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s is a risk register, which is used for the management of potential, rather than actual problems.

Problems described in this register have the pote Barnet London Borough Council

One Barnet Risk Register


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

25 April 2012

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s is a risk register, which is used for the management of potential, rather than actual prkoRblertns. Problems described in this register have the potent Barnet London Borough Council
Risk Ref CC00001 Business Unit One Barnet Programme Rating 12 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Business Continuity Risk Description Unable to receive and make calls, and support MI requirements and to deploy multi-skilling benefits due to Infrastructure within Contact Centre (telephony) being unsupported. In addition to platform, call logger solution is showing instablilty. Control(s) In Place 1.Explore all short term options available. Use 5 bar gating to manually cature insight and agree with reports on intraday profiles 2.Present recommendation to Board as required 3.Continue close communications with IS project manager responsible for telephony upgrade/call logger issues and see Risk CSO-R2. 4.Challenge and push for firm dates for Telephony Upgrade 5.Check current BCP planMessages in place for Outages Cause/consequence Caused due to Council's telephony infrastructure being out of support and operating on out of date versions of software. Call logging issues Consequence: lack of benefit realisation potential associated with multi-skilling and call routing improvements. Also MI reporting in general and ease of access to MI specifically means reporting either costly in time or unavailable/accurate.

CC00004

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

Web project scope does not support CSO information Base requirements fully

Liase with Web team and agree Inability to achieve FCR approach to defining expectations, and reduces requirements for subsequent Web positive impact of multi-skilling Project phases. Ensure initiatives. Channel shift and requirements for Phase 2 web general enquiry handling project articulated. capability a key outcome of this mitigation Ensure functionality offered by web project is fit for purpose ( search and find facility, content repurposing, and update/feedback mechanism)

CC00008

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

Industrial action (short of a strike or a strike) may be taken in Social Care Direct.

HR managing action with UNISON. (Impact rating assessment is on the project delivery not on the business delivery).

Impact on service delivery to be managed by ASCH. May impact on delivery of project; however until result of ballot this is unknown.

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Note: this is aBorough Council which is used for the management of potential, rather than actual riprkoRbleins. Problems described in this register have the potential to Barnet London risk register,
Risk Ref CST0001 Business Unit One Barnet Programme Rating 12 Category Operational Nature of Risk Financial Risk Description There is a risk that customers may not transfer to different channels when they are developed and therefore the full effect of benefits may not be realised Control(s) In Place Cause/consequence

1.All projects to be initiated Investment will be wasted/strategy with valid business cases and will not be fulfilled. high-level design for benefits to be realised 2.All projects to include benefits realisation activity within plans (e.g. marketing, closing channels etc) 3.Programme level Benefits Realisation Plan to be completed and monitored through Customer Services Transformation Programme Board

CST0002

One Barnet Programme

Strategic

Financial

There is insufficient focus on benefits realisation across Customer Services Transformation

Benefits Management strategy to be completed. Each project to identify financial and non financial benefits and record them on a Benefits Profile. Programme level Benefits Realisation Plan to be completed and monitored through Customer Services Transformation Programme Board.

Benefits will not be identified, enabled and delivered

...2,6

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his is a risk register, which is used for the management of potential, rather than actual AprkoRblerns. Problems described in this register have the poten Barnet London Borough Council
Risk Ref CST0013 Business Unit One Barnet Programme _ Rating 6 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Reputational Risk Description There may be a lack of understanding across the organisation across all stakeholders (including senior officers and members) about customer services and what the programme's objectives and approach mean in practice. Control(s) In Place Programme Communications Plan to ensure that all stakeholders, particularly key stakeholders are aware and support the programme's objectives and approach and what this means in practice. Profile of CST and other customer services related being raised through CLG and First Stat sessions. CLG session on High-level design and roadmap once this is completed. 7/11/11 CST Board Agreed action needs to be taken to "win hearts and minds" - KIQJTM to take forward. Paper to be presented to CST Board on 5/12. Paper not ready for 5/12 - to go to CDG on 17/1. Responsibility passed to . Paper approved on 17/1. Likelihood downgraded to 2 as approved action plan is now in place. Cause/consequence Delivery of transformation will be impacted due to having to convince key stakeholders of the benefits of proposed transformation activity and the approach delivering these benefits.

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Note: this is a risk register, which is used for the management of potential, rather than actual prkoRbleins. Problems described in this register have the potential to Barnet London Borough Council
Risk Ref CST0014 Business Unit One Barnet Programme Rating 2 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Staffing & Culture Risk Description There may be insufficient capacity across the organisation (within Customer Services and the council as a whole) to support and enable Customer Services Transformation at the same time as delivering other OB projects and managing business as usual. Control(s) In Place Directors (or representatives) to be involved in planning and prioritising transformation work and to ensure that when work is initiated the required resource will be available. 8/11 Detailed plan for input of Services to be created and all services involved in planning. 23/12 Projects are engaging services early with clear plans for where staff will need to be involved. No problems are occurring therefore likelihood rating decreased to 3. Cause/consequence Planned work may not be possible, or BAU/other OB projects will be adversely impacted.

CST0015

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Political

Partners may not be properly engaged and involved in Customer Services Transformation.

Communications Plan to include detailed activity on proper engagement of partners. Impact rating reduced as agreed at PB on 1/8/11.

The Programme will not realise its' (and therefore the One Barnet Programme's) objectives around a One Public Sector Approach.

Project Risk (To be used ONLY in project risk section)

DRS0002

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Financial

Risk of delays to the project timeline caused by service ADs not meeting deadlines due to pressure of other work.

PB agreed to provide support to Services.

Cause: Pressure of other work. Consequence: Delays to project

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Note: this is aBorough Council which is used for the management of potential, rather than actualEprkoRbleins. Problems described in this register have the potential to o Barnet London risk register,
Risk Ref DRS0003 Business Unit One Barnet Programme Rating 5 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description A poorly designed or structured dialogue process leads to the project failing to hit its objectives due to one or more of the following: a lack of a clear strategic direction, inappropriate monitoring arrangements, weak or inappropriate contracts or failure to keep pace with legislative changes. Control(s) In Place Plan extensively reviewed. Strategic direction is clear, T&H monitoring legislative changes fortnightly, monitoring arrangements and the contract will be overseen by the Project Board. Work on the commissioning council needs to be fed into the DRS procurement so that a clear steer can be given to the bidders. It is not currently clear how close the council is to finalising its thoughts around this and this may have a significant and negative impact on DRS. Dialogue has been structured according to expert advice. Board will be involved fortnightly to provide strategic direction. Trowers in place to advise on legislative changes. Monitoring arrangements and weak / inappropriate contracts to be avoided by Project and Programme Board involvement. The dialogue process has clear award or evaluation criteria that will be effectively communicated to the market. The team will include qualified and competent procurement professionals as well as significant internal and external legal resource who will work to provide a robust and appropriate contract." Cause/consequence Cause: Inexperienced staff, or staff with capability issues. Poor or unclear management. Consequence: Project fails to hit its objectives.

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Note: this isBorough Council Barnet London a risk register, which is used for the management of potential, rather than actualprkoRblems. Problems described in this register have the potential to o
Risk Ref Business Unit Rating .,_ _
15

Category ojec i o

Nature of Risk Financial

Risk Description

Control(s) In Place

Cause/consequence

DRS0005

One Barnet Programme

10

Project Risk (To be used ONLY in project risk section)

Financial

In this challenging climate, bidders are not aligned with the Council's aims, or do not respond as anticipated to the bundles of services under consideration. Service provider partner does not deliver required service

Risk is being managed through CD process. No additional actions in place beyond this at this time, so risk moved to 'tolerate'.

Cause: Bidders are 'out of step' with LBB. Consequence: Project fails to hit its objectives.

DRS0006

One Barnet Programme

Operational

Reputational

Training and support for those involved in writing specs and external review. Dialogue process designed to minimise this risk. No additional actions planned at this time - so risk strategy is to 'tolerate'.

CAUSE: Poorly designed output specifications CONSEQUENCE: Higher cost to Council through increased change control requirements

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Barnet London Borough Council s is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potenti Risk Ref DRS0008 Business Unit One Barnet Programme Rating 5 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description LBB appoints a bidder who is financially insecure, or doesn't meet our stated financial assurance minimums for the award of contracts. Risk of exposure to partner going out of business or being otherwise financially unable to meet the contract's commitments. Control(s) In Place Financial monitoring will be undertaken at key points in the project according to the project plan Cause/consequence Cause: Poor market knowledge, insufficient financial monitoring Consequence: Reputational damage, failure to deliver the contract, consequent requirement to severely cut service provision

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Note: London Borough Council Barnet this is a risk register, which is used for the management of potential, rather than actual RrkoRblerns. Problems described in this register have the potential to o
Risk Ref Business Unit Rating
21)

Category

Nature of Risk

Risk Description

Control(s) In Place Recent project planning has shown this risk to be at high

Cause/consequence Cause: Current forecast of legal fees

[ -

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s is a risk register, which is used for the management of potential, rather than actualprkoRblerns. Problems described in this register have the poten Barnet London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

Report produced by JCAD RISK ?2001-2012 JC Applications Development

Page 10 of 58

is is a risk register, which is used for the management of potential, rather than actualRrkoRblems. Problems described in this register have the pote Barnet London Borough Council
Risk Ref Business Unit Rating IM
15

Category

Nature of Risk

Risk Description

Control(s) In Place

Cause/consequence

IMS0001

One Barnet Programme

Project Risk (To be used Compliance ONLY in project risk section)

Success of IMS Implementation is dependent on availability of Governance Groups and Directorates to assist and/or play a significant role in the delivery of work streams within IMS Implementation, e.g. Records Remediation, Data Flows, Policy. The IMS cannot control or dictate the time of this resource.

Records Manager resource will be available for support and advice but the IGC will have to provide the impetus to ensure work is prioritised.

The IMS cannot directly control or dictate the time of resources allocated by directorates; Records will not be remediated, data flows not complete.

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Note:Barnet Londonrisk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potential to o this is a Borough Council
Risk Ref IMS0002 Business Unit One Barnet Programme Rating Category 6 Project Risk (To be used ONLY in project risk section) Nature of Risk Business Continuity Risk Description Information requirements not defined as part of initial project scope; playing catch up to ensure information requirements are understood to inform subsequent dialogs and sufficiently answer informationrelated queries, Information requirements (data flow agreements, etc.) need to be defined in a timely manner to inform competitive dialog process as appropriate Control(s) In Place The design authority has already started sessions to ensure conversations and projects are more joined up. Cause/consequence Cause: Information requirements not defined as part of initial project scope; playing catch up to ensure information requirements are understood to inform subsequent dialogs and sufficiently answer informationrelated queries. Consequence: Timescales are not aligned and/or requirements not understood, Competitive dialog process is impacted

IMS0003

One Barnet Programme

Operational

Compliance

Information requirements not defined as part of initial project scope; Data Protection compliance required before 'content is outsourced

The records remediation work stream is addressing this risk

Cause: Information requirements not defined as part of initial project scope; playing catch up to ensure information requirements are understood to inform subsequent dialogs and sufficiently answer 'information' related queries. Consequence: Data cannot be transferred

IMS0004

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Compliance

Information Governance Framework and IM Function in the Organisation to be defined therefore there is a risk on non-compliance with early outsourced providers (LATC, Parking) as there are no information governance mechanisms in place for audit/assurance of 3rd parties.

Rely on the contract in the interim

Cause: Information Governance Framework and IM Function in the Organisation not defined and does not exists therefore projects with early go live dates (LATC, Parking) will not be managed as BAU Consequence: Non-compliance with to be information governance framework.

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Barnet London Borough Council is is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the poten Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

IMS0007

One Barnet Programme

Project Risk (To be used Compliance ONLY in project risk section)

Dependencies and requirements of the IMS from DRS and NSCSO Projects have not been fully specified. IMS not fully understood and potential for non-compliance.

Design Authority to oversee dependencies and outputs from projects to ensure timescales align. Additionally, IMS project is leading discussion to clearly express requirements.

IMS not fully understood and potential for non-compliance.

IMS0008

One Barnet Programme

Project Risk (To be used Staffing & Culture ONLY in project risk section)

PM and APM resources are on short-term contracts, no handover process in place if these resources are re-assigned or if contracts are not extended.

Project documentation, and highlight/status reports show month-by-month progress of different facets of workstreams.

Cause: PM and APM resources are on short-term contracts, no handover process in place if these resources are re-assigned or if contracts are not extended. Consequence: delays to project workstreams as replacement resources are brought up to speed.

IMS0009

One Barnet Programme

Business Continuity

Staffing & Culture

LBB has limited Data Protection expertise in place in order to ensure compliance with DPA during One Barnet Programme/IMS implementation process.

A number of services have Data Protection Link Officers in place who can offer limited assurance.

Cause: Only One Data Protection Officer in position within the organisation. Consequence: If officer leaves/is unavailable for any period of time, there is no equally qualified candidate to replace on short notice.

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Barnet London Borough register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potential to occ Note: this is a risk Council
Risk Ref Business Unit Rating

Category Project Risk (To be used ONLY in project risk section)

Nature of Risk Compliance

Risk Description There is a risk of claim of breach of statutory duty under the Libraries & Museums Act 1964.

Control(s) In Place Tolerate - strategy is considered robust and capable to withstand legal challenge.

Cause/consequence Opposition to Library closures as proposed in the strategy. Delay or halt to strategy implementation including associated costs, failure to deliver benefits and need to find altemative option to deliver service savings.

LIB0001

One Barnet Programme

LIB0002

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Compliance

There is a risk of Judicial Review under claim of poor consultation, equalities impacts or pre-determined decision,

Tolerate - Strategy is considered robust and capable to withstand legal challenge.

Opposition to Library closures as proposed in the strategy. Delay or halt to strategy implementation - including associated costs, failure to deliver benefits and need to find altemative option to deliver service savings. Opposition to Library closures as proposed in the strategy from staff. Halt service delivery and/or detrimentally impact service delivery.

LIB0003

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Business Continuity

The library strategy and proposals could result in industrial action, owing to the workforce implications of the strategy and spending reductions. There is a risk of public protests or other organised campaigns.

Treat - programme team to ensure good communication strategy and effective change management with staff and trade unions.

LIB0005

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Reputational

Treat - engage with Residents Associations and set up resident's advisory group.

Some level of public disapproval with the project's proposals. Delay or halt to strategy implementation - including associated costs, failure to deliver benefits and need to find altemative option to deliver service savings.

LIB0006

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

There is a risk of sudden change of key personnel within the project or programme, prompting a change of commitment to the project delivery,

Tolerate - good programme management control (i.e. robust documentation and audit trail): should help any new personnel with understanding programme/tasks.

Delay/ incomplete delivery of programme due to lack of understanding of key tasks.

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Barnet London Note: this is a Borough Council which is used for the management of potential, rather than actual problems. Problems described in this register have the potential to occ risk register, Risk Ref LIB0007 Business Unit One Barnet Programme Rating 4 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description IS resource may be limited or unavailable. IS resources currently do not have the capacity and they would need authorisation to make available the required resources. There is a risk that Community Library activities cause delay to/ impact on implementation of strategy and extend lead-in time to benefit realisation (esp. savings). There is a risk of changes to project scope due to externaV political influences, Control(s) In Place Treat - proactive planning with adequate lead-in time and liaison with IS. Cause/consequence LSP projects could be delayed or additional cost incurred to recruit IS resource by the programme.

LIB0008

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Financial

Treat - effective project management procedures including change control.

Impact on project activities and extended lead-in time to benefit realisation (esp. savings); increased demands on the centralised services of the Libraries Service. Further costs may be incurred and impact programme delivery (in relation to Community Libraries in particular).

LIB0009

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Political

Treat - escalate and/or ensure the relevant change control process is adhered to. Regular communication with Portfolio Holder to ensure continued adherence to political priorities.

i.__,.162::

LIB0012

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Reputational

LIB0013

One Barnet Programme

Project Risk (To be 1 used ONLY in project risk section)

Reputational

There is a risk of decline in customer satisfaction during transition to new service models, and changes to how the services operate. There is a potential risk to the council's reputation if services delivered by Community Libraries are perceived by the public as offering poor quality.

Tolerate - It is expected that this will improve over time.

Decreased customer satisfaction may result in loss of income and usage of the service. Poor service delivery by a Community Library impacts the council's reputation negatively.

Treat - this risk can in part be mitigated by a careful and thorough proposal evaluation process.

LIB0014

One Barnet Programme

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Note: this is aBorough Council which is used for the management of potential, rather than actual erkoRblems. Problems described in this register have the potential to o Barnet London risk register,
Risk Ref Business Unit Rating

Category

Nature of Risk

Risk Description

Control(s) In Place

Cause/consequence

LIB0016

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Political

There is a risk of non-achievement of non-financial programme benefits.

Use of project management principles and methodologies.

Reduced public and political support for Libraries Strategy.

LIB0017

LSS0002

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Financial

There is a risk that if buy-back is not resolved during dialogue 2, the joint legal practice will be over resourced forcing redundancies to the joint legal practice.

In the unlikely event buy-back is not resolved during dialogue 2, LBB will indemnify Harrow for any redundancy costs. However, the Inter Authority Agreement (IAA) must stipulate that both authorities will bear own costs or Barnet should include a capped rate for redundancy costs. Share information and undertake regular staff communication in order that individuals may make informed decisions about their futures. The scoping exercise will project requirements on a year by year basis. Whether or not outsourced services will use their partner's legal teams will not be clear until the procurement processes are underway. The topic will be raised with the council's bid teams.

NSCSO & DRS Projects do not wish to buy back in-house legal support.

LSS0004

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

Risk of losing key staff as a result of the transformation.

Staff having issues with travelling to Harrow.


nhilrl ram, arrannpmpntc

LSS0005

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Business Continuity

The re-designed service is not flexible enough to cope with unexpected demand from either the retained council or the outsourced services,

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Note: this is aBorough Council which is used for the management of potential, rather than actualprkoRblerns. Problems described in this register have the potential to Barnet London risk register,
Risk Ref Business Unit Rating Category Project Risk (To be used ONLY in project risk section) Nature of Risk

NSCS00003

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Financial

Service leads do not prioritise their work on the project

Monitored on an ongoing basis by Project Manager and Service Lead. Regular service lead meetings are scheduled. The project will continue to give early warning of requirements of what input/work is required, and project milestones will be published on the intranet. Service lead involvement in the first round of dialogue 2 has been agreed.

Caused by competing demands or lack of engagement. Consequence could be slippage to timescales and poorer quality service solutions by bidders.

Project Risk (To be used ONLY in project risk section)

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is is a risk register, which is used for the management of potential, rather than actualgrkoRylesrtns. Problems described in this register have the poten Barnet London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

NSCS00006

One Barnet Programme

__ 9

Project Risk (To be used ONLY in project risk section)

Financial

Partnership contract is not flexible enough to accommodate the scale of changes envisaged as part of the One Bamet programme.

Preparation of appropriate flexibility arrangements within the contract, and regular update from programme level to NSCSO on projected final shape of Commissioning Council.

Council either 1. overpays for services or 2. partner is put under unreasonable strain regarding volumetrics.

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s is a risk register, which is used for the management of potential, rather than actual prkonblefns. Problems described in this register have the pote Barnet London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

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s is a risk register, which is used for the management of potential, rather than actual prkoRblerns. Problems described in this register have the poten Barnet London Borough Council
Risk Ref NSCS00009 Business Unit One Barnet Programme Rating 3 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description That schools withdraw from the traded support services between now and transfer Control(s) In Place There is regular communication with schools on progress with the project via the stakeholder group meetings, articles (e.g. school circular) and involving representatives in the dialogue process. 17/02/11 Series of meetings have been scheduled with schools and service leads to include them in the process. Engagement with schools continues and offer to be involved in procurement has been made. 27/07/11 Engagement has led to School representatives being part of the CD process as customers. Schools to engage with bidders in Nov - review after these meetings have occurred. 16/04/12 Additional work has been done to involve schools, and greater participation in schools stakeholder group particularly from secondary schools has been achieved. Project presentations are being given to the primary network meetings and secondary forums in April/May 2012. Cause/consequence The size of certain services (Estates, HR, Finance, IS) could significantly reduce changing the attractiveness of the proposition to bidders and/or reducing the value for money bidders can offer the council.

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s is a risk register, which is used for the management of potential, rather than actual prkoRbleins. Problems described in this register have the poten Barnet London Borough Council
Risk Ref NSCS00010 Business Unit One Barnet Programme Rating 8 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Staffing & Culture Risk Description Control(s) In Place Cause/consequence

NSCS00011

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Financial

Post contract award poor performance in income collecting activity leads to the council being put under financial pressure.

Solution design that brings additional capacity from elsewhere,

The size of the service procured will not be sufficient to cope with fluctuations.

NSCS00012

One Barnet Programme

12

Project Risk (To be used i ONLY in project risk section)

Staffing & Culture

TUPE - Restructure can not take place 12mths before transfer unless 1 of 3 criteria applies. A restructure would need an Economic, Technical or Organisational reason for doing so.

All restructures must be carried out with HR engagement and in line with annual budget cuts all service leads aware of rules and risks of getting restructures wrong. HRBPs to sign off restructures to be in line with TUPE regulations.

Breach of TUPE Regulations

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Barnet London Borough Council Note: 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 to Category Risk Description

Risk Ref NSCS00013

Business Unit One Barnet Programme

Control(s) In Place

Cause/consequence

BM

Budget cuts means staff baseline will reduce. Financial

NSCS00015

One Barnet Programme

211, Project Risk (To be used

Financial

ONLY in project risk section)

Baseline may change dependent on requirements of the retained client. Central government policy or funding changes cause a reduction in the benefits offered by the partner.

Baseline review prior to start of CD2. Service leads, Finance and Commercial teams to dialogue all known and potential changes with bidders, to identify how they will be managed. Contract provisions will be put in place to mitigate this risk and enshrine maximum flexibility.

Too much budget transferred to provider and savings can not be realised. Changes imposed by central govt to policy or funding could reduce the financial benefit the project can deliver.

NSCS00016

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Financial

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Barnet London Note: this is Borough Council a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potential to occ Risk Ref NSCS00017 Business Unit One Barnet Programme Rating 12 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description Central government funding reduces during life of contract, requiring change controls to be exercised, which can in turn add cost and result in a lower value for money service than originally agreed. Control(s) In Place Any provider will be required to support the council in the delivery of the Medium Term Financial Strategy. Flexibility will be built into the contract to ensure the provider meets the council requirements within the available budget. In practice this will work whereby if our funding levels change, there is an agreed mechanism in the contract for the contractor to respond to the authority with options for reviewing service levels, for example, to fit in with whatever budgetary envelope we have. Manage through dialogue discussions and review on the back of the ISOS submissions. Cause/consequence Inability to deliver the service for agreed cost resulting in a reduced service.

Project Risk (To be used ONLY in project risk section)

NSCS00019

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

That the CSO transformation plan is not implemented to the planned timescale or agreed scope, impacting on the CSO specification and baseline volumes available to bidders, and the pricing dialogue. Procurement process not robust enough.

The Customer Services Transformation programme has full govemance arrangements in place and CDG buy in to ensure it is delivered on time.

Bidders' solutions may be suboptimal and subject to a wider range of assumptions that the council will need to warrant.

NSCS00020

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Reputational

Project team roles and responsibilities are clearly defined in the CD2 Project Initiation Document. Effective project management, ensuring key experts take control of key deliverables.

Process challenged.

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Barnet London Borough Council s is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the poten Risk Ref NSCS00021 Business Unit One Barnet Programme Rating 6 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description NSCSO solution being developed by bidder is informed by, somehow dependent on or otherwise linked to another procurement with the council, Control(s) In Place Clear communication to bidders of standalone nature of each procurement. Ensure appropriate ethical barriers and data security measures are in place as part of the terms and conditions of the projects in progress. Cause/consequence Invalidation of NSCSO bid.

Project Risk (To be used ONLY in project risk section)

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Barnet London Note: this is a Borough Council which is used for the management of potential, rather than actual problems. Problems described in this register have the potential to o risk register, Risk Ref Business Unit Rating Nature of Risk Risk Description Control(s) In Place Cause/consequence

i Category

NSCS00026

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Reputational

Lack of information in data room for bidders to use in solutions.

Data room restructured for Dialogue 2. Full contents pages provided for bidders and readonly access given to service leads. Clarification question process updated with additional controls in place to manage more effectively. All clarification responses are reviewed by the Procurement lead before submission to the bidders.

Bidders ability to bid effectively is compromised.

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Barnet London Borough Council s is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potent Risk Ref NSCS00029 Business Unit One Barnet Programme Rating 6 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description The new partner frontloads its investment in improvement and innovation and the contract becomes stale after the first few years. Control(s) In Place To design a contract that enables the council to keep the partner incentivised to continue to look for benefit and innovation throughout the life of the partnership.

Cause/consequence The council is tied into a contract that no longer delivers the benefits envisaged.

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is is a risk register, which is used for the management of potential, rather than actualprkoRbleins. Problems described in this register have the poten Barnet London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

NSCS00035

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

That the new provider may not make staff available for administering elections / disparity of pay between council staff and NSCSO staff supporting elections.

Establish staffing requirements and process with corporate programmes team, who currently project manage the elections, and corporate governance who sponsor elections.

Consequence - increased pressure on council to recruit a suitable workforce to manage elections.

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is a risk register, which is used for the management of potential, rather than actual FprkoRblerns. Problems described in this register have the potenti Barnet London Borough Council
Risk Ref Business Unit Rating] Category Nature of Risk

Report produced by JCAD RISK C2001-2012 JC Applications Development

Page 28 of 58

Barnet London Borough Council is is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the poten Risk Ref NSCS00037 Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

Report produced by JCAD RISK ?2001-2012 JC Applications Development

Page 29 of 58

Barnet London Borough Council is is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potent Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

Project Issue (To be used ONLY in project risk section)

_ 9 Project Issue (To be used

IONLY in project risk

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Page 30 of 58

his is a risk register, which is used for the management of potential, rather than actualFprkoRblems. Problems described in this register have the poten Barnet London Borough Council
Risk Ref Business Unit Rating

Category Project Issue (To be used ONLY in project risk section)

Nature of Risk

RiSK Description

Control(s) In Place

Cause/consequence

NSCS00046

One Barnet Programme

Financial Project Issue (To be used ONLY in project risk section)

111.111111111111

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Barnet London Borough Council is is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potent Risk Ref NSCS00050 Business Unit One Barnet Programme Rating 9 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description Core services have an unrealistic expectation of the level of service they will receive from the new provider, Control(s) In Place Ensuring service levels are clear in output specs, service level agreements are developed where none yet exist, and output specs and SLAs are shared with representatives of the retained functions for their feedback, including via the advisory group meetings. Service leads have presented to advisory group members and schools on the content of their output specs, and will be expected to respond to feedback and challenge, and repeat this exercise as required. Advisory group members and schools are also being involved directly in the dialogue process. Cause/consequence Staff in the retained functions have an unrealistic expectation of the level of service they will have once NSCSO is outsourced, leading to a lack of preparedness on their part, or potentially causing additional costs to be incurred once the contract is let

NSCS00052

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Business Continuity

The level of compliant and noncompliant contracts under the 25k threshold is currently unknown. Potential of having many non compliant contracts at the time of transfer. It is recognised there could be a high number of contracts but as the requisites for compliance are quite low it is likely that many of them would be compliant. Risk to be accepted by project board.

Procurement to co-ordinate the contacting of the services in scope and request: 1)Information of what contracts they have in existence at the moment that would be in existence in January 2013 and what proportion of those contracts would be outstanding (e.g. of a 10K contract, it may be that just 1K would be outstanding) 2)Notification of any contracts under 25K that are entered into in the next year and that would be still in existence in January 2013 and what proportion of the contract would be outstanding.

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Note: this is a risk register, which is used for the management of potential, rather than actualRrkoRbleins. Problems described in this register have the potential to oc Barnet London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

NSCS00064

One Barnet Programme

12

Project Issue (To be used Business Continuity ONLY in project risk section)

Project Issue (To be used ONLY in project risk NSCS00068 One Barnet Programme 12 Project Risk (To be used ONLY in project risk section) Financial The amounts of investment to be made by the supplier differs from the absolute minimum amounts and obligation to invest as detailed in the contract. The disparity has a significant financial implication for the council. Ensure clarity on the provider investment commitment and absolute minimum amounts and if applicable any variations. Establish an agreed investment figure and identify current shortfalVsurplus of investment against the planned investment profile. Lack of clarity on investment commitments.

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Note: Barnet London Borough Council which is used for the management of potential, rather than actual problems. Problems described in this register have the potential to this is a risk register,
Risk Ref NSCS00069 Business Unit One Barnet Programme Rating 12 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description Supplier lack of engagement with the Council on supplier investment making decisions resulting in a disconnect with the Council's annual corporate planning process. Control(s) In Place Establishment of the Council's priorities within the contract to ensure due consideration for the necessary investment resulting in satisfaction of the contractual service levels. A clear audit trail is required to endure alignment with the Council. Cause/consequence Lack of transparency on future investment.

NSCS00070

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Business Continuity

Without an appropriate supplier management framework the council will be unable to align activity and priorities against supplier business strategy and requirements. It will also be difficult to adequately control costs. The Council needs to ensure that supplier senior management are sufficiently transparent and willing to comply with the written agreement between the partners in producing routine benchmarking information as a key tool to ensure value for money.

Creation of a layered governance model with agreed group meetings and associated reporting to control costs, oversee supplier activity, agree priorities and provides transparency.

Ineffective relationship governance.

NSCS00071

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Reputational

Include benchmarking reporting is included within the performance monitoring framework to detail the financial and service performance that shall be considered by the contract manager and support the annual review process. Routine reports to be agreed with the Council with transparency of how catalogue prices are arrived at and profit margin.

Incomparable performance monitoring framework.

NSCS00072

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Financial

Out of scope charges being levied The Council to seek confirmation by supplier for in scope activities, on what is in/out of scope in areas of concern during dialogue. Certain areas to be underpinned by the clienting framework where the supplier could potentially fail to meet explicit contractual obligations.

Undefined scope/creep resulting in additional cost

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Note: London Borough Council Barnet this is a risk register, which is used for the management of potential, rather than actual pprkoRblems. Problems described in this register have the potential to oc
Risk Ref NSCS00074 Business Unit One Barnet Programme Rating 12 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Business Continuity Risk Description SLA activities can't be measured and therefore can't be managed. Without clear SLAs the council is likely to struggle to meet its objectives and realise its vision. Control(s) In Place A review of all SLAs will need to be conducted to ensure they are up to date and still appropriate in line with council and supplier priorities. Cause/consequence Ineffective SLAs.

NSCS00075

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Reputational

Without the ability to develop a shared understanding and plan on future capacity and resourcing the ability of the council to plan and deliver is compromised.

The Council to understand what is outside the capacity of the supplier and thus what may need to be additionally funded during dialogue. To be built into the clienting, monitoring and performance framework to ensure regular discussion, capacity and agreement on priorities.

Inadequate shared capacity and resource planning.

NSCS00077

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Compliance

The supplier does not currently have documented operating procedures. Operating procedures are critical to any business operation without this there is significant operational risk to the Council.

Supplier to evidence: Key procedures in place that support all of the service functions * Key processes that are followed * Key systems utilised in the support of the processes * Key dependencies * Key controls Communication flows * Issue resolution and escalation.

Inadequate operating procedures.

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is is a risk register, which is used for the management of potential, rather than actual goRbleins. Problems described in this register have the potenti Barnet London Borough Council
Risk Ref NSCS00078 Business Unit One Barnet Programme Rating 12 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Business Continuity Risk Description Lack of understanding of the business continuity arrangements with the supplier. An absence of an overall plan presents significant operational risk Control(s) In Place Supplier to articulate and evidence their contingency arrangements. Cause/consequence Poor/absence of business continuity plans.

NSCS00079

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Reputational

No appetite within the supplier and commissioner organisations to resolve issues,

Build a partnership working culture to ensure transparency, trust and confidence. This needs to be led and owner by both organisations, discussed and negotiated.

Poor supplier management and lack of support.

NSCS00080

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

Supplier secondment and other staffing agreements not being wholly followed. Such a failure to follow the agreement puts both the council and the secondees at risk. This must be remidied to ensure the secondees and others are protected.

The Council to negotiate for any seconded individuals to be managed as part of the contract.

Ineffective application of the secondment and other staffing agreements

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his is a risk register, which is used for the management of potential, rather than actualFprkoRblerns. Problems described in this register have the pote Barnet London Borough Council
Risk Ref OB0001 Business Unit One Barnet Programme Rating 12 Category Strategic Nature of Risk Reputational Risk Description Failure of part or the whole programme. Control(s) In Place Learning to be taken from other councils / private sector partners who have gone through similar changes Clear and regular communications to be in place at project and programme level targeted appropriately, addressing key concerns Stakeholder Engagement plan in place Resource Plan to be produced per project and reviewed regularly with project managers to ensure correct change resource is being allocated across the programme Cause/consequence CAUSE: - Lack of buy-in from Councillors, management, or staff; - Opposition from the electorate; Capacity of service leads to undertake work on the project; Commercial capability of service leads to undertake work on the project such as competitive dialogue; - Strikes or work to rule CONSEQUENCE: Could result in overall programme failure with transformation and savings not made.

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Note: Barnet London Borough Council which is used for the management of potential, rather than actual problems. Problems described in this register have the potential to this is a risk register,
Risk Ref Business Unit Rating

Category Operational

Nature of Risk Reputational

Risk Description Delivery models provided by external partners/providers fail to deliver required standards of service,

Control(s) In Place Record/document what the 'required standards of service are through Output Specifications. Ensure we maintain the flexibility to deliver efficiencies required in any contractual arrangements made going forward through the competitive dialogue process. Tender exercises / contracts to build in service level agreements and other performance measures so that the risk of failure should be highlighted in advance. A penalty for failure and or flexibility to get out of contracts / bring services back to the council in such events to be examined through the procurement process. Relationship to be built with partners / providers to ensure early warning of potential damage to Council's reputation.

Cause/consequence CAUSE: Moving to a model where some council services may be outside the full control of the council may limit ability to deliver required efficiencies in the long term. CONSEQUENCE: Additional costs of putting things right plus having to deal with adverse reputation brought about by the failings of a third party.

0B0003

One Barnet Programme

12

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his is a risk register, which is used for the management of potential, rather than actual FprkoRblerns. Problems described in this register have the poten Barnet London Borough Council
Risk Ref OB0011 Business Unit One Barnet Programme Rating 12 Category Strategic Nature of Risk Staffing & Culture Risk Description There may be a risk of a dip in productivity or the council losing skilled employees due to the increased negativity to outsourcing. Control(s) In Place Communications through Staff Groups, Management Groups, and wider corporate methods on: - the procurement stages and timelines - "What is going to happen?"/"How does this affect me?" sessions - the content of the code and how this may affect employees. Meet the bidder days agreed for staff at CD2 stage. Aim to bring in contractor as soon as possible after contract award. TUPE work shops, Pensions Roadshow. Cause/consequence CAUSE: Abolition of Workforce Code of Practice and Two tier workforce. Concern over perceived relocation. Uncertainty over the 'journey staff are going on/through. CONSEQUENCE: Possible increased Trade Union activity. Low Morale. Dip in productivity. Staff may look outside organisation for more 'secure roles. A skills/knowledge gap could be created.

080012

One Barnet Programme

Operational

Staffing & Culture

Loss of skilled employees

Communication to encourage greater understanding of procurement time lines and stages. Aim to bring contractor in to speak to staff as soon as possible after contract award TUPE workshops Pensions Roadshow Retention Add to HR indicators for next year

CAUSE: Length procurement processes and uncertainty CONSEQUENCE: Uncertainty may cause employees to look outside organisation for what are perceived as more secure roles Skills and knowledge gap within the council which could impact negatively on OB project and/or BAU.

0B0013

One Barnet Programme

Operational

Staffing & Culture

Reduced income and lower staff morale.

Increased communications with service and increased formal HR involvement,

CAUSE: Lack of engagement. Low staff morale Work to rule means that payments processing may not take place as quickly and as efficiently as before. CONSEQUENCE: Industrial action.

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Barnet London Borough Council s is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the poten Risk Ref 0B0015 Business Unit One Barnet Programme Rating 9 Category Strategic Nature of Risk Financial Risk Description There is a risk that expected savings may not be realised. Full effect of financial benefits cannot be delivered within projects and across the programme.

Control(s) In Place Ensure flexibility of service is included in contract. Imminent statutory changes reflected in dialogue process. Review processes and incorporate, More detailed financial modelling is to be carried out at final business case (FBC) stage, ensuring detailed costs are taken into account.

Cause/consequence CAUSE: Changes imposed by central government, double counting, calculated on inaccurate data, some costs of the implementation (e.g Contracts that cant be broken, Assets to be written off, cost of the 'new world', any reorganisation necessary) may not have been taken into account. CONSEQUENCE: Paying for service no longer delivered by partner which will result in Financial benefits are not delivered as set out in Business Cases.

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his is a risk register, which is used for the management of potential, rather than actual FprkoRblertns. Problems described in this register have the poten Barnet London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

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Barnet London Borough Council Note: 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 to occ
Risk Ref Business Unit Rating

Category Operational

Nature of Risk Business Continuity

Risk Description There is a risk that information requirements are not defined in sufficient detail for the projects.

Control(s) In Place Published information management strategy (December 2011) now available to bidders/internal delivery units and follow on programme of work to implement the actions from the IMS approved by IGC and CDG which will inform the interface agreements and customer & commissioning strategies. This work and its linkage to the various projects/initiatives in the Council is being managed through the role of the Design Authority.

Cause/consequence Cause: Lack of customer, commissioning and information management strategies Consequence: Baseline for Competitive Dialogue sessions is not adequate for meaningful discussion - process hindered by inability to sufficiently answer information related queries. Contracts and interface agreements put in place are unfit for purpose.

0B0030

One Barnet Programme

12

0B0032

One Barnet Programme

10

Project Issue (To be used ONLY in project risk section)

Reputational

Commercially sensitive and confidential information provided by a bidder for one of the procurements, leaks into the public domain. Inadequate security hampers a prosecution brought against any person leaking confidential information, or otherwise managing data improperly.

'Bronze Plus security measures to be implemented

Cause: Inadequate security at the council.

Consequence: multi-million pound law suits and the failure of one or more of the procurements Consequence: Failure to prosecute.

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Barnet London Borough Council is is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potent Risk Ref Business Unit Nature of Risk

Rating ] Category

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Note: this is aBorough Council which is used for the management of potential, rather than actualrprkoRblerns. Problems described in this register have the potential to Barnet London risk register,
Risk Ref 0B0040 Business Unit One Barnet Programme Rating 12 Category Strategic Nature of Risk Financial Risk Description As procurement for the different delivery units progress to their independent timetables, there is a risk that they will reach inconsistent assumptions about their roles in delivering the customer journey and delivering/receiving information about the customer. Control(s) In Place Council identifies a range of different scenarios and its preference. The process outlined below will be supported by the appointment of a Design Authority role. During each dialogue, the technical, data and process assumptions being made by each bidder are identified. This applies to the key dialogues currently ongoing (NSCSO, DRS) and assumptions that have arisen from Parking and LATC if any. Following each dialogue a crossworkstream review of each assumption must be undertaken. Assumptions identified will either: Where at first sight acceptable, be taken forward into other workstream's dialogues as input assumptions, or Where assumptions conflict across workstreams, the council will convene a group to make a ruling on the practice to be adopted. Cause/consequence CAUSE:Inconsistent assumptions made by different delivery units. For example there is a risk that Parking may contract on the basis that they will receive CPZ data in a certain format, and that Highways may contract assuming that they do not need to provide this. Or that NSCSO will specify a certain system or organisational approach (e.g. use of shared CRM, or the presence of DRS secondees in the contact centre) that contradicts the desired approach of the DRS providers. CONSEQUENCE: This could lead to one stream of work imposing costs on another stream, or in a need to put late changes into a contract to make interdependencies consistent. Alternatively it could lead to the council being unable to achieve its customer service objectives without significant further cost.

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Note: this isBorough Council Barnet London a risk register, which is used for the management of potential, rather than actualRrkoRblerns. Problems described in this register have the potential to o
Risk Ref PAER0001 Business Unit One Barnet Programme Rating 6 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Reputational Risk Description CS-AT-R01 There is a risk that LBB may be unable to implement a cost effective independent mobility assessment solution in the short / medium term, as the intended long-term solution (provided by the West London alliance) is unlikely to be in place is before June 2012 despite an initial delivery date of 1st April 2012. Control(s) In Place The project team will monitor the WLA delivery schedule. Until the WLA delivers its solution, it is likely that we will continue to use GPs to provide Independent Mobility Assessments, The team is working to implement an interim IMA solution pending the WLA IMA being in place. The interim IMA is being issued for tender 30th March, with a target implementation date of 14th May. Cause/consequence Using GPs beyond 31st March 2012 will mean that LBB are acting outside the DfT guidance. However, this is a no change" solution, hence does not act to divert resources from the main project.

PAER0004

._ One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Financial

CS-AT-R06 There is a risk that the imposition of the 10 fee for specific services may be seen negatively, leading to opposition, bad publicity and potentially a reversal of the decision.

Ensure that the internal and external communications fully explain the introduction of the fee, the cost to serve, and the value of the BB etc...

Poor publicity may force LBB into reversing a decision that is set to provide 30k income pa.

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Barnet London Borough Council s is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the poten Risk Ref Business Unit Rating I Category _ Nature of Risk Risk Description

Control(s) In Place

Cause/consequence

PAER0011

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Reputational

CS-PA-R05 There is a risk that the PCN outsource provider may not keep the Streetbook manual updated. This would lead to incorrect information being provided to customers regarding the type of permits required for a given address.

Ensure that outsourcer understands requirement to maintain Streetbook.

Lack of accurate data may damage the quality of service we are able to provide.

PARK0001

has approved expenditure for Sarah Murphy-Brookman to seek

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Barnet London Borough Council is is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the poten Risk Ref PARK0003 Business Unit One Barnet Programme Rating 9 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Staffing & Culture Risk Description Demotivated & unsettled staff could reduce productivity of PCNs and backoff ice functions

Control(s) In Place Monitor staff performance and ensure open communication between staff and senior management to reduce fear regular monthly staff forum meetings set up with all staff but only the backoffice attend as the CEOs are not affected by the change too much - Further 1-2-1s in place to listen, understand and respond to staff issues. No major issues identified.

Cause/consequence Loss of income due to loss of productivity of on-street staff (which could also increase costs as overtime would be needed to cover losses) and loss of productivity in the backoff ice causing backlog of cases.

PARK0005

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

Insufficient resources for Parking project (conflict with other projects).

Constantly checking with HR (E) and Finance (1111) leads on the projects for commitment on DRS and NSCSO Concern about availability to complete the pensions agreement due to commitment on the DRS project This is still high as the contract documents are also another legal task

Delays to the parking project movingback of DRS dialogue 2 means . should be able to see the mobilisation plan through - not too much demand during mobilisation - Legal - internal legal given details of work during mobilisation

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Note: thisLondonrisk register, which is used for the management of potential, rather than actualiprkoRblesms. Problems described in this register have the potential to o Barnet is a Borough Council
Risk Ref PARK0009 Business Unit One Barnet Programme Rating 12 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description Risk of delay to go-live due to legal requirements for a bond to be in place before go-live Performance bond should be in place. Pensions bond could still delay go live, Control(s) In Place All internal services are being made aware to expedite the intemal process of procurement and legal to ensure that there contract signing and sealing can be completed as soon as practicable and vendor setup can also be accelerated as necessary An initial figure has been agreed by the project team on 1/3/12. Finance team member to get it signed off by the Finance ADs A revised figure which includes cost of reprocurement and running the necessary in-house in case of provider default has been agreed internally and the supplier instructed to price up the bond, Awaiting response from Pensions Manager about the actuary report This risk can be closed once the bond is signed. Cause/consequence Cause: There is a risk that parking project go-live may be delayed by up to 2 months beyond the current planned date of 30/3/12 due the legal process for signing the contract and arranging the guarantee bond which involves tri-partite legal exchanges between the Council, the new provider and their bank. Previous experience has shown that this could take months to complete Consequence: This would incur additional project related cost of around for 2 months and delay the savings attached with the service going live from April 2011.

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Note: Barnet is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potential to this London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

PARK0012

One Barnet Programme

Project Issue (To be used ONLY in project risk section)

Financial

Pensions agreement - need to determine whether internal legal are doing this or Trowers. Kenct CC have carried out the final advice. Sent to NSL and RRD. Await their reply. We may need further advice if the suppliers come back with amendments. NSL have signed it off. Awaiting sign off from RRD

Emailed Helen Randall. Awaiting response Trowers have advised that this be drafted inhouse. In second round of approvals by Robert Prater Concerns around not completing this on time We now need a second agreement for RRD RRD requested changes which are being reviewed by Kent CC and advice to follow

Increased cost if external Will not be able to go live without having both of the agreements in place

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Note: this isBorough Council Barnet London a risk register, which is used for the management of potential, rather than actual RrkoRblerns. Problems described in this register have the potential to oc
Risk Ref RAB0001 Business Unit One Barnet Programme Rating 2 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description Unrealistic timescales for implementation have been set leading to a risk that not all desired changes can be delivered in time to realise benefits before outsourcing lower level of benefits realised in the short term Control(s) In Place Implementation planning will prioritise opportunities and fully define when changes can be implemented scope of changes will be accommodated within available timescales and remaining changes will be deferred until after outsourcing. Cause/consequence Cause - Arbitrary implementation timescales set before groundwork performed to develop a properly founded implementation plan Consequence - Incomplete delivery within set timescales, potential cost overrun

RAB0002

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Financial

Benefits not delivered into live running. There is a risk that planned benefit levels are not achieved postimplementation, leading to the business case being prejudiced. There is a risk of an adverse reaction of staff to the recommendations of the project, particularly in light of the recent string of one-day strikes in Revs & Bens and elsewhere in protest against the proposed outsourcing of council services. Such action may exacerbate backlogs and cause a degredation in customer service but is unlikely to result in a significant financial loss.

Benefits realisation plan. Build Cause various. savings into budget. Consequence - overspend against budget.

RAB0004

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Staffing & Culture

With Communications Team, initiate a communications programme to staff to explain the need for change. Work closely with HR to coordinate the consultation process for any staff reductions across all projects.

Cause various. Consequence - loss of operational output.

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Barnet London Borough Council is is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potent Risk Ref Business Unit I Rating
16

Category

Nature of Risk

Risk Description

Control(s) In Place

Cause/consequence

TRAN0002

One Barnet Programme

Project Risk (To be used ONLY in project risk section)

Business Continuity

Transferring 2 staff to the Transport Bureau could make the in-house team unsustainable

The transport manager producing an internal transformation report to determine the impact of this change and the alignment of the residual service with the WLA. Internal transformation is proposed. Report in progress.

Could increase costs or risk the continuity of the service.

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Barnet London Borough Council s is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the poten Risk Ref Business Unit Rating Igi Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

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

Barnet London Borough Council

TRAN0007

One Barnet Programme

12

Project Risk (To be used ONLY in project risk section)

Compliance

LBB may not be able to achieve the separation of escort/driver independence for optimum performance and compliance monitoring,

The Staff Vetting Procedure will be enhanced to request that Passenger Escorts are recruited from independent employment agencies to ensure safeguarding of clients and taxi contractor monitoring.

Risk of collusion in case of an incident.

TRAN0009

One Barnet Programme

L 12

Project Risk (To be used ONLY in project risk section)

Financial

The WLA Transport Efficiency Programme fails to deliver the savings identified by LBB.

Barnet's estimates reduced in line with the expectation and estimates from SMEs and agreed by the project board. No commitments made in the MTFS as all WLA savings are potential. Expecting a report at the WLA board meeting about WLA TEP finances.

Reduced savings and the WLA shared services may become unsustainable if the on-going cost is not covered by the savings.

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is is a risk register, which is used for the management of potential, rather than actualRrkoRbleins. Problems described in this register have the poten Barnet London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

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his is a risk register, which is used for the management of potential, rather than actual FprkoRbleins. Problems described in this register have the poten Barnet London Borough Council
Risk Ref Business Unit
Category

16

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Barnet London Borough Council s is a risk register, which is used for the management of potential, rather than actual problems. Problems described in this register have the potent Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

WV2CS0001

One Barnet Programme

'.. Project Risk (To be used ONLY in project risk section)

Staffing & Culture

There is a risk that some service areas might be missed from the mapping exercise as there is no clear structure of officers involved in community safety.

In officer consultation we have questioned officers on the original list of about who they have contact with in regard to community safety to capture as full a picture as possible.

The dispersal of community safety functions across the council with no one holding a clear structure or list of contacts. The impact is the mapping exercise might not provide the complete picture and would have to be built on at a later date following more in depth work.

Report produced by JCAD RISK ?2001-2012 JC Applications Development

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his is a risk register, which is used for the management of potential, rather than actualFprkoRblems. Problems described in this register have the poten Barnet London Borough Council
Risk Ref Business Unit Rating Category Nature of Risk Risk Description Control(s) In Place Cause/consequence

Report produced by JCAD RISK 02001-2012 JC Applications Development

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Barnet London Borough Council

Note: this is a risk register, which is used for the management of potential, rather than actual FprkoRblerns. Problems described in this register have the potential to occur, but should not be assumed to have Occetrred.
Rating 4 Category Project Risk (To be used ONLY in project risk section) Nature of Risk Financial Risk Description Control(s) In Place Cause/consequence

Risk Ref WV2SC0004

Business Unit One Barnet Programme

K ey : Project Customer Services Transformation Development and Regulatory Services Information Management Systems Library Strategy Legal Services New Support and Customer Services Organisations One Barnet Programme Management Parking Transport Community Safety Waste Risk Codes AAC, CCO, CST, PAER, RAB, WEB DRS IMS LIB LSS NSCSO OB PARK TRAN WV2CS WV2SC

Report produced by JCAD RISK 2001-2012 JC Applications Development

Page 58 of 58