalsprocedure in place. ChangeControls regularly reportedto Executive. Constructionrisks reducing but client fitout risks increasing.
Communication Plandeveloped to ensureneighbours and other
stakeholders are kept
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once completed.
6. Corporate Capacity- Theproject is a major timecommitment for key officersin planning and managing
the project.
7. Future Running CostsOnce the project iscompleted the annualrunning costs of the theatrewill increase but it isanticipated that income willrise by the same extent.
informed (e.g.
neighbourhood forums) andhave a channel for commentduring construction phase.
Complaints have reduced.
Project Manager-Appointed to focus onMarlowe & Beaneydevelopments.
Business Plan- The planhas been finalised, outliningfuture subsidy levels withoutneeding an additional
increase for running costs.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Major Projects
Beaney InstituteRedevelopment
Project
Head of Culture
&Enterprise
JaniceMcGuinness
1. Cost overruns and delayscaused by ArchaeologyArchaeological digextended until end of Maycausing delay to
programme and additionalproject costs. Furtherarchaeological finds maybe discovered duringdrainage works. Furthercosts overruns and delayslikely following thediscovery of structuraldefects in the existing roofand High St faade. Riskthat contingency will beinsufficient to cover funding
gap.
2. Funding Shortfall -Current private fundraisingtarget of 2 million, withCanterbury City Councilresponsible for 600,000 ofthis target.
3. Cost overruns Wateshave been appointed themain contractor and acontract price agreed.Price was subject tovariations following thedelays caused byarchaeology. Further riskthat deferment costs will beadded for unforeseenissues with the existingbuilding.
4. Project Delay -
4 - Possible 5 Very High 20
CCC Funding- CCC hascommitted capital funding ofover 1 million to project andhas also agreed to underwrite600,000 of any funding gap.
KCC Funding- KCC arecontributing over 1.25 millionfunding and haveunderwritten a further 1.4million gap.
Heritage Lottery Funding-HLF are contributing6,515,000.
SEEDA Funding SEEDAfunding of 950,000 obtained
towards purchase ofsurrounding property.
Private FundraisingPrivate fundraising campaignbeing led by Museums team.Funding has been receivedthrough Interreg.
Cost overruns finalcontract price andprogramme have beenagreed. Contingencyaccount set up to coveressential additional work -Change control andapprovals procedure inplace. Change Controls tobe regularly reported toExecutive
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Programme has beendelayed and additionalcosts incurred due toarchaeology and otherenabling works. Targetcompletion date revised toSpring 2012.
5. Community Relations-Issues affecting neighbouringproperties may require somecompensation payment,particularly Right to Lightissues. Communication withneighbours duringconstruction period key toensuring no loss to Councilreputation.
Community Forum- JointBeaney/Marlowe communityforum established toimprove communicationbetween council, developersand residents.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Financial
BudgetManagement
DirectorOf Finance
Jim McDonald
Following the financial andeconomic crisis, publicsector finances are in avery poor state andindications are that localauthorities need to plan
now for sharp cutbacks ingovernment funding.
District councils areexpected to feel thisparticularly badly aseducation and healthbudgets are expected to bering fenced.
The new Government hasannounced a further 60bn
savings will be requiredand a public finance auditis to be undertaken.
In addition Council Taxcapping levels are likely tobe reduced.
1. Capital Funding-Inadequate provision forcapital commitments onbuildings, equipment orinfrastructure.
2. External EconomicPressures - Notably the'credit crunch' oninvestment risk and generalinflationary pressures.
3. Council Income- Incomereceipts from parking,property, land charges and
4 - Probable 4 - High 16
The councils executive hasrecognised the financialdifficulty and managementteam and the Finance subgroup of the Executive havedeveloped proposals to take
account of these pressures.
The approved 4-year budgetis balanced for 2010/11.There will be close budgetmonitoring during the year toidentify variances as soon aspossible. Current in yearreductions in governmentfunding can be dealt with.
There is a recognition that
the 4 year budget will needto be revised to reflect thenew governments budgetpriorities and planning forthat has begun.
Staff budgets were cut by5% for 2009/10. A seniormanagement restructure hasbeen undertaken andsavings from that will accruein 2010/11. Restrictions onrecruitment are beingreapplied.
The condensed efficiencyreview programme hasdelivered the required 5%staff and 2.5% service costsavings.
A new round of customerfocussed reviews and the
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investments are lower thanpreviously experienced andshow little sign of recovery.
4. Marlowe Redevelopment-This is the single biggestcapital project in thecouncil's history. It will havea significant impact on thebudget not just in theconstruction phase butongoing running costs, if itis not managedsuccessfully.
5. Capital Programme wasreliant upon 4 - yearprogramme of capitalreceipts from disposals at atime when the propertymarket is falling and
planned sales are stalling.Borrowing has beenundertaken pending arevival in the propertymarket.
6. Prudential BorrowingThere may be restrictionsintroduced to control localauthority borrowing whichwould impact on thecouncils ability to complete
the 4 year capitalprogramme.
shared services programmeare expected to providefurther savings in budgets.
The recession may havelowered incomes but hasalso resulted in keenerprices for some contracts.
Pensions costs and theunknown impact of thenational free fares schemeare risks to future yearsplans, although responsibilityfor concessionary fares willtransfer to the county in April2011.
The council has followedconventional local authoritypractice for funding majorrenewals and that is
provision is made in thecapital programme. Whilstthis has worked so far thecouncil may find it moredifficult in future as capitalresources reduce.
Improved procurement ofcontracted services.
Income budgets particularlyfor car parks, property rents,
planning fees, building controlfees and land charges will bemonitored closely as will fueland premises expenditurebudgets.
See Marlowe Re-Development Project riskentry for how risk controlsare being applied.
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Where values beingprovided by advisers forcurrent disposals are in linewith expectations sales willproceed, in other cases thecouncil will retain assets andlook to borrow on a short-term basis until the marketrecovers. The position willbe monitored closely andprogramme revisedaccordingly.
Borrowing for the 2010/11and 2011/12 major schemeshas been undertakenalready, in case capitalborrowing controls areintroduced later.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Financial
Building
MaintenanceFunding
Head of Property&
Engineering
MalcolmBurgess
Potential risks impacting onthe long-term funding ofmaintenance of councilowned or operatedbuildings.
1. Ongoing InvestmentThere is a risk ofdeterioration if there is alack of ongoing re-investment in operationalproperties.
2. Historic Buildings-Council property portfolioincludes a number of large,ageing and in some caseshistoric buildings. Many ofthese have long-termmaintenance requirements.
3. Energy Costs- Pricevolatility and generallyrising energy costs remaina major concern.
4 VeryLikely 4 - High 16
The building maintenancefund was re-introduced in2006/07. It was hoped thatin time under spends on
the fund would build up areserve to act as a cushionagainst unforeseen urgentrepairs. Expenditure in2008/09 was within thebudget and a smallreserve has beenachieved. However, thereis still a bow wave ofmaintenance to beaddressed (see below).
Growth bid in 2009/10 tobring fund into balanceaccepted, but granted overlonger 4-year period sorepairs are being deferredto keep fund in credit.
Growth bid for capital in2011/12 to address majorworks needing immediateattention.
Energy saving measuresare being introducedduring normal replacementcycles to reduce costs.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Partnerships
Horsebridge Arts&
CommunityCentre
Head ofCommunity
Development&
Open Spaces
Suzi Wakeham
1. Reputation- Poorperformance will reflectdirectly upon the council.
2. Financial- Heavily reliant onannual council grant that theTrust maintains is insufficientto meet their net costs. Not
resilient to changes in incomeand costs. Despite thebusiness plan and interestfree loan, the financial stabilityof the business is still inquestion - particularly due tothe increased energy costsand an inability to establishreserves.
3. Partnership- Failing toestablish common goals,
effective communication andbuild trust.
4 - VeryLikely
4 High 16
Year 1 consultancy studyreport makes a number ofrecommendations regardingcouncils long-term options,
board role, managementstructure, businessdevelopment and incomegeneration opportunities.
The Horsebridge hasappointed a new director whoofficially starts in January, butis covering key duties in theinterim. The new Director isworking through the Yr 1report in detail and progresswill be presented to AuditCommittee on the 29thNovember.
Active Life involved in runningback room functions for thecentre. Merger idea hasbeen rejected at this stage,but joint procurement beingtaken forward to generateefficiency savings.
Meeting took place betweenHoS, chair and manager agreed HoS would facilitateworkshop with boardmembers. Chair andmanager confirmed thatHorsebridge cash flow for2010/11 is fine.
.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Partnerships
Active Life(Leisure
Centres)
Head of Culture&
Enterprise
JaniceMcGuinness
Active Life Ltd manages thecouncil's sport and leisurefacilities. Many corporate planobjectives are dependant inthe successful managementof these facilities, which
makes this one of thecouncil's key partnerships.
The key risks are: -
1. Reputation- Poorperformance would damageconfidence in the Active Lifeand the council.
2. Financial- The under-capitalisation of the Trust
makes it less resilient to costand income changes. ActiveLife may need to reduceservice to keep within budget.
3. Partnership- Maintaining agood working relationshipbetween the Trust and theCouncil is important to itachieving its business aims.
4. Energy Costs A major costcomponent (e.g. swimmingpools). The Trust is financiallyvulnerable to sudden andunexpected increases inenergy prices.
4 - VeryLikely
4 - High 16
Performance monitoredthrough the fundingagreement. Councilincreasing investment inbuilding maintenance toimprove quality of centres.
Long-term business plandeveloped that outlines aseries of options about howActive Life should operate,including opportunities fornew commercial activities..
Revenue impact of HerneBay High School/Herons,Whitstable CommunityCollege development and
Wincheap Soft Play beingfactored into futureprojections.
Active Life has developedtheir own efficiency plans inorder to reduce their costs.
Leisure reviewcommissioned to reviewlong term council options forleisure provision.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Contingency
Coastal&
RiverFlooding
Head of Property&
Engineering
MalcolmBurgess
1. Coastal Flooding- Largeparts of the districtsshoreline are in flood riskareas including Whitstableand Herne Bay. Theintegrity of the seadefences and other flood
defences are therefore vitalfor the local community.Since 2008 the strategicmanagement of seadefences at national andregional level transferred tothe Environment Agency.
2. Inland Flooding- Thedistrict has a risk of inlandflooding from rivers andother watercourses. The
Environment Agency areresponsible for main rivers,Riparian owners areresponsible for otherwatercourses, however theCouncil has powers toundertake preventive workto mitigate risks.
3. Flash floods- Localisedflash floods are difficult topredict and there is very
limited time to respond toprevent flooding ofproperties in extremeevents.
4. Statutory Duties- Thecouncil has a duty underthe Civil Contingencies Actto prepare for civilemergencies. Flooding is arealistic threat and one that
3 - Possible 5 - Very High 15
Sea Defences- CoastalDefences have beenimproved over the years tovarying standards. Theminimum is a 1 in 50 yearsevent. There is an emergencyflooding plan, which is
invoked as appropriate.Continue to lobby throughCoastal Group and LGA forcontinued involvement ofdistrict councils in nationaldecision-making on seadefence priorities.
Emergency Plan- There isan emergency flooding planand this operated well inprevious incidents. Remedial
works have been undertakenin a number of areas. Regularexercises of flood plans takeplace. Duty rota of engineersto monitor weather conditionsand prepare emergencyresponse. Take action onpoints raised in EmergencyPlanning and BusinessContinuity risk assessment
New Residential
Developments- Responseto Ashford developments hasresulted in acceptance ofdesign parameters ondischarge flows and on sitestorage for newdevelopments to controldischarge of water based onagricultural run-off.
th il ld b
Sh li M t
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the council would beexpected to be preparedfor.
5. The Flood & WaterManagement BillThenew bill is based onrecommendations from thePitt Review and is expectedto give upper tier authoritiesgreater responsibility for
managing flood. Both thecounty and districts willneed to work in partnershipin order to meet theseadditional responsibilities.
Shoreline ManagementPlan- Plan has been agreedat Council. Overview andScrutiny and Executive havereviewed progress againstFlood Scrutiny Review ActionPlan and good progress hasbeen made on those areaswithin the council's control.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Legislative&
Regulatory
Safeguarding &Promoting the
Welfare ofChildren Act
Head ofCommunity
Development&
Open Spaces
Suzi Wakeham
1. Legislative Changes- Thecouncil now has greaterresponsibilities andobligations to safeguardchildren.
2. Embedding ChildProtection- Withoutcomprehensive polices,procedures and training thesafety and protection ofchildren may be at risk.
3. Further Changes- Outcomeof Haringey Public Enquirycould have furtherimplications on how thecouncil works with children
3 - Possible 5 - Very High 15
Safeguarding policy in place.Key corporate policies andprocedures amended toreflect policy includingrecruitment, grievance anddisciplinary policies.
All posts affected have beenidentified and categorised.Ongoing programme ofmandatory training is in place.
Internal publicity campaigndelivered to raise awarenesswith staff and dedicated areafor safeguarding establishedon the intranet.
Safeguarding requirementsstatement now included inrelevant contracts with thirdparty providers.
Regular meetings held withkey contacts from all relevantservices, to ensure all kept upto date with legislation andtraining opportunities.
Internal audit carried out on
corporate compliance tosafeguarding obtainedreasonable assurance.Action plan beingimplemented.
Young workers policy beingreviewed as wasresponsibility of on-sitepersonnel service, now EKHR
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Major Projects
Herne Bay HighSchool
New SportsFacilities
Head of Culture&
Enterprise
JaniceMcGuinness
The project is in threestages: -
1st stage Relocation ofPier Sports Hall to HBHS.
2nd Stage Extension ofHerons Sports Centre.
3rd Stage PierRedevelopment
Agreement has beenreached between theschool, KCC and CCC forthe HBHS project to goahead.
The risks to the council arenow predominantly financeorientated: -
1. Sport England BidTheoutcome of the 800KSport England bid is veryuncertain as the terms ofthe agreement reachedwith the school are nowless in line with SportEnglands criteria. Sport
England has its ownfunding constraints.
2. Cost Overruns To befunded 50/50 between KCCand CCC.
3 Possible 4 - High
12
Legal and fundingarrangements in place forHerne Bay High School.
Herons refurbishmentprogressing
Both projects subject torobust projectmanagement and changecontrol mechanisms.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
External
TrafficCongestion
Head of
Planning&
Regeneration
Ian Brown
Canterbury has anacknowledged problemwith congestion: -
1. Quality of Life- Problemswith the road network have
a detrimental impact on thelocal community and canrestrict economicdevelopment.
2. New Developments-Increasing congestion dueto impact of additional carsfrom the development ofBrownfield sites and theirassociated high-densityhousing - e.g. Tannery,
3. New Road Schemes-Schemes like the A2junction improvements andother desirable schemesthat would help alleviatecongestion problems are aKCC or Highways Agencyresponsibility. CCC haslimited influence and somecritical schemes may notprogress.
4. Recession- Downturn ineconomy will mean delaysin implementing newdevelopments.Infrastructureimprovements throughdevelopments will besignificantly delayed andincome from s106agreements will reduce in
3 -Possible 4 - High 12
Transport Action Plan-A2 slip road (on-slip road)at Wincheap beenapproved and constructionhas begun.
Traffic Management andControl System- Beinginstalled in stages by KCC.Active Traffic Managementapproach piloted inMaidstone.
New DevelopmentImpact Study- Study andreview aims to addressfuture parking needsthrough off-street and Park
& Ride provision tomanage traffic congestion.The Parking Strategyrecognises impact ofdevelopments uponparking demand.Modelling study inprogress. LDF process willrequire full assessment oftraffic/transport impact offuture development.
Park & Ride Extension toDover road Park & Ride sitedependant on siteacquisition.
New Traffic Model forCanterbury -This will helpassess and compareimpact of differentdevelopment scenarios in
the short term traffic in the city This will
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the short term.
5. Park & Ride- Constructionof 4th Park & Ride site mayface opposition and lengthydelay in implementation.
traffic in the city. This willprompt a review of thetransport strategy toensure that futuredevelopment issustainable and will informoptions for the preparationof the LDF. VISUM modelnear completion.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Contingency
BusinessContinuity(General)
Head of Housing&
Street Scene
Larissa Laing
The impact of a business
continuity incident on thedelivery of council servicesdue to: -
1. Loss of key building or officespace.
2. Loss or lack of key staff.
3. Loss of key equipment orsystems,
4. Lack of fuel,
5. Loss of utilities, services,supplier or contractor.
3 - Possible 4 - High 12
Business Continuity PlanPlan has identified criticalservices. All Business
Continuity documentation tobe reviewed by services bythe end of 2009.
Exercises- Tabletopemergency exercise held inMarch 2009, which includedbusiness continuity elements.Further exercises planned.
Standby Generator Thegenerator is now functional.
Shared Working-Collaboration with East Kentauthorities to develop plans toincrease resilience
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
External
HousingDemand
Head of Housing&
Street Scene
Larissa Laing
Head ofPlanning
&Regeneration
Ian Brown
There is high demand foraffordable homes and arelated risk of greaterhomelessness / inadequate
housing provision.
Another impact of therecession is delay andcancellation of many newhousing schemes thatwould have included anaffordable housingprovision.
1. National & RegionalFactors- Housing demandis related to national andregional housing planningpolicy as well as marketfactors. All South Eastauthorities are facingincreased difficulties withthis risk.
2. Recession- The downturnin the housing market willmake it very difficult to
meet housing targets. Thiscould have an impact onovercrowding levels andthe size of the Housingregister.
3. Social Impact- Economicpressures lead to greaterfamily breakdown anddomestic violence.
4 - VeryLikely
3 - Medium 12
Homelessness strategyreviewed across EastKent. Focus onreconnecting rough
sleepers and betterdistribution of services.
Housing Strategy in placeand monitored regularly.Under review to ensure up-to-date response to current risk.New strategy to be in place in2011.
Liaising with CLG, RSLsand developers to find
opportunities to re-start thehousing market and developfamily homes. Council buildscheme being progressed.
Strategic Housing MarketAssessment completed. Thiswill inform key strategiesand interventions.
Secured CLG funds toextend free legal advice inCounty Court for defendantsin mortgage repossessioncases to preventhomelessness.
Working with partners tomonitor impact of therecession on homelessness,co-ordinate responses andimplement mortgage rescuescheme. Thus far there is no
noticeable increase in
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noticeable increase inhomeless presentations.
Reviewing hostels in2009/10 to assess how toprovide the accommodationand associated supportservices.
Council participates in themortgage rescue scheme.
Local ImprovementProgramme initiative withHomes and CommunitiesAgency. Will addresspriorities across East Kentand potentially deliver newinvestment to addresshousing and regenerationpriorities.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Legislative&
RegulatoryInformation
Management
Head of Legal&
DemocraticServices
Mark Ellender
The secure and correctmanagement of personaldata is important to thepublic, especially in light ofa series of high profilefailures in both the public
and private sectors.
1. Information Security-Several concerns raisedshared passwords, PC leftlogged in and the security ofcouncil buildings.
2. Records Management-Records managementcould be improved. Thecouncil's vulnerability hasbeen seen in some recentFOI Act and DP Actrequests.
3. Use of InvestigatoryPowers Public concernsover how councils usepowers under RIPA andimpact on the privacy of theindividual.
4. Freedom ofInformation/Data Protectionrequests ensuring properprocesses are in placeregarding publication orrelease of informationwithin regulated timescalesof 20 and 40 daysrespectively.
3 - Possible 4 - High 12
Information Security PolicyFull version on the intranetand publicised. Policy nowincluded in annual PDAprocess by requiring
employee declaration ashaving read and accepted it.
Acceptable Use Policy-currently under review
Mini-Data Quality AuditsAudits carried out inSeptember 2009 to checkthat data quality is beingmaintained.
Records Management Allbar one of retentionschedules now complete anda programme of reviews isunderway. Records Centre isimplementing a new databaseto improve the efficiency ofthe modern archive.
Audit CommitteePresentlyuse of RIPA powers reviewedquarterly by the Audit
Committee. The RIPA policyreviewed by the Committeeonce per year.
FOI Dedicated officerappointed to handle requestswhich have increased by 40%to 439 in 2009/10.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Legislative&
Regulatory
Land Charges
Head ofPlanning
&Regeneration
Ian Brown
1. Regulatory Changes- TheGovernment proposesderegulating some aspects ofthe service and prevents"profit-making" from localsearches. This would have animpact upon the budget of upto 200,000 per annum.Latest consultation proposingthat cost recovery will need tobe in place from 09/10 withaudit of fees/costs thefollowing year.
2. Fixed Fees- LocalAuthorities are obliged bystatute to provide data at afixed fee of 11 to local
private sector searchcompanies for certainservices. The fee level doesnot cover internal costs. Stillno indication whenGovernment is likely tochange fees.
3. HIPS- Introduction of HIPShas meant that a number ofconveyances have signed 1-2year deals with personal
search companies becausethey are more pricecompetitive (see 2 above)Huge increase in numbers ofpersonal searches as aresult.
4. Recession- Downturn inhousing market is stillseriously impacting uponnumber of searches received
4 - VeryLikely
3 - Medium 12
LGA has put pressure onGovernment to explaininequalities of current system.Local Land Charges servicesonly to seek cost recoveryfrom December 2008averaged over 3 years.
Robust response made tocurrent Government
consultation with Canterburybeing offered as a casestudy.
LGA are continuing to pressthe Ministry of Justice for aresolution. Our charges areset at as reasonable a levelas possible to mitigate thepossibility of legal challenge.
Some datasets are publishedto the website allowingaccess without charge.
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5. Further Incomes Losses The InformationCommissioner has takenthe view (July 09) thatpersonal searchers areentitled to view informationwithout charge underEnvironmental InformationRegulations. SomePersonal Search
companies have notified usthat they intend to reclaimfees already collected.Various bodies have soughtlegal opinions on thematter, which remainsunsettled. Personal Searchcompanies are issuing legalchallenges to individualcouncils.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Major Projects
Football HubProject
Head of Culture&
Enterprise
JaniceMcGuiness
1. Capacity- pressure uponstaff and resources to deliverhigh council priority.
2. Funding project deliveryreliant on external funding.
3. Partnership workingproject delivery reliant onpartnership support.
3 - Possible 4 - High 12
Corporate Project teammanaging process.
Staged approach to project to
allow for potentialreconfiguration of schemedependent on externalfunding and potential partnerexpectation.
Cross-departmental workinggroup in place to spreadworkload. Budget allocatedfor external support.
Managed through CoreOfficer Group. Robust projectplanning process withapproval at key stages.
Option to deliver on SimonLangton Boys School sitenow being considered.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Major Projects
Shared Landlord
Services Project
StrategicDirector
Velia Coffey
The council is working withDover, Thanet, and Shepwayto create a shared servicethat would deliver housinglandlord services to all the
authorities.
Key risks include: -
1. Irreconcilable expectationsbetween differentauthorities.
2. Unrealistic efficiencysavings.
3. Knock on impact on other
central services within eachauthority.
4. Lack of tenant support.
5. If project does not succeed future of shared serviceand impact on individualhousing services.
6. The withdrawal of one ofthe remaining participatingauthorities.
7. Section 27 approvaldeclined
3 - Possible 4 - High
12
Project team formed fromparticipating authorities.
Regular updates to Chief
Executives and Leaders.
Business case prepared tomodel general fund and HRAimpacts.
Tenant support confirmed.
Interim Acting MD recruited tosupport project.
TSA have commented
favourably on early drafts ofthe Section 27 application.
Councils have agreed thesecond stage decisions andbudget and resources tosupport next stage are inplace.
Each council has nominatedits Shadow Board member,approved next phase ofproject costs, approved setup of East Kent ALMO andSection 27 submission to theTenant Services Authority.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Partnerships
CHARM(HousingRepairs)Contract
Head of Housing&
Street Scene
Larissa Laing
The CHARM 2 (HousingRepairs & Maintenance)contract is one of thecouncil's key contracts andpartnerships.
The contract has recentlybeen re-tendered.
Risks now relate to theoperation of the newcontractor: -
1. Demand Housing repairsis a demand led serviceand therefore overall costscan vary and potentially behigher than expected.
However this risk ismitigated by a fixed pricecontract so the risk onlycovers works outside thecontract
2. Contract ManagementServices issues are notcommunicated andeffectively addressed.
3 Possible 4 High 12
Contract ManagementStrong contract managementarrangements have beendeveloped under the previouscontract and these willcontinue including fortnightlymeetings with contractors todiscuss service.
Inspection Regimes &Planned Maintenance -
Reduces the need for high-cost responsive maintenance.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
External
Supporting
People
Head of Housing&
Street Scene
Larissa Laing
Funding for the SupportingPeople programme has oneyear left of certainty.
There is uncertainty overwhether funding will be
extended.
If funding is not continued thecouncil will need to considerwhat parts of the programmeit would choose to fund itselfe.g. Lifeline Services.
There is now a capping ofLifeline monitoring chargesthat may impact on thecouncils ability to deliver
community alarm services inthe same way as now.
Funding for the HomeImprovement Agencies isalso under review.
The largest risk is proposedchanges to the funding of theEnhanced care service. Thisrisk is being mitigated bydiscussions with Kent Adult
Social Services regardinghow we will be providing careand support in enhancedcare schemes.
4 - Likely 3 - Medium 12
A review of the communityalarm service is underwayto find efficiencies inrunning costs and to re-
design services aroundusers needs.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Major Projects
CoastalRegeneration
Head ofPlanning
&Regeneration
Ian Brown
The vulnerability of coastalparts of the district toeconomic downturns andcompetition from othercommercial centres.
3 - Possible 3 - Medium 9
Herne Bay CentralDevelopment AreaTheArea Action Plan has beenagreed and Dennes havebeen appointed thedevelopment partner. Masterplan to be completed end of2010. The project isexpected to begin in 2011.
Local DevelopmentFrameworkIncludesproposals to help stimulateeconomic activity in coastalareas.
Town Centre Management
ActivityA number ofschemes and activities areplanned to promote bothWhitstable and Herne Bay.
Partnership WorkingPromoting regenerationthrough work with KCC,Tourism South East and localbusiness groups.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Internal
ManagementSkills & StaffDevelopment
DirectorOf Finance
Jim McDonald
1. Managers Theawareness amongst somemanagers of employment
law, internal staffprocedures and other staffmanagement issues couldbe improved.
2. Skills- The extent andvolume of activity and paceof change poses a risk tostaff if resources andcapability does not matchdemands e.g. projectmanagement skills.
3. Fairness- Pay inequalitiesbetween different divisionsare becoming morepronounced.
4. New skills needed for newfinancial environment.
3 - Possible 3 - Medium 9
Training for Managersand Staff SeniorManagement haveidentified a range of skillsthat will be needed for thefuture and training will beorganised during 2010/11.This will commence with asignificant changemanagement programme
Online Training- The onlinetraining provider has beenchanged and those coursesare now more accessible.Use on online training hasbeen promoted
Job Evaluation Anequal pay audit wasundertaken and found thatthe pay scheme did notlead to pay inequalities.Management Team hadcommissioned work toreview the job evaluationscheme; however this ison hold pending otherpriorities and the HRShared Services project.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Financial
Fraud &Corruption
Director
Of Finance
Jim McDonald
The risk of fraud andcorruption arising due to: -
1. Non-compliance with internalfinancial controls.
2. Failure to promote an anti-fraud culture.
3. Price Fixing in Constructionsector (OFT investigation)
4. Recent high profile publicfraud cases and allegations atboth national and local level.
5. Increased risk of fraud andirregularity from impact ofrecession
3 - Possible 3 - Medium 9
Executive andManagement controlsincluding CouncilConstitution, Members
handbook, StandardsBoard, FinancialRegulations, ContractStanding Orders,strategies and procedures,performance managementsystem to give earlywarning of problems.
Internal Audit coverage ofkey systems and thoseidentified from a detailed
risk assessment ofsystems vulnerable tofraud and corruption.
Promotion of anti-fraudand corruption andwhistleblowing policy andmonitoring of codes ofconduct. Robustprocurement processes tominimise risk of cartelsbased on OFT/OGC guide
"Making Competition Workfor You".
Specific audit work aimedat fraud detection will beundertaken in 2009/2010.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Contingency
BusinessContinuity(ICT Service)
ICT ComputerServices
Manager
Timo Bayford
The risk of an IT relatedbusiness continuity eventoccurring and causingdisruption to the council's ITsystems and general ability tofunction.
1. Network Failure- Risk ofloss of a network or singlenetwork components.
2. Hardware Failure Loss ofone or more servers causingloss of data.
3. Security- virus attack viafirewall, email or externalmedia.
4. Environmental Failure- fire,power loss, serversoverheating.
2 - Unlikely 4 - High 8
ICT Disaster Recovery-Service contracted with ICMin partnership along with 6
other councils. Contractsigned Oct 2009. Testingprovided for in support 2 dayon + 2 days off-site. VMwaretechnology implemented aspart of server consolidationprovides enhanced recoverysolutions. Tested duringimplementation.
ICT Business ContinuityPlan- Computer ServicesManager has reviewed andupdated ICT Disaster Plan.Stored on remote server.Recently updated.
Security- Security protocolsand anti virus solutions inplace and updated regularly,including secure publicaccess to services. Recentlyupdated for GCSx code ofConnection
Fire Prevention- Range ofalarms in place to alertcentral control plus newgenerator, fire protection andair conditioning systems.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Partnerships
Shared ServicesAgenda
ChiefExecutive
The delivery of councilservices through sharedworking arrangements hasbeen strongly promoted ata national and local levelas a means of deliveringimproved efficiencies andresilience. The successfulimplementation of sharedservices has been givenfurther importance withanticipated cuts in centralfunding for localgovernment.
The potential risks are: -
1. Service DeliveryExpected efficiencies andfinancial savings may notbe achieved or onlyachieved with furtherreductions in servicedelivery.
2. Technical & CulturalCompatibility Bringingservices together mayinitially bring diseconomies
of scale and reducedservices levels, ascompatibility issues areresolved.
3. Project Cost/ StaffCapacity Setting up newarrangements can be time-consuming and costly.
2 Possible 4 - High 8
Governance- East KentJoint ArrangementsCommittee to oversee newprojects.
Communication Liaisonbetween communication
officers in different councils toco-ordinate information tostaff.
Individual Project TeamsProject teams presentbusiness case for agreementbetween the councilsinvolved. Business case isconsidered by collectively andby individual authorities.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Financial
Banking Crisis &UK PublicFinances(including
Icelandic Banks)
DirectorOf Finance
Jim McDonald
The banking and financialsystem crisis in Autumn2008 has presented anumber of risks.
1. Icelandic Banks- thecouncil had deposits
directly with one Icelandicbank (Glitnir) and one UKsubsidiary of an Icelandicbank (Heritable) totalling 6million. The collapse of theIcelandic banking sectorhas put a proportion ofthese deposits at risk. Theextent of this risk willdepend on the outcome ofcourt cases to determinewhether UK local authority
deposits are classed asPreferred creditors. Theextent of the financialcollapse and the number ofUK depositors who stand tolose funds means that aswift resolution is unlikely.
2. Wider Impact- The priceof dealing with the crisishas meant that UK interestrates are at the lowest
levels ever and the size ofpublic sector debt is veryhigh which is putting theUKs sovereign credit ratingat risk, although the recentnational budget has had apositive effect on thesovereign credit rating.There are risks that atsome point inflation will rise
4 _ VeryLikely
2 -Low 8
Heritable- The Heritableadministrators have madethree dividend payments andfurther payments areexpected. A total re-paymentof around 85 pence in the
pound is anticipated.
GlitnirThe local authoritiescase is being co-ordinated bythe Local GovernmentAssociation and they haveengaged UK and Icelandiclegal teams to seek preferredcreditor status in the Icelandiccourts. Test cases havebeen prepared and hearingswill take place later this year.
Treasury ManagementPolicy- Reviewed regularlyand reported quarterly tocommittee. Monies aredeposited with financialinstitutions with F1 rating orbetter. If UK rating isdowngraded the treasurymanagement strategy will bereviewed.
VAT Reimbursement-Although we anticipate thatthe council will receive asubstantial proportion of themoney back, provisionshave been made in case ofthe need for partial write offfrom the 2.9 millionreturned in the HM Customs& Excise claim.
rapidly and that it will takelonger to come out of
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longer to come out ofrecession.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
External
Anti-SocialBehaviour
Head of Housing&
Street Scene
Larissa Laing
1. Crime Hotspots- Thedistrict generally benefitsfrom low levels of crime butthere are pockets of crimeand general anti-socialbehaviour.
2. Low Level Crime- Publicperception of the level ofcrime can often differ to theactual level. This is ofteninformed by the publicexperience of low levelcrime and anti-social
behaviour e.g. vandalism.
2 - Possible 3 - Medium 6
Safer CommunityPartnership The councilhas developed a number ofinitiatives in conjunction withthe police, PCSOs andcommunity groups to dealwith anti-social behaviour.The partnership plan hasbeen agreed.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Legislative&
Regulatory
Equalities &Discrimination
Legislation
Head of Policy
&Improvement
Mark Bursnell
1. Poor Decision-MakingFailure to take into accountequality and diversityissues may result in thecouncil making poordecisions.
2. Unfair Treatment
Council may directly orindirectly discriminate.
3. Loss of PublicConfidence Public loseconfidence in the council toact fairly.
4. Legal ComplianceFailing to comply with UKequalities law.
2 - Unlikely 3 - Medium 6
Equalities & InclusionPolicy Updated in 2005currently being reviewedfollowing introduction of newEqualities Act 2010 andintroduction of new codes ofpractice in March 2011.
DDA Compliance Accessaudits complete for all councilbuildings. Audits complete forActive Life buildings. Nowworking on action plans.Adaptations made to MilitaryRoad office.
Corporate Equalities &Access Group Chaired by
the Head of Housing,Community Safety andEnvironmental Services andmeets monthly to coordinatecouncil response to newEqualities Act 2011andcorporate equality actionplanning.
Equality Framework forLocal Government Councilcommitment to obtain
Achieving level.Assessment for newframework due to take placein 2011.
Customer Access ReviewProcessProcess nowunderway. Trainingprogramme and phase one ofprocess due to complete byearly 2011.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Legislative&
Regulatory
InternationalFinancialReportingStandards
Head of Finance
Ian Cooke
New reporting standards arebeing introduced for the finalaccounts in 2010/11. Thisalso requires shadow
accounts to be prepared for2009/10.
1. Implementing these newstandards will impact on thecapacity of both FinancialServices & Property Servicesas they incorporate the newchanges. The new standardswill create additionaladministration and reducecapacity for other projects.
2. Failure to comply with thenew standards will directlyimpact on Use of Resourcesscores and problems with theaccounts being signed off.
3 - Possible 2 - Low 6
Financial Advisory Networkused for updates and briefingnotes.
Head of Finance and staffhave attended training
workshops.
Property Services advised ofchanges.
Contractor employed toreview leases and produceshadow balance sheet at 31March 2009.
Head of Finance and staff willhave to attend further training
in 2010 and 2011 andextensive further studying ofthe new SORP (Statement ofRecommended Practice) totake account of the manyfurther changes required by2011.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Legislative&
Regulatory
Food SafetyInspections
Head of Housing&Street Scene
Larissa Laing
The council is required tocarry out food safetyinspections on all cateringpremises.
There is an ongoinginspection backlog. This is
due to: -
Changes in the Code ofPractice have increasedinspection requirements.
New inspections need to becarried out when apremises opens or changeshands. The district has ahigh turnover of catering
businesses. It has becomeapparent that just aspremises are closing due tothe recession, peopleinvesting their redundancymoney into a new businessare opening new ones. Thiscreates an additionaldemand for inspections.
There is a separate andintensive inspection regime
for shellfish premises. Thisalso reduces resourcesavailable for other foodinspections.
The risks are: -
1. FSA Intervention- Ifcompleted inspections fallbelow 50% the FoodStandards Agency would
2 - Unlikely 3 - Medium 6
The number of inspectionscompleted within timeremains above average(60%) but backlog hasstabilised.
Primary responsibility forhygiene standards remainswith the premises. Severalinitiatives are planned topromote food safety.
There is a new regime for lowrisk premises that will free uptime.
A new EHO post was createdand filled from 17 August2009. This has helpedreduce the back log.However, a Technical Office(food) was made redundant inMarch 2010 due to costsaving requirements.
audit the food service andcould intervene and take
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could intervene and takeover the inspections,recharging the council.
2. Public Safety- There is anincreased risk of a seriousincident of food poisoning.
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Risk Risk Owner Risk Description Likelihood Impact Risk Rating Risk Controls
Financial
Capita HousingRent IT System
Head of Housing
&Street Scene
Larissa Laing
A piece of software, whichruns overnight to keep theCapita Housing System upto date with information, isnot functioning correctly.
The system is unavailable
to Housing and ContactCentre staff for significantparts of the week.
The risks arising from thisare:
1. Financial InformationRent payments, housingbenefit adjustments,supporting people
payments are not up todate or accurate.
General rent accountinformation e.g. thefinancial week number,amount of rent to debit toindividual rent accounts etc.is out of date or inaccurate.
Financial information is notavailable to enable
reconciliation of the incomemanagement system.
Regular reports to Finance,Housing Benefits andHousing Options cannot beprovided.
Direct debits are moredifficult to manage.
2 - Unlikely 3 - Medium 6
Support StrategicSupport staff are workinghard to reduce the impact
by running income filemanually
ICT Housing workingclosely with ICT to try toovercome the coreproblem
Capita In contact withCapita to assess whetherthe council can migrate
from its own software to aCapita product.
Income In contact withthe Income Manager andthe Income Section tocheck that incomeaccounts and rentaccounts are reconciling.
CommunicationKeeping all Community
Services and ContactCentre staff regularlyinformed of the situationas it develops.
2. Customer Focus-Banding information for
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gapplicants to the HousingRegister is not up to date.
The supply of information toHousing Benefits to enablethem to processapplications iscompromised. This mayaffect the councils ability to
calculate housing benefit.
New rent payment cardsand rent statements are notbeing produced.
The production of standardletters is affected,particularly bulk arrearsletters in which rentbalances cannot be trusted.
Customers cannot beprovided with currentinformation or balances onrequest.
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