Risk Register 8 May 2012 (Landscape) One Barnet

8/2/2019 Risk Register 8 May 2012 (Landscape) One Barnet

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Barnet London Borough Council

25 April 2012

s is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the pot

One Barnet Risk Register

Report produced by JCAD RISK O2001-2012 JC Applications Development Page 1 of 58

Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence


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CC00001 One Barnet Programme 12 Project Risk (To be usedONLY in project risksection)

Business Continuity Unable to receive and make calls,and support MI requirements andto deploy multi-skilling benefitsdue to Infrastructure withinContact Centre (telephony) beingunsupported. In addition toplatform, call logger solution isshowing instablilty.

1.Explore all short term optionsavailable. Use 5 bar gating tomanually cature insight and

agree with reports onintraday profiles

2.Present recommendation toBoard as required3.Continue closecommunications with IS projectmanager responsible fortelephony upgrade/call loggerissues and see RiskCSO-R2.4.Challenge and push for firmdates for Telephony Upgrade5.Check current BCP plan-Messages in place for Outages

Caused due to Council's telephonyinfrastructure being out of supportand operating on out of dateversions of software. Call loggingissues

Consequence: lack of benefitrealisation potential associatedwith multi-skilling and call routingimprovements. Also MI reportingin general and ease of access toMI specifically means reportingeither costly in time orunavailable/accurate.

CC00004 One Barnet Programme 8 Project Risk (To be usedONLY in project risk

section)

Staffing & Culture Web project scope does notsupport CSO information Base

requirements fully

Liase with Web team and agreeapproach to defining

requirements for subsequent WebProject phases. Ensurerequirements for Phase 2 webproject articulated.

Ensure functionality offered byweb project is fit for purpose( search and find facility,content repurposing, andupdate/feedback mechanism)

Inability to achieve FCRexpectations, and reduces

positive impact of multi-skillinginitiatives. Channel shift andgeneral enquiry handlingcapability a key outcome of thismitigation

CC00008 One Barnet Programme

_

4 Project Risk (To be usedONLY in project risksection)

Staffing & Culture Industrial action (short of a strikeor a strike) may be taken in SocialCare Direct.

HR managing action withUNISON. (Impact ratingassessment is on the projectdelivery not on the businessdelivery).

Impact on service delivery to bemanaged by ASCH.

May impact on delivery of project;however until result of ballot this isunknown.


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CST0001 One Barnet Programme 12 Operational Financial There is a risk that customersmay not transfer to differentchannels when they aredeveloped and therefore thefull effect of benefits may notbe realised

1.All projects to be initiatedwith valid business cases andhigh-level design for benefitsto be realised2.All projects to include benefitsrealisation activity within plans(e.g. marketing, closingchannels etc)3.Programme level BenefitsRealisation Plan to be completedand monitored through CustomerServices TransformationProgramme Board

Investment will be wasted/strategywill not be fulfilled.

CST0002 One Barnet Programme 6 Strategic Financial There is insufficient focuson benefits realisationacross Customer ServicesTransformation

Benefits Management strategyto be completed. Each project toidentify financial and nonfinancial benefits and recordthem on a Benefits Profile.Programme level BenefitsRealisation Plan to be completedand monitored throughCustomer ServicesTransformation ProgrammeBoard.

Benefits will not be identified,enabled and delivered

M E

...2,6


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Risk Ref_

Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

CST0013 One Barnet Programme 6 Project Risk (To be usedONLY in project risksection)

Reputational There may be a lack ofunderstanding across theorganisation across allstakeholders (including seniorofficers and members) aboutcustomer services and what theprogramme's objectives andapproach mean in practice.

Programme CommunicationsPlan to ensure that allstakeholders, particularly keystakeholders are aware andsupport the programme'sobjectives and approach andwhat this means in practice.Profile of CST and othercustomer services related beingraised through CLG and FirstStat sessions.CLG session on High-level designand roadmap once this iscompleted.

7/11/11 CST Board Agreed actionneeds to be taken to "win heartsand minds" - KIQJTM to takeforward. Paper to be presented toCST Board on 5/12.

Paper not ready for 5/12 - to go toCDG on 17/1. Responsibility

passed to .

Paper approved on 17/1.Likelihood downgraded to 2 asapproved action plan is now inplace.

Delivery of transformation will beimpacted due to having toconvince key stakeholders of thebenefits of proposedtransformation activity and theapproach delivering thesebenefits.


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Staffing & Culture There may be insufficientcapacity across the organisation(within Customer Services andthe council as a whole) tosupport and enable Customer

Services Transformation at thesame time as delivering otherOB projects and managingbusiness as usual.

Directors (or representatives) tobe involved in planning andprioritising transformation workand to ensure that when work isinitiated the required resource

will be available.

8/11 Detailed plan for inputof Services to be created andall services involved inplanning.

23/12 Projects are engagingservices early with clear plansfor where staff will need to beinvolved. No problems areoccurring therefore likelihoodrating decreased to 3.

Planned work may not be possible,or BAU/other OB projects will beadversely impacted.


Political Partners may not beproperly engaged and

involved in CustomerServices Transformation.

Communications Plan to includedetailed activity on proper

engagement of partners.

Impact rating reduced asagreed at PB on 1/8/11.

The Programme will not realiseits' (and therefore the One

Barnet Programme's) objectivesaround a One Public SectorApproach.

Project Risk (To be usedONLY in project risksection)

DRS0002 One Barnet Programme 6 Project Risk (To be usedONLY in project risksection)

Financial Risk of delays to the projecttimeline caused by service ADsnot meeting deadlines due topressure of other work.

PB agreed to provide supportto Services.

Cause: Pressure of other work.Consequence: Delays toproject


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Financial A poorly designed or structureddialogue process leads to theproject failing to hit itsobjectives due to one or moreof the following: a lack of aclear strategic direction,

inappropriate monitoringarrangements, weak orinappropriate contracts orfailure to keep pace withlegislative changes.

Plan extensively reviewed.Strategic direction is clear,T&H monitoring legislativechanges fortnightly,monitoring arrangements andthe contract will be overseen

by the Project Board.

Work on the commissioningcouncil needs to be fed into theDRS procurement so that a clearsteer can be given to thebidders. It is not currently clearhow close the council is tofinalising its thoughts around thisand this may have a significantand negative impact on DRS.

Dialogue has been structuredaccording to expert advice.Board will be involved fortnightlyto provide strategic direction.Trowers in place to advise on

legislative changes. Monitoringarrangements and weak /inappropriate contracts to beavoided by Project andProgramme Board involvement.The dialogue process has clearaward or evaluation criteria thatwill be effectively communicatedto the market. The team willinclude qualified and competentprocurement professionals aswell as significant internal andexternal legal resource who willwork to provide a robust andappropriate contract."

Cause: Inexperienced staff, orstaff with capability issues. Poor orunclear management.Consequence: Project fails to hitits objectives.


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.,_ _15 ojec i o Financial


Financial In this challenging climate,bidders are not aligned with theCouncil's aims, or do notrespond as anticipated to thebundles of services underconsideration.

Risk is being managedthrough CD process. Noadditional actions in placebeyond this at this time, sorisk moved to 'tolerate'.

Cause: Bidders are 'out ofstep' with LBB. Consequence:Project fails to hit itsobjectives.

DRS0006 One Barnet Programme 8 Operational Reputational Service provider partner does notdeliver required service

Training and support for thoseinvolved in writing specs andexternal review. Dialogueprocess designed to minimisethis risk. No additional actionsplanned at this time - so riskstrategy is to 'tolerate'.

CAUSE: Poorly designed outputspecifications

CONSEQUENCE: Higher cost to

Council through increased changecontrol requirements


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Financial LBB appoints a bidder who isfinancially insecure, or doesn'tmeet our stated financialassurance minimums for theaward of contracts. Risk ofexposure to partner going out

of business or being otherwisefinancially unable to meet thecontract's commitments.

Financial monitoring will beundertaken at key points inthe project according to theproject plan

Cause: Poor market knowledge,insufficient financial monitoringConsequence: Reputationaldamage, failure to deliver thecontract, consequent requirementto severely cut service provision


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21) Recent project planning has Cause:

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-


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IM 15

IMS0001 One Barnet Programme 4 Project Risk (To be usedONLY in project risksection)

Compliance Success of IMS Implementationis dependent on availability ofGovernance Groups andDirectorates to assist and/or playa significant role in the delivery ofwork streams within IMSImplementation, e.g. RecordsRemediation, Data Flows, Policy.The IMS cannot control or dictatethe time of this resource.

Records Manager resourcewill be available for supportand advice but the IGC willhave to provide the impetus toensure work is prioritised.

The IMS cannot directly controlor dictate the time of resourcesallocated by directorates;Records will not be remediated,data flows not complete.


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Risk Ref Business Unit

Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence


Business Continuity Information requirements notdefined as part of initial projectscope; playing catch up toensure information requirementsare understood to informsubsequent dialogs and

sufficiently answer information-related queries, Informationrequirements (data flowagreements, etc.) need to bedefined in a timely manner toinform competitive dialogprocess as appropriate

The design authority has alreadystarted sessions to ensureconversations and projects aremore joined up.

Cause: Information requirementsnot defined as part of initialproject scope; playing catch up toensure information requirementsare understood to informsubsequent dialogs and

sufficiently answer information-related queries. Consequence:Timescales are not aligned and/orrequirements not understood,Competitive dialog process isimpacted

IMS0003 One Barnet Programme 6 Operational Compliance Information requirements notdefined as part of initialproject scope; DataProtection compliancerequired before 'content isoutsourced

The records remediation workstream is addressing this risk

Cause: Informationrequirements not defined as partof initial project scope; playingcatch up to ensure informationrequirements are understood toinform subsequent dialogs andsufficiently answer 'information'

related queries. Consequence:Data cannot be transferred


Compliance Information GovernanceFramework and IM Functionin the Organisation to bedefined therefore there is arisk on non-compliance withearly outsourced providers(LATC, Parking) as there areno information governancemechanisms in place foraudit/assurance of 3rdparties.

Rely on the contract in the interim Cause: Information GovernanceFramework and IM Function in theOrganisation not defined and doesnot exists therefore projects withearly go live dates (LATC, Parking)will not be managed as BAUConsequence: Non-compliancewith to be information governanceframework.


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Compliance Dependencies and requirementsof the IMS from DRS and NSCSOProjects have not been fullyspecified.

IMS not fully understood andpotential for non-compliance.

Design Authority to overseedependencies and outputs fromprojects to ensure timescalesalign. Additionally, IMS projectis leading discussion to clearly

express requirements.

IMS not fully understood andpotential for non-compliance.


Staffing & Culture PM and APM resources are onshort-term contracts, nohandover process in place ifthese resources are re-assignedor if contracts are not extended.

Project documentation, andhighlight/status reports showmonth-by-month progress ofdifferent facets of workstreams.

Cause: PM and APM resourcesare on short-term contracts, nohandover process in place ifthese resources are re-assignedor if contracts are not extended.

Consequence: delays to projectworkstreams as replacementresources are brought up to speed.

IMS0009 One Barnet Programme 6 Business Continuity Staffing & Culture LBB has limited Data Protectionexpertise in place in order toensure compliance with DPAduring One BarnetProgramme/IMS implementationprocess.

A number of services have DataProtection Link Officers in placewho can offer limited assurance.

Cause: Only One Data ProtectionOfficer in position within theorganisation.

Consequence: If officer leaves/isunavailable for any period oftime, there is no equally qualifiedcandidate to replace on shortnotice.


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LIB0001 One Barnet Programme 8 Project Risk (To be usedONLY in project risksection)

Compliance There is a risk of claim of breach of statutory duty underthe Libraries & Museums Act1964.

Tolerate - strategy is consideredrobust and capable to withstandlegal challenge.

Opposition to Library closures asproposed in the strategy. Delay orhalt to strategy implementation -including associated costs, failureto deliver benefits and need to findaltemative option to deliver

service savings.


Compliance There is a risk of JudicialReview under claim of poorconsultation, equalities impactsor pre-determined decision,

Tolerate - Strategy is consideredrobust and capable to withstandlegal challenge.

Opposition to Library closures asproposed in the strategy. Delayor halt to strategyimplementation - includingassociated costs, failure to deliverbenefits and need to findaltemative option to deliverservice savings.


Business Continuity The library strategy andproposals could result inindustrial action, owing to theworkforce implications of the

strategy and spendingreductions.

Treat - programme team toensure good communicationstrategy and effective changemanagement with staff and

trade unions.

Opposition to Library closures asproposed in the strategy fromstaff. Halt service delivery and/ordetrimentally impact service

delivery.


Reputational There is a risk of publicprotests or other organisedcampaigns.

Treat - engage with ResidentsAssociations and set up resident'sadvisory group.

Some level of public disapprovalwith the project's proposals. Delayor halt to strategy implementation- including associated costs, failureto deliver benefits and need to findaltemative option to deliverservice savings.


Staffing & Culture There is a risk of sudden changeof key personnel within theproject or programme,prompting a change of

commitment to the projectdelivery,

Tolerate - good programmemanagement control (i.e. robustdocumentation and audit trail):should help any new personnel

with understandingprogramme/tasks.

Delay/ incomplete delivery ofprogramme due to lack ofunderstanding of key tasks.


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Financial IS resource may be limited orunavailable. IS resourcescurrently do not have thecapacity and they would needauthorisation to make availablethe required resources.

Treat - proactive planning withadequate lead-in time and liaisonwith IS.

LSP projects could be delayed oradditional cost incurred torecruit IS resource by theprogramme.


Financial There is a risk that CommunityLibrary activities cause delayto/ impact on implementationof strategy and extend lead-intime to benefit realisation (esp.savings).

Treat - effective projectmanagementprocedures includingchange control.

Impact on project activities andextended lead-in time tobenefit realisation (esp.savings); increased demandson the centralised services ofthe Libraries Service.


Political There is a risk of changes toproject scope due toexternaV political influences,

Treat - escalate and/or ensurethe relevant change controlprocess is adhered to. Regularcommunication with PortfolioHolder to ensure continuedadherence to political priorities.

Further costs may be incurred andimpact programme delivery (inrelation to Community Libraries inparticular).

i._

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Reputational There is a risk of decline incustomer satisfactionduring transition to newservice models, andchanges to how theservices operate.

Tolerate - It is expected thatthis will improve over time.

Decreased customersatisfaction may result in loss ofincome and usage of theservice.

LIB0013 One Barnet Programme 6 Project Risk (To beused ONLY in projectrisk section)

Reputational There is a potential risk to thecouncil's reputation if servicesdelivered by Community Librariesare perceived by the public asoffering poor quality.

Treat - this risk can in partbe mitigated by a carefuland thorough proposalevaluation process.

Poor service delivery by aCommunity Library impacts thecouncil's reputation negatively.

LIB0014 One Barnet Programme


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Political There is a risk of non-achievement of non-financialprogramme benefits.

Use of project managementprinciples and methodologies.

Reduced public and politicalsupport for LibrariesStrategy.

LIB0017

LSS0002 One Barnet Programme 9 Project Risk (To be usedONLY in project risksection)

Financial There is a risk that if buy-back isnot resolved during dialogue 2,the joint legal practice will beover resourced forcingredundancies to the joint legal

practice.

In the unlikely event buy-backis not resolved during dialogue2, LBB will indemnify Harrow forany redundancy costs.However, the Inter Authority

Agreement (IAA) must stipulatethat both authorities will bearown costs or Barnet shouldinclude a capped rate forredundancy costs.

NSCSO & DRS Projects do notwish to buy back in-houselegal support.

LSS0004 One Barnet Programme 8 Project Risk (To be usedONLY in project risksection)

Staffing & Culture Risk of losing key staff as a resultof the transformation.

Share information and undertakeregular staff communication inorder that individuals may makeinformed decisions about theirfutures.

Staff having issues with travellingto Harrow.

nhilrl ram, arrannpmpntc

LSS0005 One Barnet Programme 6 1 Project Risk (To be usedONLY in project risksection)

Business Continuity The re-designed service is notflexible enough to cope withunexpected demand fromeither the retained council or

the outsourced services,

The scoping exercise will projectrequirements on a year by yearbasis. Whether or not outsourcedservices will use their partner's

legal teams will not be clear untilthe procurement processes areunderway. The topic will be raisedwith the council's bid teams.


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Risk Ref Business Unit Rating Category Nature of Risk


NSCS00003 One Barnet Programme 6 Project Risk (To be usedONLY in project risksection)

Financial Service leads do notprioritise their work on theproject

Monitored on an ongoing basisby Project Manager and ServiceLead. Regular service leadmeetings are scheduled.The project will continue togive early warning ofrequirements of whatinput/work is required, andproject milestones will bepublished on the intranet.Service lead involvement in the

first round of dialogue 2 hasbeen agreed.

Caused by competing demandsor lack of engagement.Consequence could be slippageto timescales and poorer qualityservice solutions by bidders.



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NSCS00006 One Barnet Programme __ 9 Project Risk (To be usedONLY in project risksection)

Financial Partnership contract is notflexible enough to accommodatethe scale of changes envisagedas part of the One Bamet

programme.

Preparation of appropriateflexibility arrangements within thecontract, and regular update fromprogramme level to NSCSO on

projected final shape ofCommissioning Council.

Council either 1. overpays forservices or 2. partner is put underunreasonable strain regardingvolumetrics.


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Financial That schools withdraw from thetraded support services betweennow and transfer

There is regular communicationwith schools on progress with theproject via the stakeholder groupmeetings, articles (e.g. schoolcircular) and involvingrepresentatives in the dialogueprocess.17/02/11 Series of meetings havebeen scheduled with schools andservice leads to include them inthe process. Engagement withschools continues and offer to beinvolved in procurement has beenmade.

27/07/11 Engagement has led toSchool representatives being partof the CD process as customers.Schools to engage with bidders inNov - review after these meetingshave occurred.16/04/12 Additional work has beendone to involve schools, andgreater participation in schoolsstakeholder group particularly from

secondary schools has beenachieved. Project presentationsare being given to the primarynetwork meetings and secondaryforums in April/May 2012.

The size of certain services(Estates, HR, Finance, IS) couldsignificantly reduce changing theattractiveness of the proposition tobidders and/or reducing the valuefor money bidders can offer the

council.


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Staffing & Culture


Financial Post contract award poor performance in income collectingactivity leads to the council beingput under financial pressure.

Solution design thatbrings additional capacityfrom elsewhere,

The size of the service procuredwill not be sufficient to cope withfluctuations.

NSCS00012 One Barnet Programme 12 Project Risk (To be usedONLY in project risk

section)

Staffing & Culture TUPE - Restructure can nottake place 12mths beforetransfer unless 1 of 3 criteriaapplies. A restructure wouldneed an Economic, Technical orOrganisational reason for doingso.

All restructures must be carriedout with HR engagement and inline with annual budget cuts -all service leads aware of rulesand risks of getting restructureswrong. HRBPs to sign offrestructures to be in line withTUPE regulations.

Breach of TUPE Regulations


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Financial NSCSO solution beingdeveloped by bidder is informedby, somehow dependent on orotherwise linked to anotherprocurement with the council,

Clear communication to biddersof standalone nature of eachprocurement. Ensureappropriate ethical barriers anddata security measures are inplace as part of the terms andconditions of the projects in

progress.

Invalidation of NSCSO bid.



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Financial The new partner frontloads itsinvestment in improvement andinnovation and the contractbecomes stale after the first fewyears.

To design a contract that enablesthe council to keep the partnerincentivised to continue to look forbenefit and innovation throughoutthe life of the partnership.

The council is tied into a contractthat no longer delivers thebenefits envisaged.


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Staffing & Culture That the new provider may notmake staff available foradministering elections /disparity of pay between councilstaff and NSCSO staffsupporting elections.

Establish staffing requirementsand process with corporateprogrammes team, who currentlyproject manage the elections,and corporate governance whosponsor elections.

Consequence - increased pressureon council to recruit a suitableworkforce to manage elections.


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Risk Ref Business Unit Rating] Category Nature of Risk


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Project Issue (To be usedONLY in project risk

section)

_

9 Project Issue (To be used


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Risk Ref Business Unit Rating Category Nature of Risk RiSK Description Control(s) In Place Cause/consequence

Project Issue (To beused ONLY in project risksection)

NSCS00046 One Barnet Programme 9 Project Issue (To beused ONLY in project risksection)

Financial1 1 1 . 1 1 1 1 1 1 1 1 1 1 1 1


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Financial Core services have an unrealisticexpectation of the level of servicethey will receive from the newprovider,

Ensuring service levels are clearin output specs, service levelagreements are developedwhere none yet exist, and outputspecs and SLAs are shared withrepresentatives of the retainedfunctions for their feedback,

including via the advisory groupmeetings.Service leads have presented toadvisory group members andschools on the content of theiroutput specs, and will beexpected to respond to feedbackand challenge, and repeat thisexercise as required. Advisorygroup members and schools arealso being involved directly in thedialogue process.

Staff in the retained functions havean unrealistic expectation of thelevel of service they will have onceNSCSO is outsourced, leading toa lack of preparedness on theirpart, or potentially causingadditional costs to be incurred

once the contract is let


Business Continuity The level of compliant and non-compliant contracts under the25k threshold is currentlyunknown. Potential of havingmany non compliant contracts atthe time of transfer. It isrecognised there could be a highnumber of contracts but as therequisites for compliance arequite low it is likely that many ofthem would be compliant. Risk tobe accepted by project board.

Procurement to co-ordinatethe contacting of the servicesin scope and request:1)Information of what contractsthey have in existence at themoment that would be inexistence in January 2013 andwhat proportion of those contractswould be outstanding (e.g. of a10K contract, it may be that just1K would be outstanding)

2)Notification of any contractsunder 25K that are entered intoin the next year and that would bestill in existence in January 2013and what proportion of thecontract would be outstanding.


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Financial Supplier lack of engagementwith the Council on supplierinvestment making decisionsresulting in a disconnect withthe Council's annual corporateplanning process.

Establishment of the Council'spriorities within the contract toensure due consideration for thenecessary investment resultingin satisfaction of the contractualservice levels. A clear audit trailis required to endure alignment

with the Council.

Lack of transparency on futureinvestment.


Business Continuity Without an appropriatesupplier managementframework the council will beunable to align activity andpriorities against supplierbusiness strategy andrequirements. It will also bedifficult to adequately controlcosts.

Creation of a layered governancemodel with agreed groupmeetings and associatedreporting to control costs,oversee supplier activity, agreepriorities and providestransparency.

Ineffectiverelationshipgovernance.


Reputational The Council needs to ensure thatsupplier senior management aresufficiently transparent and

willing to comply with the writtenagreement between thepartners in producing routinebenchmarking information as akey tool to ensure value formoney.

Include benchmarking reporting isincluded within the performancemonitoring framework to detail

the financial and serviceperformance that shall beconsidered by the contractmanager and support the annualreview process. Routine reports tobe agreed with the Council withtransparency of how catalogueprices are arrived at and profitmargin.

Incomparable performancemonitoring framework.


Financial Out of scope charges being leviedby supplier for in scope activities,

The Council to seek confirmationon what is in/out of scope inareas of concern duringdialogue. Certain areas to beunderpinned by the clientingframework where the suppliercould potentially fail to meetexplicit contractual obligations.

Undefined scope/creepresulting in additional cost

Note: this isa risk register which isused for themanagementofpotential rather than actual pr o blems Problemsdescribed inthisregisterhavethe potential too


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Business Continuity SLA activities can't be measuredand therefore can't be managed.Without clear SLAs the council islikely to struggle to meet itsobjectives and realise its vision.

A review of all SLAs will needto be conducted to ensure theyare up to date and stillappropriate in line with counciland supplier priorities.

Ineffective SLAs.


Reputational Without the ability to develop ashared understanding and planon future capacity andresourcing the ability of thecouncil to plan and deliver iscompromised.

The Council to understand whatis outside the capacity of thesupplier and thus what may needto be additionally funded duringdialogue. To be built into theclienting, monitoring andperformance framework toensure regular discussion,capacity and agreement onpriorities.

Inadequate shared capacityand resource planning.


Compliance The supplier does not currentlyhave documented operatingprocedures. Operatingprocedures are critical to anybusiness operation without thisthere is significant operationalrisk to the Council.

Supplier to evidence:Key procedures in place thatsupport all of the servicefunctions * Key processes thatare followed * Key systemsutilised in the support of theprocesses* Key dependencies* Key controls

Communication flows* Issue resolution and escalation.

Inadequate operating procedures.

d h ils is a risk register which is used for the management of potential rather than actual go bleins Problems described in this register have the potent


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Business Continuity Lack of understanding of thebusiness continuity arrangementswith the supplier. An absence ofan overall plan presentssignificant operational risk

Supplier to articulate andevidence their contingencyarrangements.

Poor/absence ofbusiness continuityplans.


Reputational No appetite within the supplier and commissionerorganisations to resolve issues,

Build a partnership workingculture to ensure transparency,trust and confidence. This needsto be led and owner by bothorganisations, discussed andnegotiated.

Poor supplier management andlack of support.


Staffing & Culture Supplier secondment and otherstaffing agreements not beingwholly followed. Such a failure tofollow the agreement puts boththe council and the secondees atrisk. This must be remidied toensure the secondees and othersare protected.

The Council to negotiate for anyseconded individuals to bemanaged as part of the contract.

Ineffective application of thesecondment and other staffingagreements

is is a risk register which is used for the management of potential rather than actual pr o blerns Problems described in this register have the pot


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OB0001 One Barnet Programme 12 Strategic Reputational Failure of part or the wholeprogramme.

Learning to be taken from othercouncils / private sector partnerswho have gone through similarchanges

Clear and regularcommunications to be in place at

project and programme level -targeted appropriately,addressing key concerns

Stakeholder Engagement plan inplace

Resource Plan to be producedper project and reviewed regularlywith project managers to ensurecorrect change resource is beingallocated across the programme

CAUSE:- Lack of buy-in from Councillors,management, or staff;- Opposition from the electorate; -Capacity of service leads toundertake work on the project; -Commercial capability of service

leads to undertake work on theproject such as competitivedialogue;- Strikes or work to rule

CONSEQUENCE: Could resultin overall programme failure withtransformation and savings notmade.

Barnet London Borough CouncilNote: this is a risk register which is used for the management of potential rather than actual problems Problems described in this register have the potential t


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0B0003 One Barnet Programme 12 Operational Reputational Delivery models provided byexternal partners/providers fail todeliver required standards ofservice,

Record/document what the'required standards of serviceare through OutputSpecifications.

Ensure we maintain theflexibility to deliver efficiencies

required in any contractualarrangements made goingforward through the competitivedialogue process.

Tender exercises / contracts tobuild in service level agreementsand other performancemeasures so that the risk offailure should be highlighted inadvance.

A penalty for failure and orflexibility to get out of contracts /bring services back to the councilin such events to be examinedthrough the procurementprocess.

Relationship to be built withpartners / providers to ensureearly warning of potentialdamage to Council's reputation.

CAUSE: Moving to a modelwhere some council services maybe outside the full control of thecouncil may limit ability to deliverrequired efficiencies in the longterm.

CONSEQUENCE: Additional costsof putting things right plus havingto deal with adverse reputationbrought about by the failings of athird party.

Barnet London Boro gh Co ncilis is a risk register, which is used for the management of potential, rather than actual FprkoRblerns. Problems described in this register have the pote


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OB0011 One Barnet Programme 12 Strategic Staffing & Culture There may be a risk of a dip inproductivity or the councillosing skilled employees due tothe increased negativity tooutsourcing.

Communications through StaffGroups, Management Groups,and wider corporate methods on:

- the procurement stages andtimelines - "What is going tohappen?"/"How does this affect

me?" sessions- the content of the code and howthis may affect employees. Meetthe bidder days agreed for staff atCD2 stage. Aim to bring incontractor as soon as possibleafter contract award. TUPE workshops, Pensions Roadshow.

CAUSE: Abolition of WorkforceCode of Practice and Two tierworkforce. Concern over perceivedrelocation. Uncertainty over the'journey staff are going on/through.

CONSEQUENCE: Possible

increased Trade Union activity.Low Morale. Dip in productivity.Staff may look outside organisationfor more 'secure roles. Askills/knowledge gap could becreated.

080012 One Barnet Programme 8 Operational Staffing & Culture Loss of skilled employees Communication to encouragegreater understanding of

procurement time lines andstages.Aim to bring contractor in to speakto staff as soon as possible aftercontract award

TUPE workshopsPensions RoadshowRetentionAdd to HR indicators for next year

CAUSE: Length procurementprocesses and uncertainty

CONSEQUENCE: Uncertainty maycause employees to look outsideorganisation for what are

perceived as more secure rolesSkills and knowledge gapwithin the council which couldimpact negatively on OBproject and/or BAU.

0B0013 One Barnet Programme 6 Operational Staffing & Culture

_

Reduced income and lower staffmorale.

Increased communications withservice and increased formal HRinvolvement,

CAUSE: Lack of engagement.Low staff morale Work to rulemeans that payments processingmay not take place as quickly andas efficiently as before.

CONSEQUENCE:Industrial action.


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Barnet London Borough Council




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Risk Ref Business Unit Rating ] Category Nature of Risk


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PARK0012 One Barnet Programme Project Issue (To be usedONLY in project risk

section)

Financial Pensions agreement - need todetermine whether internallegal are doing this or Trowers.

Kenct CC have carried out thefinal advice. Sent to NSL andRRD. Await their reply. We mayneed further advice if thesuppliers come back withamendments.

NSL have signed it off. Awaitingsign off from RRD

Emailed Helen Randall. AwaitingresponseTrowers have advised that thisbe drafted inhouse. In secondround of approvals by RobertPrater Concerns around notcompleting this on timeWe now need asecond agreement forRRDRRD requested changeswhich are being reviewed byKent CC and advice to follow

Increased cost if externalWill not be able to go livewithout having both of theagreements in place

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RAB0001 One Barnet Programme 2 Project Risk (To be usedONLY in project risksection)

Financial Unrealistic timescales forimplementation have been setleading to a risk that not alldesired changes can bedelivered in time to realisebenefits before outsourcing -lower level of benefits realised inthe short term

Implementation planning willprioritise opportunities and fullydefine when changes can beimplemented scope ofchanges will be accommodatedwithin available timescales andremaining changes will bedeferred until after outsourcing.

Cause - Arbitrary implementationtimescales set beforegroundwork performed todevelop a properly foundedimplementation planConsequence - Incompletedelivery within set timescales,potential cost overrun


Financial Benefits not delivered into liverunning. There is a risk thatplanned benefit levels are notachieved post-implementation, leading tothe business case beingprejudiced.

Benefits realisation plan. Buildsavings into budget.

Cause various.Consequence - overspend againstbudget.


Staffing & Culture There is a risk of an adversereaction of staff to therecommendations of the project,particularly in light of the recentstring of one-day strikes in Revs& Bens and elsewhere in protestagainst the proposedoutsourcing of council services.Such action may exacerbatebacklogs and cause adegredation in customer servicebut is unlikely to result in asignificant financial loss.

With Communications Team,initiate a communicationsprogramme to staff to explainthe need for change. Workclosely with HR to coordinatethe consultation process for anystaff reductions across allprojects.

Cause various.Consequence - loss of operationaloutput.



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TRAN0002 One Barnet Programme 9 Project Risk (To be usedONLY in project risksection)

Business Continuity Transferring 2 staff to theTransport Bureau could makethe in-house team unsustainable

The transport manager producingan internal transformation reportto determine the impact of thischange and the alignment of the

residual service with the WLA.

Internal transformation isproposed. Report inprogress.

Could increase costs or risk thecontinuity of the service.



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Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequenceIgi

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TRAN0007 One Barnet Programme 12 Project Risk (To be usedONLY in project risksection)

Compliance LBB may not be able to achievethe separation of escort/driverindependence for optimumperformance and compliance

monitoring,

The Staff Vetting Procedure willbe enhanced to request thatPassenger Escorts are recruitedfrom independent employment

agencies to ensure safeguardingof clients and taxi contractormonitoring.

Risk of collusion in case of anincident.

TRAN0009 One Barnet Programme L 12 Project Risk (To be usedONLY in project risksection)

Financial The WLA Transport EfficiencyProgramme fails to deliverthe savings identified by LBB.

Barnet's estimates reduced inline with the expectation andestimates from SMEs andagreed by the project board. No

commitments made in theMTFS as all WLA savings arepotential.

Expecting a report at the WLAboard meeting about WLATEP finances.

Reduced savings and the WLAshared services may becomeunsustainable if the on-goingcost is not covered by the

savings.

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Risk Ref Business Unit Category

t 16


Risk Ref Business Unit Rating Category Nature of Risk Risk Description C t l( ) I Pl C /


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WV2CS0001 One Barnet Programme 3 '.. Project Risk (To be usedONLY in project risksection)

Staffing & Culture There is a risk that some serviceareas might be missed from themapping exercise as there is noclear structure of officersinvolved in community safety.

In officer consultation we havequestioned officers on theoriginal list of about who theyhave contact with in regard tocommunity safety to capture asfull a picture as possible.

The dispersal of community safetyfunctions across the council withno one holding a clear structure orlist of contacts. The impact is themapping exercise might notprovide the complete picture andwould have to be built on at alater date following more in depthwork.


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Fpr

ko

Rblerns.

Problems described in this register have the potential to occur, but should not be assumed to have Occetrred.



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Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

WV2SC0004 One Barnet Programme 4 Project Risk (To be usedONLY in project risksection)

Financial

Key:

Project Risk CodesCustomer Services Transformation AAC, CCO, CST, PAER, RAB, WEB

Development and Regulatory Services DRSInformation Management Systems IMSLibrary Strategy LIBLegal Services LSSNew Support and Customer Services Organisations NSCSO

One Barnet Programme Management OB

Parking PARK

Transport TRAN

Community Safety WV2CSWaste WV2SC


Documents

Risk Register 8 May 2012 (Landscape) One Barnet