Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Item 6
Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Contents:
- Guide and report key
- Risk Register
- Action Plan
- A Guide and Key to the Action Plan and Risk Reports
A risk based approach is used to develop a targeted action plan. A causal analysis has been undertaken of each ‘area of uncertainty’ relating to the Authority’s / committee’s objectives. This identified possible causes of uncertainty enabling specific mitigating actions to be created. This approach ensures that there are logical links between the risk register and the action plan.
The system used to record, monitor and report on risk and action is Covalent.
The system uses symbols to record the status of risks and actions. A key is provided below:
/ Alert
/ Warning
/ OK
/ Unknown
The risk report records the area of uncertainty, the risks it leads to and their strategic impacts. The causes of these risks are then analysed and any mitigating action shown.
References to associated actions are given on the right hand side.
Action Status/ Cancelled
/ Overdue; Neglected
/ Unassigned; Check Progress
/ Not Started; In Progress; Assigned
/ Completed
The action plan records all of the actions identified to deliver the Authority’s / committee’s objectives. This mainly includes those mitigating actions identified through the risk register. Action progress is given, including dues dates and the names of those assigned responsibility for delivery.
References to associated risk causes are given on the right hand side.
Larger print versions are available on request
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Item 6
Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
2. Strategic Planning & Co-ordination Risk RegisterGenerated on: 03 October 2012 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC01 Police Authority Performance / Uncertainty: is the Police Authority performing well?
Leading to: failure to meet statutory duties and inappropriate scrutiny of policing
Resulting In: lack of public confidence; loss of reputation /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC01.01 / Cause: Committees risks and actions not linked to the DCPA Strategic Plan / severe / unlikely / 31-Jul-2012 / / Tolerate / Sue Howl / SPCC.A01 /
SPCC01.02 / Cause: risk and performance treated as discrete topics / severe / evens / 31-Jul-2012 / / Tolerate / Sue Howl / SPCC.A07 /
SPCC01.03 / cause: lack of active engagement at local, regional and national level which results in minimum opportunity to learn from other organisations / severe / unlikely / 31-Jul-2012 / / Tolerate / Sue Howl / SPCC.A08 /
SPCC01.04 / cause: PA scrutiny of Force performance is not effective / severe / unlikely / 03-May-2012 / / Tolerate / Sue Howl
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC02 Strategic Plan Delivery / Uncertainty: is the DCPA Strategic Plan being delivered?
Leading to: inappropriate PA activity
resulting: wasted effort, loss of reputation, loss of confidence by both the public, the force and other partner organisations /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC02.01 / Cause: ineffective monitoring of the delivery plan / severe / unlikely / 30-Jun-2012 / / Tolerate / Sue Howl / SPCC.A02 /
SPCC02.02 / Cause: lack of resources / moderate / unlikely / 17-May-2012 / / Tolerate / Sue Howl
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC03 Emerging issues / Uncertainty: are there appropriate mechanisms in place to identify emerging issues, such as transitional requirements?
Leading to: appropriate activity not planned and undertaken
Resulting in: loss of confidence in the Authority; increased workload and contingency action not in place. /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC03.01 / Cause: lack of horizon scanning and assessing needs. / minimal / unlikely / 17-May-2012 / / Tolerate / Sue Howl
SPCC03.02 / Cause: Lack of resources / minimal / unlikely / 17-May-2012 / / Tolerate / Sue Howl
SPCC03.03 / Cause: lack of appropriate specialist skills and knowledge / minimal / unlikely / 01-Oct-2012 / / Tolerate / Sue Howl
SPCC03.04 / Cause: Lack of contingency planning during the transitional phase leading up to the appointment of the PCC. / severe / unlikely / 01-Oct-2012 / / Treat / SPCC.A13 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC04 Communications / Uncertainty: does the SPCC communicate information about its activities?
Leading to: lack of Member trust
Resulting in: loss of confidence /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC04.01 / Cause: information not circulated in a timely manner about SPCC decisions to members and PA staff / significant / evens / 31-Jul-2012 / / Tolerate / Sue Howl / SPCC.A03 /
SPCC04.02 / cause: perceived lack of transparency regarding information provided to and discussed by SPCC / significant / evens / 31-Jul-2012 / / Tolerate / Sue Howl / SPCC.A03 /
SPCC04.03 / Cause: SPCC decisions not communicated in a timely manner to Force / severe / evens / 31-Jul-2012 / / Tolerate / Sue Howl / SPCC.A03 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC05 Scrutiny of Force Capacity and Capability / Uncertainty: Is there sufficient scrutiny of the Force's capacity and capability by the Authority?
Leading To: failure to deliver the required level of policing services;
Resulting in: poor police performance; lost public confidence in policing; poor perception of the Authority and the Force. /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC05.01 / Cause: Inadequate and insufficient monitoring and scrutiny undertaken by the Committee and members; the Force is unable to respond to the level of scrutiny from the PA. / severe / unlikely / 27-Sep-2012 / / Treat / Sue Howl / SPCC.A04 /
SPCC.A11 /
SPCC05.02 / Cause: The relationship between the Authority and the Force is not sufficiently robust to ensure the sharing of data and information. / severe / unlikely / 01-Oct-2012 / / Tolerate / Sue Howl / SPCC.A04 /
SPCC.A11 /
SPCC05.03 / Cause: Lack of Authority resource ( officer level) to support the Committee / Members to collate appropriate monitoring information required. / significant / unlikely / 06-Sep-2012 / / Treat / SPCC.A11 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC08 Planning / Uncertainty: the role of SPCC in planning the future direction of the Authority until 22 November 2012.
leading to: unfocussed activity
Resulting In: loss of confidence; loss of reputation /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC08.01 / Cause: community priorities not reflected in the DCPA vision, strategic plan objectives or the targets the Authority sets for the Force / moderate / unlikely / 17-May-2012 / / Tolerate / Sue Howl
SPCC08.02 / Cause: lack of Member Development Plan / minimal / highly likely / 23-Sep-2011 / / Tolerate / Sue Howl
SPCC08.03 / Cause: matters requiring urgent decisions lead to reactive activity rather than proactive actions and decision making / significant / evens / 03-May-2012 / / Treat / Sue Howl / SPCC.A04 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC09 Relationship with the Chief Officer Team / Uncertainty: does the Authority have a constructive but challenging relationship with the Chief Constable and Chief Officer Team?
leading to: the Authority and the Force having differing priorities
resulting in uncoordinated approach, loss of confidence /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC09.02 / cause: unrealistic committee requests / significant / unlikely / 17-May-2012 / / Tolerate / Sue Howl
SPCC09.03 / Cause: focus on post PCC elections, highlighting risks for the future. / significant / evens / 27-Sep-2012 / / Treat / Sue Howl / SPCC.A13 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC10 Equality, Diversity & Human Rights / Uncertainty: does the Authority fulfil its diversity, equality and human rights responsibilities?
Leading to: not fulfilling legal responsibilities;
Resulting; loss of confidence, loss of reputation /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC10.01 / Cause: equality impact assessments not completed before decisions are made / significant / evens / 27-Sep-2012 / / Tolerate / Sue Howl / SPCC.A10 /
SPCC10.02 / cause: lack of awareness and understanding of diversity, equality and human rights amongst decision makers / significant / unlikely / 17-May-2012 / / Tolerate / Sue Howl
SPCC10.03 / Cause: lack of compliance with relevant legislation / significant / unlikely / 17-May-2012 / / Tolerate / Sue Howl
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC11 Health & Safety / uncertainty: PA meeting it's legislative responsibilities
leading to: failure in statutory duties;
resulting in: loss of confidence; neglection of duties to staff;credibility. /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC11.01 / Cause: lack of compliance with relevant legislation / significant / evens / 26-Sep-2011 / / Treat / Sue Howl / SPCC.A05 /
SPCC.A09 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC12 Business Improvement Projects / Uncertainty: does the Authority scrutinise police service business change projects to assess their positive contribution to the policing plan?
Leading to: inappropriate and ineffective use of resources
Resulting in: loss of confidence and credibility /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC12.01 / cause: scrutiny does not include projected timescales and savings / return on investment / severe / evens / 03-May-2012 / / Treat / Sue Howl / A.A04 /
A.A05 /
A.A06 /
SPCC12.02 / Cause: ongoing monitoring and challenge is inadequate / severe / evens / 03-May-2012 / / Treat / Sue Howl / A.A04 /
A.A05 /
SPCC12.03 / Cause: no post implementation review is undertaken and scrutinised to ensure planned savings / return on investment is being delivered / severe / likely / 27-Sep-2012 / / Treat / Sue Howl / A.A04 /
A.A05 /
SPCC.A06 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Risk Code & Title / Uncertainty / Status (RAG)SPCC16 Legal process / Uncertainty:Ability to make a timely response especially with regard to legal issues
leading to: hurried decisions; uninformed decisions;financial implications
resulting in: loss of confidence & reputation /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Cause Code / Cause / Impact / Likelihood / Latest Review / RAG / Risk Approach / Assigned To / Mitigating action / RAGSPCC16.01 / cause: inadequate communication between PA & Force, during run up to appointment of PCC. / significant / unlikely / 01-Oct-2012 / / Treat / 01 DCPA, Chief Executive / SPCC.A12 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
3. Strategic Planning & Co-ordination Committee Action ReportGenerated on: 03 October 2012 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
Code / Description / RAG / Assigned To / Planned Start Date / Actual Start Date / Progress Bar / Due Date / Cause(s) Mitigated / RAGSPCC.A01 / committee risk registers to include the corporate aim and the corporate objective to which each uncertainty is linked / / Sue Howl / 05-Jul-2012 / / 31-Jul-2012 / SPCC01.01 /
SPCC.A02 / Monitor progress and present reports to SPCC / / Sue Howl / 22-May-2012 / / 15-Nov-2012 / SPCC02.01 /
SPCC.A03 / implement new distribution of forward plan - to be circulated immediately after SPCC to Members and COG PAs giving outline of decisions made / / Sue Howl / 04-Jul-2012 / / 30-Jun-2012 / SPCC04.01 /
SPCC04.02 /
SPCC04.03 /
SPCC.A04 / The Force needs to provide regular reports to the Authority on policing needs and resourcing in a timely manner. / / Sue Howl / 01-Jun-2012 / 22-May-2012 / / 30-Jun-2012 / A05.01 /
A05.02 /
A06.01 /
SPCC05.01 /
SPCC05.02 /
SPCC08.03 /
SPCC.A05 / SPCC to receive reports on Health & Safety matters / / 01 DCPA, Chief Executive / 01-Oct-2012 / / 15-Nov-2012 / SPCC11.01 /
SPCC.A06 / reports to SPCC of PIR findings / / 01 DCPA, Chief Executive; Sue Howl / / 15-Nov-2012 / SPCC12.03 /
SPCC.A07 / utilise covalent as a performance management tool / / Richard Martin / 02-Oct-2012 / / 31-Mar-2013 / SPCC01.02 /
SPCC.A08 / use of POLKA (or similar) to establish and monitor best practice / / Richard Martin / 02-Oct-2012 / / 31-Mar-2013 / SPCC01.03 /
SPCC.A09 / include health & safety information in teh Annual Governance Statement / / Richard Martin / 01-Aug-2012 / 02-Oct-2012 / / 31-Mar-2013 / SPCC11.01 /
SPCC.A10 / brief SPCC members to ask that EIAs are completed before decisions are made / / Eelke Zoestbergen / 30-Jun-2012 / 30-Jun-2012 / / 31-Mar-2013 / SPCC10.01 /
SPCC.A11 / Prioritisation meetings to ensure that Authority resources are planned to optimise support to Committees. / / 01 DCPA, Chief Executive / 01-Jun-2012 / 01-Jun-2012 / / 15-Nov-2012 / SPCC05.01 /
SPCC05.02 /
SPCC05.03 /
SPCC.A12 / Setting up of a mechanism to ensure that communication between the PA and the Force does not break down during the run up to the appointment of the PCC and for the next 100 days thereafter. / / 01 DCPA, Chief Executive / 01-Oct-2012 / 01-Oct-2012 / / 31-Oct-2012 / SPCC16.01 /
SPCC.A13 / Ensure that contingency planning operates throughout the transitional phase leading up to the appointment of the PCC and the 100 days thereafter. / / 01 DCPA, Chief Executive / 01-Oct-2012 / 01-Oct-2012 / / 31-Oct-2012 / SPCC03.04 /
SPCC09.03 /
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Devon & Cornwall Police Authority: Committee Action Plan and Risk Register Pack
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