190503AuCtteePaper4Annex1StrategicRiskRegister
Here’s a Markdown conversion of the provided text. I’ve tried to maintain the original table structure and formatting as best as possible. Due to limitations in automatically rendering tables with complex formatting in Markdown, some minor adjustments might be necessary for perfect display in all Markdown renderers.
CAIRNGORMS NATIONAL PARK AUTHORITY
STRATEGIC RISK REGISTER
Paper 4 Annex | 03/05/2019
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Cross-over risks | |||||||
Resources: public sector finances constrain capacity to allocate sufficient resources to deliver corporate plan. | AI | DC | Focus resource on diversification of income streams to alternate, non-public income generation. Continuing to support “delivery bodies” such as Cairngorms Nature, LAG and OATS in securing inward investment. Corporate plan prioritised around anticipated Scottish Government budget allocations, taking on Board expectation of funding constraints. Ongoing liaison with Scottish Government highlighting achievements of CNPA. | Work with Scottish Government has successfully secured resources adequate to cover Corporate Plan expectations into the second year of the new Corporate Plan period. We also continue to take forward ideas for alternate income streams to support future investment, including collective work with all UK National Parks and now supporting work on charitable activities through Cairngorms Trust. | → | ↑ | → |
Page 2
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Governance: changes to Board membership cause mission drift away from agreed priorities. | A3 | GM | Focus in agendas to maintain overall strategic direction and relevance of papers; Board induction and training plans to be developed and delivered; On-Board training commissioned for Apr 19; Board self-evaluation to be undertaken again once changes complete. | Key decisions on NPPP and Corporate Plan timed through existing Board therefore risk significantly mitigated. However, we recognise that further changes in Sep 18 and potentially March 2019 may significantly impact Board composition hence current escalation of risk. | ↑ | ↑ | ↑ |
Government and Policy: wider national political changes and policy direction force change away from current objectives. | A2 | GM | Invest time in maintaining key government contacts and relationships gaining notice of potential policy shifts. Work to get full government backing to NPPP which gives longer term strategy commitment. | Spending Review settlement for 2018⁄20 favourable for CNPA, therefore increasing confidence around capacity to deliver existing Corporate Plan objectives to 2022 and also on Government commitment to CNPA Strategic goals. NPPP and 18⁄22 Corporate Plan now approved. Monitoring ongoing potential impacts of EU exit and forward budget and policy developments, although no escalation at present. | → | → | → |
Page 3
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Resourcing: UK vote to leave EU disrupts project delivery and financing plans and exposes Authority to longer term financial liabilities as a result of loss of EU funds. | A12 | DC | Risk management analysis of specific EU funded activities – particularly of Authority’s exposure as Accountable Body for LEADER. Instructions issued on timetable for funding commitments to be covered by CNPA. Invest management time in opportunities to engage in new funding programmes designed to replace EU funding programmes. | LEADER funding contracts tailored to meet expected EU exit timetable. Greater clarity on Scottish Government position now in place. Good access to other project funding for time being. Plans for replacement of current EU grant funds remain uncertain, and risk escalation now indicated to reflect this strategic future funding risk. | → | → | → |
Reputation: perceived actions and behaviours of the Authority are not commensurate with our values and produce an organisational reputation not in keeping with the vision of an outstanding national park. | A8 | GM | Focus on media and social media messaging; ensure consistency of message; collaborate with delivery partners to help appropriately profile Authority; influencers opinion surveys. Input resources to key events, e.g. Cairngorms Nature Big Weekend, Europarc Conference 2018 to help reinforce clarity and awareness of value led organisation. Communications grid developed to focus activities. | Growing on-line profile for CNPA, with work ongoing to roll-out new website and content. Positive coverage of key activities such as Cairngorms Nature Big Weekend and design awards. Europarc Conference development progressing well. Responses to any media implemented. | → | → | → |
Page 4
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Resourcing: competing project demands (e.g. A9 dualling, development applications) prevent adequate consideration of longer term priorities around delivery of NPPP | A9.1 | MF | Project management of resourcing inputs to control against competing resource demands and ensure work undertaken does not stray beyond appropriate priority and input levels for CNPA and maintain sight on longer-term priorities. | Key projects have Project Boards in place. Management Team have agreed an approach to focus on project delivery and review project closure and lessons learned. Restructure and recruitment have stabilised staff resource although some vacancies remain until future budget confirmed. | → | → | → |
Resourcing: lead body role for multiple large scale externally funded projects is unable to be supported through available cash flow and ICT systems. | A9.2 | DC | Review staffing structures and capacity of ICT systems, e.g. SAGE finance and payroll, to support required services. Enhanced focus on cash flow forecasting and management. | Added April 2018 by Heads of Service. No significant issues arising to date. Review of functionality and capacity of key systems initiated and cash flow monitored closely. LEADER cashflow now unlocked with significant repayment of grants due by SG over last quarter. | → | → | → |
Page 5
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Staffing: additional externally funded projects strains staff workload capacity with increased risks of stress and reduced morale. | A9.3 | DC | Ongoing review of Operational Plan with explicit identification of projects which can / must slip to accommodate successful funding bids. | Added April 2018 First Operational Plan review completed May 2018. Pressure points and reprioritisation reviewed. Second Operational Plan established March 2019 | ↑ | ↑ | → |
Resourcing: Role as Lead / Accountable body for major programmes (e.g. LEADER, Landscape Partnership) has risk of significant financial clawback should expenditure prove to be not eligible for funding, while CNPA carries responsibilities as employer for programme staff. | A11 | DC | Ensure financial controls in place for programme management include effective eligibility checks. Test processes with funders if required and also undertake early internal audit checks. Workforce management plans must incorporate programme staff considerations. Utilise internal audit resources | Uncertainties in central government guidance and audit approach to LEADER has heightened risk substantially in first half of 2018. Very positive movement in resolution of monitoring and eligibility issues over summer 2018. Residual risk around dispute resolution processes and uncertainty over eligibility judgements and interpretation made by SG audit. | ↑ | → | → |
Page 6
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Technical: Increasing ICT dependency for effective and efficient operations is not adequately backed up by ICT systems support. | A17 | DC | ICT Advisory review commissioned from internal audit. Consultancy work also underway through ThinkWhere for GIS and Avendris for customer management and electronic records management. | Added April 2018 Operational Management Group review. Cyber security and wider ICT functionality reviews currently underway, outputs of which will help address risk likelihood and impacts. | → | → | → |
Technical: Cyber security is inadequate to address risk of cyber-attack on systems | A18 | DC | Implementation of Scottish Government Cyber Security Action Plans and internal audit recommendations on IT security. Ongoing review of systems and procedures in tandem with LLTNPA. | Added by MT / OMG April 18. Cyber security plus accreditation received. Work underway to complete residual internal audit actions. | → | → | → |
Resourcing: CNPA IT services are not sufficiently robust / secure / or well enough specified to support effective and efficient service delivery. | A13 | DC | We will develop and consult on the forward plans for ICT service development to ensure these meet service requirements. Commissioned external review of out IT and data management processes to be implemented to give assurance. | Risk added through staff consultation with Staff Consultative Forum Sep 2016. Independent review of IT architecture and systems undertaken April / May 2017, with results reported to Sep 17 Audit Committee. Several areas of improvement to be addressed. Heightened risk maintained until action plan is signed off as fully implemented. | ↑ | ↑ | ↑ |
Page 7
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Reputation: the Authority’s reputation is impacted by a small number of vociferous social media opinion leaders | A14 | GM | Staff and Board training on use of social media to best support organisational aims in communications and reputation management. Ongoing delivery of communications strategy. Social media profile also represents an opportunity to boost reputation. | Added by Board Dec 16. Risk assessment escalated to reflect increase in likelihood given recent events regarding letters to media potentially transferring into social media, plus recent negative correspondence about specific project delivery. This escalation in risk does not imply increase in impacts materialising – this to be assessed. | → | → | → |
Reputation: high profile incidents or one off stories, such as those associated with wildlife crime, mountain hares, affordable housing can have an undue influence on the Authority’s wider reputation. | A15 | GM | Maintain good balance of traditional and social media releases. Close partnership working to seek to balance incident reporting and appropriately reflect Authority’s position and work. | Added by MT Jan 18. Wildlife crime initiative now launched. Other positive media around Snow Roads. Diminishing in impact as wider balancing information becomes more widespread. Increase in likelihood given recent events regarding letters to media and negative correspondence about specific project delivery. | → | → | → |
Page 8
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Resourcing: scale of asset responsibilities such as for paths, outdoor infrastructure is not adequately recognised and does not secure adequate forward maintenance funding. | A16 | DC | Review of accounting procedures and asset recognition policy; review of forthcoming accounting technical guidance. Ensure full consideration is given in budget reviews. Alternate funding sources such as visitor giving to be explored more actively. | Added by MT / OMG April 18. Infrastructure maintenance issues exacerbated by end of existing agreement over Speyside Way Long Distance Route and end of maintenance period following National Lottery Heritage funding. | → | → | ↑ |
Resources / Staffing: failure to effectively manage staffing numbers with a view to the long term business need will reduce the capacity for the Authority to deploy adequate financial investment toward priority projects in the National Park. | A19 | DC | Workforce Management Strategy developed and in place. Analysis of staffing contract position over three year period completed with actions established. | Added by Staffing and Recruitment and Audit and Risk Committees Feb / Mar 2019. | → | → | → |
Resources: change in financing IT services and the switch from capital to revenue provision places an unmanageable pressure on the Authority’s budget capacity. | A20 | DC | Monitor pattern of IT investment costs as regards the capital and revenue split of resourcing requirements; build impacts into ongoing budget deliberations with Scottish Government. | Added by Audit Committee 8 March 2019 following “deep dive” IT risk review. | → | → | → |
Page 9
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Reputation: the Authority is not perceived to be appropriately addressing the potential for conflict between 4 statutory aims. | A21 | GM | Ensure Board policy papers and Planning Committee papers are explicit in recognising strategic policy conflicts between 4 statutory aims and in addressing the evaluation of the conflict. | Added by Audit Committee 8 March 2019 following internal audit report on strategic planning processes. | → | → | → |
Specific Service Risks | |||||||
Partnerships: Conservation partnerships, crucial to delivery of priorities across land owned by others, are not formed or sufficiently developed to deliver conservation priorities. | C1 | PM | Prioritise investment of time in establishing and maintaining working relationships; develop clear focus on requirements of partnerships, their purpose, objectives and resources. | Moorland Partnership and Cairngorms Connect progressing well; growing relationships with individual estates re woodland expansion proposals; recent input to engage more widely with keepers and raptor study groups. | → | → | → |
Staff and communications: partners’ staff are not engaged with or do not buy into the Authority’s conservation NPPP priorities. | C2 | PM | Clear and consistent messaging of CNPA priority and intended outcomes / impacts; clear, prompt and focused responses to partner concerns. | Increased levels of joint working with FCS and SNH on priority issues of woodland expansion and designated sites; Partnership Plan completion reaffirmed shared priorities among partner agencies. Audit and Risk Cttee agreed to retain this risk May 2018. | → | → | → |
Page 10
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Reputational: the Authority’s leadership reputation will be damaged if East Cairngorms Moorland Partnership fails as a consequence of failure or perceived failure to deliver objectives. | C3 | PM | Establish and communicate clear partnership objectives. Maintain clarity within partnership on actions and their associated delivery responsibilities. | Added through Management review April 2018. Work ongoing in this area, with no evidence as yet of changes to likelihood or impact. | → | → | → |
Partnerships: transfer of Crown Estates may result in significant disruption to established patterns of partnership working with key land-owners and reduced effectiveness in delivery with this key stakeholder group | C4 | PM | Monitor progress of Crown Estates transfer and potential impacts on CNP Partnership operations, taking preventative actions as required. | Added at Board meeting 11 December 2015. Moved to service specific risk from general risk through management review April 18 | → | → | → |
Partnerships: competing priorities act to prevent or delay delivery of Cairngorm and Glenmore Strategy. | V1.1 | MF | Re-initiate momentum on project. Regular partner contact and early joint planning for delivery priorities, seek to expose potential conflicts at early stages and collaborate to identify remediation. | Cairngorm and Glenmore Strategy agreed among partners but changing partner capacity risks less joined-up and less ambitious delivery. Lack of movement on implementation and problems with Cairngorm Funicular are resulting in heightened risk. | ↑ | ↑ | ↑ |
Page 11
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Resourcing: delivery of strategic path networks / tourism infrastructure is not achieved or delayed as insufficient resource is allocated to project development or delivery stages. | V2 | MF | Focus given to ensuring project development and specification is planned and resourced; and early liaison with partners re strategic funding opportunities and bidding into these. | Remains significant unfunded resource requirements to address legacy of storm damage and extend Deeside Way. However, funds now secured for a number of strategic path investments over this and next year. | → | → | → |
Resourcing: Ongoing maintenance is not adequately resourced to maintain infrastructure networks. | V3 | MF | Seek trials of donations and voluntary giving opportunities. Review basis of partnership collaboration with Access Trust to consider focus on maintenance. | Added by Audit Committee Feb 16. Now duplicated by general risk A16? Remove? | → | → | → |
Resources and Partnerships: HLF funded Tomintoul and Glenlivet Landscape Partnership and Capercaillie Framework fail to fully deliver to the expectations of funders and communities. | L1 | PM | Ensure sufficient staff resources are dedicated to supporting project boards. Ensure regular project monitoring and evaluation. | Broad range and scale of TGLP projects combined with wide diversity of partner input is challenging to manage and TGLP staff team at full stretch. However monitoring of workloads and project progress is in place and responded to. These risks will be replicated within new Capercaillie project and need equivalent management. | → | → | → |
Page 12
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Governance: Board and stakeholders do not adequately understand and appreciate landscape scale land management issues | L2 | PM | At Board level, continue to use Board self-assessment and skills matrix to guide member recruitment, training and informal briefing sessions. Use partnership mechanisms to ensure stakeholder understanding and appreciation. | Added by Audit and Risk Committee May 2018 Work ongoing and no change in risk assessment at this stage. | → | → | → |
Resources and Partnerships: the broad partnership, policy combination and financial resources required to address challenges of housing delivery are not sufficient. | R1 | MF | Strategic focus on establishment of the partnership approach, policy changes and resources required in development of next NPPP. | National Park Partnership Plan consultation successful and good progress made with development of next Local Development Plan and strategic partnerships. Some increased risk of higher expectations but overall no change to trend. | → | → | → |
Page 13
Risk | Ref | Resp | Mitigation | Comments | Trend Aug 18 | Trend Nov 18 | Trend Mar 19 |
---|---|---|---|---|---|---|---|
Resourcing and partnerships: current LEADER programme will end within Corporate Plan period with uncertainty over resources to allow continuation of Community Led Local Development (CLLD) work, preventing the Authority and community organisations from effective planning and investment in priority CLLD actions. | R2 | DC | Influence through existing LEADER networks to emphasise importance of CLLD funding in supporting delivery of priority investments within local communities. Communicate key successes of the LEADER process. | Added during management review April 2018 Promotion of effectiveness of CLLD approach; input to Scottish Government consultation over summer 2018. Various strands of policy work ongoing and being influenced. However, no change in risk assessment at this stage. | → | → | → |
Notes:
- Aiming to keep strategic risk register to around 12 to 15 high level strategic risks
- Cross-cutting risks impact potentially throughout all priorities
- Strategic Risks around corporate priorities focus on risk impacts throughout each of the three themes – hence require a coordinated overview at Director / MT level. Not expecting a strategic risk against each specific Corporate Plan priority.
- More specific risks are expected to be captured in more operational risk registers – e.g. risk management around delivery of office extension.
- Full risk register the collective responsibility of full MT to manage, however each risk allocated to one specific member of the team to take lead responsibility.
- Aim through mitigation to reduce Likelihood (LL) multiplied by Impact (IM) risk score to below 10 as acceptable risk value.
- Reference key: “A” items are risks impacting on all aspects of the Corporate Plan; “C” items are Conservation only risks; “V” risks relate specifically to Visitor Experience; “L” risk relate to Land Management; “R” risks relate to Rural Development risks.
Version Control
2 Board Cycle June 2019 2.0 DC draft for MT/OMG review April 19
Remember that the arrow symbols (→, ↑) representing trends might not render consistently across all Markdown viewers. You may need to replace them with textual descriptions like “Stable,” “Increasing,” or “Decreasing” for better compatibility.