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Appendix A Risk Management

Vulnerability/Risk

Trigger

Consequences

Current Rating

 

Service is not financially viable

-          Unable to retain suitable staff to carry out work

-          Fail to issue FPNs

-          Low payment rate of FPNs

-          Legal costs are higher than expected

Cost of the service cannot be recovered through FPNs and therefore has to be funded internally

 

 

Likelihood: 3

Impact: 3

 

Rating: 9

 

Reputation

 

 

-          Poor training of staff

-          Staff turnover

-          Inappropriate behaviour

-          Financially driven service

Negative publicity

Lack of trust in the service

Reduction in payment rate resulting in higher legal costs

Service no longer tenable

Likelihood:3

Impact: 3

 

Rating: 9

 

Service is not deliverable

 

-          Unable to recruit staff

-          Staff turnover

-          Unable to retain suitable staff

-          Systems not in place to operate i.e. issue FPNs

-          Low payment rate puts pressure on legal services

Service fails to change behaviour as not seen as effective

Cost of service cannot be recovered through FPNs and therefore has to be funded internally

Negative publicity

Lack of trust in service

Likelihood: 2

Impact: 3

 

Rating: 6

Incorrect prosecution

-          Back office system is unable to reconcile payments

-          Management of FPNs is not robust

Reputational risk to the Council

Negative publicity

Lack of trust in the service

Legal action against Council

Likelihood: 2

Impact: 3

 

Rating: 6

 

No.

Current Rating

Target Rating

Risk

1

9

6

Service is not financially viable

 

Control in place

Adequacy of controls

Required action/control

Responsible Officer

Success Factors

Date for Review

 

Modelling of costs based on historical data

18 month trial proposed

 

 

Good

 

Staff training

Performance monitoring of staff

Varied work for staff to ensure remain engaged

Monthly reviews of income

 

Jennifer Shepherd

 

Payment rate > 70%

No. of FPNs issued

No. of complaints received low

 

6 months from start of service

 

No.

Current Rating

Target Rating

Risk

2

9

6

Reputation

 

Control in place

Adequacy of controls

Required action/control

Responsible Officer

Success Factors

Date for Review

 

Direct employment of staff

New delivery model which tackles wider range of issues

Service not financially driven

 

 

Fair

 

Recruitment of appropriate staff

Training provided

Performance management of staff

 

 

Jennifer Shepherd

 

Low level of complaints

High payment rate of FPNs

Positive behavioural outcomes

 

6 months from start of contract

 

No.

Current Rating

Target Rating

Risk

3

6

6

Service is not deliverable

 

Control in place

Adequacy of controls

Required action/control

Responsible Officer

Success Factors

Date for Review

 

Process map prepared

Working with digital team to design technology solutions

New delivery model which tackles wider range of issues offers staff range of duties

Admin support already available for team

Experienced staff within team

 

 

Good

 

Training programme for staff

Monthly team meetings

Performance reviews

Explore opportunities with technology

Offer opportunities for staff to progress within Waste and Street Scene Team to improve retention

 

Jennifer Shepherd

 

Service implemented

Staff recruited

FPNs issued

Payment rate > 70%

Low level of complaints

 

6 months from start of service

 

No.

Current Rating

Target Rating

Risk

4

6

6

Incorrect Prosecution

 

Control in place

Adequacy of controls

Required action/control

Responsible Officer

Success Factors

Date for Review

Prosecution will not be sought without full reconciliation of the system

Lower levels of tickets issued allows additional checks to be carried out

Sufficient time allowed between issue of FPN and prosecution to enable checks to be completed

Fair

Appropriate Back office system used (included in costs)

Explore other systems already used by MBC (i.e. Parking)

Jennifer Shepherd

Full reconciliation completed every month

High Payment rate

Low level of complaints

 

Monthly

 

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