WARNING - By their nature, text files cannot include scanned images and tables. The process of converting documents to text only, can cause formatting changes and misinterpretation of the contents can sometimes result. Wherever possible you should refer to the pdf version of this document. CAIRNGORMS NATIONAL PARK AUTHORITY Audit Committee Paper 5 Annex 1 23/03/07 Risk Register as at 20 February 2007 Date first identified / Risk Identified / Action (Track or Treat) / Action Agreed / Responsible Officer / Timescale for action November 04 Lack of clarity on priorities Treat 7 priority 1 goals proposed and agreed in Corporate Plan 2005/08. Deliver through operational plans. Likelihood assessed to have significantly diminished: appraisal / target setting systems in place and Operational Plan monitoring consistently showing priority activities on target. MT 20/02/07 JH Ongoing November 04 Lack of public understanding of CNPA objectives Treat Board open evenings, Parklife and opinion polling to measure stakeholder perception of CNPA work. Open evenings extended to include other public sector partners, Parklife questionnaire sent out January 2007 and opinion polling to take place during 2008. FvB 8/3/07 FvB Ongoing November 04 Spread ourselves too thin Treat Manage through budget allocations reflecting priorities, operational plans and job plans. Risk still valid with actions ongoing through 2007/08. DC / MT 2007-2008 November 04 Lack of developed Health & Safety Policy Treat Comprehensive Policy on Health & Safety and Fire Risk Assessment DC March 2006 November 04 Management of relationship with private estates and land owners Track Develop policies to support integrated land management plus estate seminars, crofter groups and estate visits. Set up estates communication group DB 2006-2007 November 04 Inconsistent internal communications Treat Define and refine core messages and ensure these are widely understood by staff through staff meetings and away days. Staff Consultative Forum. Core messages prepared and circulated to all staff and board members in January 2007, staff survey carried out in Spring 2006 and regular team meetings and away days held with positive feedback from staff. FvB 8/3/7 FvB / DC Ongoing November 04 Staff overload Track Monitor through staff appraisal system and feedback; monitor through response to Staff Attitude Survey March / April 06; monitor through HR stats (absences, turnover). Likelihood currently assessed to have reduced: relatively positive staff survey results and no warnings arising from absence monitoring or exit interviews. DC 20/02/07 DC By August 2006 to review. November 04 Lack of a local plan Treat Local Plan consultation being carried out. along with further research on housing policy and review of timetable required to produce a fit for purpose local plan DM 13/7/06 DM 2006-07 November 04 Failure to deliver major projects Track Monitor progress through quarterly operational plan reviews. Key performance measures built into Operational Plan and balanced scorecard developed. DC 28/11/06 Significant individual projects have embedded risk management strategy and risk registers. MT 20/02/07 MT Ongoing November 04 Plans are not aligned Treat Manage through the corporate planning process, and consultation on both plans. MT July, Board paper Aug, to take review. JH 17/7/06 and Bd discussions on LP in early 2007 JH 20/2/07 JH Ongoing November 04 CNPA sets the wrong measures of success in the public view Treat Review outcomes and deliverables flowing from strategies and policies and communicate these clearly to public. Especially with regard to National Park Plan. Annual report produced and sent to interested parties in January 2007and NPP communications plan being prepared FvB 8/3/07 FvB Ongoing November 04 Don’t identify customer requirements Track Clarify through opinion polling and other forms of feedback Advisory forums, pre-board meetings, consultations, media coverage, IGP/Leader+ projects, community liaison/ACCC, public board & planning meetings, all ensure we listen to customer views/requirements FvB 8/3/07 FvB Ongoing November 04 Don’t satisfy customer requirements Treat Greater transparency of working practices and improvement in communications. Future stakeholder analysis to be undertaken by MT. Stakeholder analysis underway involving MT and Board. Partnership working in development and delivery of NPP. MT 20/02/07 MT Ongoing November 04 Failing to exploit IT functionality Treat Develop IT strategy and review feedback from IT User group. Review issues arising from Nov 06 IT/server problems and determine whether further action is required .DC 28/11/06 DC May 2006 November 04 Lack of project management skills Treat Training arranged for staff. Project management training implemented during 2006/07. DC 28/11/06 Investment in project management software to support skill development planned by end Mar 07. DC 20/02/07 DC Ongoing November 04 Too much planning and not enough execution Treat More focused decision making by management team / MT Development. Regular Board review of Op Plan; annual report focus on achievements. JH 17/7/06 Clear leadership to organisation via awaydays ect end 06 early 07 to manage transition to delivery phase; new delivery teams set up with partners. JH 20/2/07 JH Ongoing November 04 Ineffective delegation of responsibilities Treat Implementation of staff appraisals and job plans. Appraisal systems and target setting now in place and working effectively. Likelihood of risk now diminished. DC 20/02/07 DC Ongoing November 04 Lack of interchangeability of staff Track Staff development plans will allow for movement across groups plus internal vacancy arrangements. Flexibility in staffing supported by secondments between organisations. Dec 07 organisational review finds structure still fit for purpose. MT 20/02/07 DC / MT Ongoing November 04 Reduction in EU funding for future programmes Track Provide on-going external funding advice on EU programmes and consider potential replacement funding opportunities. DC Ongoing July 06 Partners do not commit to deliver their elements of National Park Plan Treat Ongoing work between Authority’s staff and members with other partner organisations to get their commitment to deliver agreed action plan. External delivery teams now being set up to support partner commitment. Stakeholder analysis undertaken by CNPA to refine approaches to partners. MT 20/02/07 MT Ongoing July 06 Organisational structure changes impact on delivery, either through loss of direction or reduced morale / motivation. Track Delivery monitored through quarterly operational plan review processes, with internal Group communication structures / Staff Forum in place to pick up on any issues arising from structure change. Not now seen as a significant risk: December 06 organisation review undertaken and managed without significant impact on morale or motivation. MT 20/02/07 MT Ongoing July 06 Plans are not aligned with Ministerial / political expectation Treat Liaison meetings and relationship with sponsor department intended to give “political intelligence” to Authority, while establishing agreed timetables for submission and discussion of corporate and operational plans with Executive. Liaison work ongoing, also recognising change in Minister. MT 20/02/07 MT Ongoing October 06 Roll-out of Park Brand is not consistent with existing visitor information, signage and interpretation strategies. Treat Develop risk analysis for roll-out of Park Brand, to ensure risks to various existing and proposed strategies are recognised and required actions to manage the process are documented and followed-up. Professional advice to be sought in relation to managing risks associated with ‘family brand’ developments (as per 23 Feb Board paper). AH - December 06 Potential significant change in Board membership during 2007 has adverse impact on Board effectiveness. Treat Added by Audit Committee 15 Dec 06. Develop and deliver an induction programme for Board members. MT 20/02/07 MT July 07 February 07 National Park Boundary is changed Track Continue to monitor Committee review of bill and subsequent parliamentary activity. Any signal of increase in likelihood of change will require consideration of development of implementation plans. MT Ongoing February 07 Major external initiatives or inquiries dilute resource availability and have adverse effect on delivery of goals. Track Continue to monitor resource allocation through Operational Planning process and monitor delivery of objectives. MT Ongoing