Appendix 5 - Corporate Risk Heatmap Report
05/03/2013
Probability
Impact
Negligible
Low
High
Rare
Unlikely
Possible
Likely
ENV0031
CSCE0013
CSHF0005
CSCE0002
CSCE0007
CSCE0009
ENV0033
TEC0004
ENV0104
CFTF0003
HFRS0004
CSCE0016
ENV0035
CSCE0015
CFTF0001
CFTF0004
AUDIT0001
PROP0002
HCSCP0004
CFTF0007
CFTF0005
PROP0016
CSCE0010
HCSOPD0006
HFRS0011
ENV0106
Medium
CSHF0002
HFRS0007
HCSCP0001
CPRES0001
CSF0055
ENV0030
CPRES0002
Very High
Almost Certain
Risk Ref
Details
Assigned To
Review Date
Score
CSHF0002
(Pg 1)
There is a risk that economic conditions or poor investment decisions give rise to poor investment performance of the LG pension fund
Claire Cook
04/04/2013
48
HFRS0007
(Pg 1)
During unplanned incidents, such as terrorist activity, civil disturbance or large scale wide area flooding, or periods of industrial action, there is a risk that HFRS have insufficient resources to cope which may result in a reliance on regional or national resources or significantly reduced fire cover.
Doug Robinson
03/04/2013
48
CPRES0001
(Pg 2)
As a result of a failure of the Local Resilience forum to provide adequate interagency plans which correctly identify the capabilities required to deal with a major emergency in Hertfordshire there is a risk that Hertfordshire's multi agency response will not be fully effective
(formally SERMU0001)
Doug Robinson
03/04/2013
32
ENV0106
(Pg 2)
As a result of the complexity, public interest, scale and number of partner organisations involved in taking the Croxley Rail programme forward, there is a risk that the programme may be delayed or cancelled, which may result in additional or abortive costs, legal action and damage to the reputation of HCC.
Rob Smith
09/04/2013
32
HCSCP0001
(Pg 3)
Inadequate quality of care from internal and external HCS care providers resulting in the death or severe abuse of a client
Iain Macbeath
04/04/2013
32
HCSOPD0006
(Pg 4)
Commercial or contractual failure of private or independent care providers leads to disruption to care provision and impact on service users and carers.
(Previously ACSC0001)
Iain Macbeath
04/04/2013
32
HFRS0011
(Pg 4)
There is a risk that changing the way HFRS responds to emergency calls will result in an adverse effect on it's ability to respond effectively to emergency situations as they occur.
John Mills
03/04/2013
32
CFTF0005
(Pg 5)
As a result of the influence from the changing national political context, there is a risk that progress with `Council for the Future' transformation projects may be adversely impacted upon particularly in response to any changes to local finances and/or decision making.
Stuart Campbell
11/04/2013
24
CFTF0007
(Pg 6)
There is a risk from failure to deliver the efficiency/effectiveness savings identified in the Council for the Future programme, including failure to embed the Values and Behaviours.
Stuart Campbell
11/04/2013
24
HCSCP0004
(Pg 7)
Significant changes to processes and governance within the NHS, results in unanticipated cost pressures to HCC Health and Community Services.
(Formally ACSC0004)
Iain Macbeath
04/04/2013
24
PROP0002
(Pg 7)
Due to the effect of the UK economic climate, which dictates the sale value of assets for disposal, there is a risk that the sale of assets will not provide the level of capital receipts to meet the target.
Angela Bucksey
01/03/2013
24
PROP0016
(Pg 8)
With Contractors and Consultants providing works and services (statutory and nonstatutory) directly, there is a risk that schools will use a supplier without the relevant back ground checks (insurance, financial, H&S etc)
Chris Hinge
01/03/2013
24
CFTF0003
(Pg 9)
As a result of a significant proportion of the Council's expenditure being accounted for by externally commissioned services, there is a risk that insufficient investment in commissioning/contract management skills and competencies may result in only the partial meeting of savings target(s), for example, the inability to effectively manage external relationships in a challenging economic climate.
Stuart Campbell
11/04/2013
16
CPRES0002
(Pg 9)
As a result of a failure to prepare adequate Corporate and departmental generic BCP plans. There is a risk that, should a major incident take place (to building, technology & people) there will be insufficient back up arrangements in place, resulting in a higher level of disruption than anticipated causing increased disruption to key resources.
(FORMALLY SERMU0002)
Doug Robinson
03/04/2013
16
CSCE0002
(Pg 10)
There is a risk of legal challenge to County Council policies or decisions, particularly procurement decisions or those judged to be discriminatory or noncompliant with equalities legislation (incl equal pay risks)
Kathryn Pettitt
17/04/2013
16
CSCE0007
(Pg 11)
If we fail to retain, attract and recruit the right people and right skills and maintain staff engagement, there may be a significant impact on service delivery and major cost implications
Louise Tibbert
17/04/2013
16
CSCE0009
(Pg 12)
If we fail to comply with safe staffing legislation and agreed HCC policy and practice there is a risk this could lead to a lack of protection for HCC service users (e.g. children and vulnerable adults)
Louise Tibbert
17/04/2013
16
CSCE0010
(Pg 12)
There is a risk we will fail to meet the 25% carbon reduction target by 2012/2013 resulting in escalating taxation and damage to the reputation of HCC as a leader in the County
Angela Bucksey
01/03/2013
16
CSCE0016
(Pg 13)
As a result of internal and national changes to employment package, there is a risk of declining industrial relations which may result in industrial action
Louise Tibbert
02/04/2013
16
CSF0055
(Pg 14)
As a result of inappropriate care or attention there is a risk that a child or young person could die or become seriously injured,resulting in the Authority being subject to a high level of media attention and detailed scrutiny from Ofsted.
Jenny Coles
07/04/2013
16
ENV0030
(Pg 14)
As a result of a failure in road inspection and/or fault reporting procedures there is a risk that the condition of our roads falls below expected standards. which results in successful claims against HCC
Rob Smith
09/04/2013
16
ENV0033
(Pg 15)
As a result of under investment there is a risk that road maintanance levels can not be maintained and general deterioration occurs
Rob Smith
09/04/2013
16
ENV0104
(Pg 16)
As a result of the Residual Waste Treatment contractor failing to deliver a waste treatment facility for Hertfordshire, there is a risk that this may result in:
Increased costs e.g. for waste disposal, procurement.
Damage to HCC's reputation.
Being unable to fulfil statutory obligation as the Waste Disposal Authority
Richard Brown
18/03/2013
16
HFRS0004
(Pg 17)
As a result of a failure to meet national training requirements, poor operational performance from personnel who are not fully trained and competent in their role could lead to the death or serious injury of a firefighter.
Darryl Keen
03/04/2013
16
TEC0004
(Pg 17)
There is a risk of Virus attack or security breach hacking or malicious internal action which could cause significant service disruption
(formerly JCAD risk ref ICT0009)
David Mansfield
01/03/2013
16
AUDIT0001
(Pg 18)
As a result of the current economic conditions there is an increased risk that the Council experiences significant fraud
(formally CSH0007)
Helen Maneuf
10/04/2013
12
CFTF0001
(Pg 19)
As a result of the financial implications of specific strands of business transformation activity (organisation redesign and the employment package), there is a risk of a loss in staff morale and commitment.
Stuart Campbell
11/04/2013
12
CFTF0004
(Pg 20)
As a potential result of ineffective and inefficient programme communications and engagement activity, there is a risk that the benefits of the business transformation programme are not sufficiently appreciated by stakeholders
Stuart Campbell
11/04/2013
12
CSCE0015
(Pg 20)
As a result of the uncertainty around schools converting to Academy status, there is a risk that HCC may lose income, some services may become less viable if not bought in and some liabilities could remain with the Council.
Claire Cook
17/04/2013
12
ENV0035
(Pg 21)
As a result of competing priorities/ lack of awareness there is a risk that insufficient consideration is given to the impact that climate change will have in the medium to long term on County Council projects and services.
Simon Aries
09/04/2013
12
CSCE0013
(Pg 22)
There is a risk of the loss/inappropriate acquisition/disclosure of sensitive personal or commercial data, including but not limited to paper records/post, the electronic storage / transfer of personal data by email, fax or other technical means, and publication of data for Open Data purposes, which could impact on our reputation, lead to legal action and have financial consequences.
Stuart Campbell
17/04/2013
8
CSHF0005
(Pg 23)
Failure of budgetary control leading to overspending
Claire Cook
07/04/2013
8
ENV0031
(Pg 23)
As a result of ineffective communication and information sharing with road users on safe driving topics ie child road safety, drink driving campaigns there is an increased risk of fatality and we fail to meet the casualty reduction targets
Rob Smith
09/04/2013
8