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Scarborough Borough Council Service Risk Register – Legal and Support Services (September 2009) Report Reference 09/495

No Date Risk Consequences Mitigation Current Risk

Score

Target score

Action Plan Responsible officers

1 01/09/2009 Failure to recruit and retain staff with the necessary skills

Loss of confidence in service/ externalisation of work/inadequate budget to cover

Appraisals focussed on personal motivation/training opportunities/awareness of marketplace/flexible HR policies - home working where staff have skills to work unsupervised

C4 B4 Ian Anderson/ Lisa Dixon/ Gill Wilkinson/ Steve Pike/ David Gomersall

2 01/09/2009 Inadequate legal income from external clients and capital projects to meet targets

Cuts in legal staff/inability to provide range of legal advice to meet internal requirements

Service Level Agreements/Statutory power of Monitoring Officer to require adequate resources to fulfil role

B3 B3 Ian Anderson / Lisa Dixon/ David Kitson/ Kerry Russett

3 01/09/2009 Inadequate capacity to meet work demands of revenue projects

Work undertaken ineffectively/ deadlines missed/loss of confidence in service

Service Level Agreements/Statutory power of Monitoring Officer to require adequate resources to fulfil role

C3 B3 Ian Anderson/ Lisa Dixon/ David Kitson/ Kerry Russett



Score

Target score


4 01/09/2009 Inadequate capacity to meet work demands of capital projects

Lack of legal input on capital projects/diversion of legal time onto capital projects away from revenue work/fee generating work/income targets missed/damage to reputation of the Council

Close working relationship with Council's overall Projects Manager/Ensure consequential legal costs are identified in projects/ensure budgetary provision/ensure external funding bodies accept inclusion of internal fees/external framework contract for support services/use of Counsel

C4 B4 Lisa Dixon/Carol Rehill

5 01/09/2009 Inadequate Project Management skills/project management

Projects not progressed, costs overrun/Deadlines missed/lack of motivation/ disinterest

Project management training/Adoption of Project management systems

B2 B2 Ian Anderson/ Kerry Russett



Score

Target score


6 01/09/2009 Too much external work

Insufficient capacity to undertake internal/external work/loss of clients

Monitor workloads/increase capacity as resources allow

B3 B2 Ian Anderson/ Lisa Dixon

7 01/09/2009 Failure to identify, report on and achieve appropriate Performance Indicators

Internal/external challenge upon performance/inability to effectively defend

Review of Pis through business planning/performance reporting systems

C3 B2 Ian Anderson/ Kerry Russett/ Diane Cross

8 01/09/2009 Inadequate document management system

Inability to find evidential documents, evidential documents unusable because not stored in an acceptable format

Case Management system/procurement of EDRM system/support for move to email package that integrates with systems (e.g. MS Outlook)

C4 B2 Ian Anderson/ Kerry Russett



Score

Target score


9 01/09/2009 Budget not adequately monitored

Overspend on budget/failure to commit available resources to service requirements

Monthly reviews B3 B2 Ian Anderson/ Gill Wilkinson/ Steve Pike

10 01/09/2009 Loss /destruction of premises/files

Destruction of working papers/evidential documents

Business continuity plan/Electronic document management processes/Case/ democratic management system/VPN access

B3 B2 Ian Anderson/ Gill Wilkinson/ Kerry Russett

11 01/09/2009 IT systems failure

Case management system inaccessible/court/ legal deadlines missed

Internet access/local backup/"Hit the road" functionality

B3 B3 Ian Anderson



Score

Target score


12 01/09/2009 Security breach - data loss

Legal action/Loss of reputation/ confidence

Establish Secure encryption to control access to laptops/amend laptop receipt form to confirm that all work while connected to the internet must be via Virtual Private Network

C3 B2 HoLSS

13 01/09/2009 Inadequate storage/document destruction systems

Overload of documentation/ loss of significant documents/health and safety hazards

Effective document destruction processes/systems

B4 B3 HoLSS

14 01/09/2009 Failure to put in place systems to adequately communicate legal risk/advice

Loss of confidence in service/decisions made uninformed by legal risks/damage to reputation of Council

Establish Service Level Agreements/ corporate systems to ensure appropriate legal advice given

B3 B2 HoLSS



Score

Target score


15 01/09/2009 Democratic process documentation not printed/ distributed at required time

Breach of Access to Information rules/legal challenge/ Ineffective meetings/ uninformed decision making/lack of consultation

Make available electronically via web/email to public/members/Electronic Democratic Process management system/establish framework contract/develop list of alternate approved suppliers

B2 B2 HoLSS

16 01/09/2009 Inadequate cover arrangements for illness etc

Inexperienced officers covering work (e.g. minute taking)

Good training/cross service arrangements/ substitute arrangements

B2 B2 HoLSS

17 01/09/2009 Failure to maintain website information

Poor service to members/public/ill informed comment

Use of website as primary service management tool

C3 B2 HoLSS



Score

Target score


18 01/09/2009 Failure of Service websites

Documents not available to the public/internal users

Externally hosted websites with contractual terms that safeguard the provision

B2 B2 HoLSS

19 01/09/2009 Liquidation of suppliers (e.g. websites)

Software loss/breakdown in service

Pre-Qualification of suppliers/escrow contracts with third parties for key software suppliers

B3 B2 HoLSS

21 01/09/2009 Failure to ensure adequate legal knowledge and training for officers and clients

Mistake as to the law/challenge/ breach of law by the Council; Judicial review

Appraisals/LNTV/Training/Internal training/Legal Brief

B2 B2 HoLSS

22 01/09/2009 Lexcel Accreditation not achieved in timescale

Loss of external clients

Project Management C3 B2 HoLSS



Score

Target score


23 01/09/2009 Legal Library not maintained

Not up to date with changes in law/Errors in legal advice given/Damage to reputation of the Council/integrity of service undermined

Maintenance of funding for legal update services/Purchase service from on-line provider

B2 B2 HoLSS

24 01/09/2009 Staff training not maintained

Not up to date with changes in law/Professional body disciplinary processes instigated/errors in legal advice/integrity of service undermined

Personal training programmes through appraisal, maintaining a healthy training budget

B2 B2 HoLSS



Score

Target score


25 01/09/2009 Advice beyond internal knowledge skills

Uninformed advice given leading to breach of law

Maintain list of Counsel/Professional Services framework contract/ externalisation of advice where need for advice occasional/beyond capacity/identify costs within projects/work with partner Councils

B3 B3 HoLSS

26 01/09/2009 Conflict of interests between external and internal clients

Professional misconduct complaint to professional bodies

Risk Management process on opening files/Arrangements for referral of conflict work to external solicitors

B4 B2 HoLSS

27 01/09/2009 Failure to put in place systems to ensure legal advice given in respect of Council decisions

decisions made uninformed by legal risks/damage to reputation of Council/Monitoring Officer

Establish corporate systems to ensure appropriate legal advice given

B4 B4 HoLSS



Score

Target score


28 01/09/2009 Failure to identify and report to Members unlawfulness

Integrity of individual officers undermined/Loss of confidence in service/external clients lost/damage to reputation of the Council

Establish corporate systems to ensure appropriate legal advice given

B4 B4 HoLSS

29 01/09/2009 Standards Investigations referred to Borough Council not undertaken/poorly managed

Integrity of individual officers undermined/Loss of confidence in service/external clients lost/damage to reputation of the Council

Train Legal Services officers to undertake/manage investigations

B2 B2 HoLSS

30 01/09/2009 Freedom of Information Act response targets not met

Complaint to Information Commissioner

Maintenance of monitoring system

B3 B3 HoLSS



Score

Target score


31 01/09/2009 RIPA investigations not authorised and monitored in accordance with the law

Damage to reputation of Council; Public humiliation and damage to career of individuals; breach of law by the Council; Judicial review

Maintenance of monitoring system

A3 A3 HoLSS

32 01/09/2009 Failure to maintain adequate procedures/rules for the conduct of Council business


Training programme for officers/limit officers involved in process to trained core

C3 B3 HoLSS



Score

Target score


33 01/09/2009 Failure to maintain/ enforce Constitution/ Procedural Rules


Review reports for impact/rigorously update constitution in on-line format/Training programme for officers/limit officers involved in process to trained core

C4 B4 HoLSS

34 01/09/2009 Failure to ensure external appointees understand their role and terms of reference

Damage to reputation of the Council/Breaches of Code of Practice/decisions made outside powers/terms of reference

Member Training for external appointees/good communication with external bodies and members on role

C3 B3 HoLSS

35 01/09/2009 Failure to ensure that external appointees are not placed in a position where a conflict of interest arises

Damage to reputation of the Council/Breaches of Code of Practice/barred from being a company director

Member Training for external appointees/good communication with external bodies and members on role

C3 B2 HoLSS



Score

Target score


36 01/09/2009 Inadequate Contracting procedures

Loss of confidence in the local authority/legal challenge

Effective Contract Management System incorporating audit trail/training in system

C4 B4 HoLSS

37 01/09/2009 Failure to follow Contract procedure rules


Effective Contract Management System incorporating audit trail/training in system for core of authorised officers

C4 B4 HoLSS

38 01/09/2009 Register of Contracts not maintained



C4 B4 HoLSS



Score

Target score


39 01/09/2009 Equipment breakdown (printers etc)

Unable to use equipment

Establish framework contract for print services/lease of print equipment/repair service

B1 B1 HoLSS

40 01/09/2009 Inadequate tendering processes



B4 B4 HoLSS

41 01/09/2009 Procurement Joint Committees make decisions outwith their powers

Ensure appropriate legal agreement/ensure compliance with Access to Information Rules/

Training for members/new officers/partner Councils

C3 B2 HoLSS



Score

Target score


42 01/09/2009 Failure to ensure effective support to Overview and Scrutiny Committee

Inadequate testing of proposed decisions/diminution of democratic process

Training for members/officer support for committees/some budgetary provision

B3 B3 HoLSS

43 01/09/2009 Inadequate promotion of public engagement in democratic process/Community Leadership

Disinterest of public/poor election turnout/Corporate Plan not fulfilled/declining performance against national indicators

Democracy week/Review of O and S and Area Committees

B3 B3 HoLSS

44 01/09/2009 Corporate Complaints procedure is not followed leading to the complaint being referred to the Ombudsman

Poor public perception of council

Robust three stage complaints procedure

B3 B3 HoLSS



Score

Target score


45 01/09/2009 Limited regard paid to ethical conduct through Standards and good governance not being integrated into the work of the Council

Poor perception of Council/negative assessment of Council by Auditors

Bi-annual meetings between CE/Leader/Chair of Standards and MO//Ensuring close integration of working between the Audit Committee and Standards Committee/Joint Training for co-opted and elected members

B2 C2 HoLSS

46 01/09/2009 Council fails to effectively resource Standards

Council's ethical standing in the community undermined/ negative Audit assessment

Effective support through designated officers for Standards

HoLSS

47 01/09/2009 Constitution does not reflect the practice of the Council

Unlawful decisions/Council acting ultra vires

Regular review of Constitution/Involvement of Standards Committee in review of Constitution

B2 B2 HoLSS



Score

Target score


48 01/09/2009 Members and Officers have insufficient understanding of their powers and the limitations thereon

Members and officers make decisions outside their powers

Clear scheme of delegation within the Constitution/Training for officers/Provision of User friendly guides

C3 B2 HoLSS

49 01/09/2009 Officers lack awareness of potential for conflicts of interest

Challenges to decisions on basis that decision maker had conflict of interest

Revision of Officer Code for Declaration of Interests/Training

D3 B2 HoLSS

50 01/09/2009 Failure to provide appropriate training and guidance to Parish and Borough Councillors

Not up to date with changes in law/Errors in legal advice given/Damage to reputation of the Council/integrity of service undermined

Establish and implement Member training programme

B3 B3 HoLSS



Score

Target score


51 01/09/2009 Ethical conflicts not recognised by officers or partnerships

Breaches of contracts of employment/ Breaches of Code of Conduct for members/Public loss of confidence

Standards and Audit Committee review governance/ethical arrangements for partnerships

C3 B2 HoLSS

52 01/09/2009 Decision making by partnerships outside powers

Partnerships take actions that impact upon the Council and the Council is required to resolve

Ensure Legal and Democratic advice and support upon partnerships

C3 B2 HoLSS

53 01/09/2009 Partnerships established without proper regard to governance issues

Ineffective partnerships/ partnerships that breach ethical and financial conduct requirements/partnerships that require Council action to address problems that arise

Partnership Guide/training on the Guide/Legal involvement in development of governance arrangements for partnerships and legal agreements

B2 B2 HoLSS



Score

Target score


54 01/09/2009 Partnerships not performing

Ineffective partnerships/loss of public confidence

Scrutiny of Partnerships through Projects and Partnerships O and S

C3 B2 HoLSS

55 01/09/2009 Register of Electors not monitored and secured.

Identity theft/impersonation.

Implementation of Verification Framework.

B1 B1 HoLSS

56 01/09/2009 Failure to deliver election forms/ballot papers

Inadequate notice of election

Identify alternative suppliers, introduction of penalties for non-delivery into contracts

B2 B2 HoLSS



Score

Target score


57 01/09/2009 Ballot papers returned late

Challenge to election result

Late postal sweep B1 B1 HoLSS

58 01/09/2009 Ensuring polling/count stations available to manage elections and by elections

Electors unable to vote/challenge to election

Identify alternative polling station arrangements

B1 B1 HoLSS

59 01/09/2009 Ballot papers not printed/ numbering errors

complaints/ damage to reputation

Contract conditions to include quality checks

B2 B2 HoLSS



Score

Target score


60 01/09/2009 Static/declining turnout figures at elections

lack of engagement with electorate/ declining performance against National Indicators

Promotion of democracy through annual events/promotion of democratic process within schools (e.g. lawyers into schools/school events)/engagement through webcasts

B2 C3 HoLSS

61 01/09/2009 Availability of temporary out of hours staff group

Incapacity to manage election

Have reserve staff list B2 B2 HoLSS

62 01/09/2009 Civic Vehicle breakdown

External contract for vehicle and chauffeur hire/alternate vehicles

External Contract established

C1 B1 HoLSS



Score

Target score


63 01/09/2009 Inadequate security

Theft from civic rooms/loss of civic regalia/loss of insurance

Restrict use of regalia for to key engagements/ensure adequate security arrangements/secure rooms/supervised access to external groups

B3 B2 HoLSS

64 01/09/2009 Unlawful charging arrangements by Property Information Unit

Legal Challenge to approach to charging by Property Search Groups/Audit criticism

Establish clearer accounting process for management of Land Charges and Property Information Unit/Review Charges by Dec 09

D3 A1 HoLSS



Score

Target score


65 01/09/2009 Land Charges income targets not met

Insufficient income to meet cost of providing service across the Council

Ensure only Land Charges costs are included in budget - pursue funding bid in relation to balance/Improve software integration across the Council/Develop SBC contribution to Home Information Packs/Engage partners in improving service/facilitate through IT/Introduce actual cost charges to PSGs/

C3 B2 HoLSS

66 01/09/2009 Land Charges information sources inaccurate

Information from which Land Charges information drawn out of date or inaccurate

Centralisation of information managers into Central admin (completed)/Introduction of single managed information system/Review of all data in systems

C3 B2 HoLSS



Score

Target score


67 01/09/2009 Land Charges register not maintained

Damage to reputation of Council;

Electronic management system integrated into partners records

B2 A1 HoLSS