Performance Monitoring

Item: 4

Development and Infrastructure Committee: 8 June 2021

Report by Executive Director of Development and Infrastructure

1. Purpose of Report

To advise on the performance of Development and Infrastructure for the reporting period 1 October 2020 to 31 March 2021.

2. Recommendations

The Committee is invited to scrutinise:

2.1

The performance of Development and Infrastructure for the reporting period 1 October 2020 to 31 March 2021, as set out in sections 3 to 5 and Annexes 1 to 3 of this report.

It is recommended:

2.2

That the actions, referred to at section 3.2 of this report, which have been progressed to completion, be removed from the Development and Infrastructure Service Plan.

2.3

That the actions, referred to at section 3.3 of this report, be amended as indicated.

2.4

That the Development and Infrastructure Risk Register, attached as Annex 4 to this report, be approved.

3. Service Plan Performance Monitoring

3.1

The action plan, attached as Annex 1 to this report, provides the detail of the agreed service priorities, as expressed in the Development and Infrastructure Service Plan, and contains SMART (Specific, Measurable, Attainable, Relevant and Time-bound) targets for the life of the Service Plan. The action plan also provides the mechanism through which the time-limited aspects of the Service Plan will be progressed to completion.

3.2

Set out below are those Service Plan actions assessed as Blue within Annex 1, namely those which have been progressed to completion and are now being recommended for removal from the Service Plan.

• 06a – Carbon Management Programme and Low Carbon Policies and Projects – Complete Hydrogen Strategy.
• 12 – Port Infrastructure Refurbishment – commercial activities (e.g. Cruise) to secure affordability of programme of port infrastructure refurbishment, to ensure the piers are safe to use and properly preserved.
• 18 – Manage and implement consequences of Brexit – Support to services where possible. Ensure sufficient resources available to deliver Environmental Health Certification processes.
• 20b – Pursue the delivery of 21st century digital and Broadband capability including wireless connectivity – Explore, and where possible deliver innovative projects to secure 5G or other technology option (noting that action 20 is one action on the Service Plan but has been broken down into 3 actions 20a, 20b and 20c for the purpose of performance reporting, this is due to the different stages within the action, action 20a is still live).
• 20c – Pursue the delivery of 21st century digital and Broadband capability including wireless connectivity – Investigate benefits and opportunities arising from 5G and the Internet of things. This action is basically a duplication of 20b (above) so recommend removal from Pentana.
• 23a – Orkney Local Biodiversity Action Plan – Orkney Local Biodiversity Action Plan and participation as non-financially contributing partner in the Orkney Native Wildlife Project – New local biodiversity plan in place.
• 23b – Orkney Local Biodiversity Action Plan – Orkney Local Biodiversity Action Plan and participation as non-financially contributing partner in the Orkney Native Wildlife Project – RSPB/Scottish Natural Heritage success in the eradication of stoat population and protection of Orkney native wildlife.

3.3

Set out below are those Service Plan actions identified as being in need of amendment, for example, by having the target date updated.

• 10a – Improve Accessibility to all Transport Services – Continue to pursue funding opportunities where possible – it is proposed that the target date for this action is extended to 31 December 2022.
• 10b – Improve Accessibility to all Transport Services – Ensure all contracted services have accessibility provision – it is proposed that the target date for this action is extended to 31 December 2021.
• 11b – New Business and Growth in Current Marine Activities – Review staff and resource capacity and develop business case for increasing these where necessary to deliver strategic objective – it is proposed that the target date for this action is extended to 31 December 2021.
• 13 – Port Masterplan – Finalise Port Masterplan, identify funding sources and deliver – it is proposed that the target date for this action is extended to 31 December 2022.
• 14a – Capital Programme Management – Complete Member Seminar engagement – it is proposed that the target date for this action is extended to 31 December 2021.
• 14b – Capital Programme Management – Revised Capital Programme – it is proposed that the target date for this action is extended to 31 December 2021.
• 16 – Secure Fair Funding for Transportation Services (full deficit funding) – Continued leading role in Partnership working with Transport Scotland, HITRANS and Highland and Islands Enterprise – it is proposed that the target date for this action is extended to 31 March 2022.
• 19a – Ensure viable land supply for development, including addressing constraints to housing in Kirkwall – Complete surface water management plan – it is proposed that the target date for this action is extended to 31 December 2021.
• 19b – Ensure viable land supply for development, including addressing constraints to housing in Kirkwall – Engage with Scottish Water, Scottish Government and development industry to ensure fair distribution of resource to deliver the strategic objectives – it is proposed that the target date for this action is extended to 31 December 2021.
• 24 – Delivery of the North Isles Landscape Partnership Project – Delivery of the projects outlined in the North Isles Landscape Conservation Plan – it is proposed that the target date for this action is extended to 31 March 2024.

4. Service Performance Indicators

Service Performance Indicators provide the mechanism through which the performance aspects of the services provided year on year are monitored. The monitoring reports are attached as Annexes 2 and 3.

5. Complaints and Compliments

5.1

Table 1 below sets out numbers of complaints and compliments made to Development and Infrastructure in the six-month period 1 October 2020 to 31 March 2021, and for the two preceding six-month monitoring periods.

IMAGE: Table 1 records complaints and compliments for Development and Infrastructure generally and Orkney Ferries across the six-month periods ending 31 March 2020, 30 September 2020 and 31 March 2021, with totals. The figures are 15, 10, 19 and 44 for complaints relating to D&I generally; 0, 3, 0 and 3 for Orkney Ferries complaints; 45, 94, 594 and 709 for compliments relating to D&I generally; and 1, 7, 3 and 11 for Orkney Ferries compliments.

5.2

When considering the raw data within Table 1 above, it should be noted that the Council has adopted a policy of encouraging staff to record all complaints against the Council through the Complaints Handling Procedure. This includes complaints that are quickly and satisfactorily resolved by the frontline service, thereby enabling the Council to identify any trends that would help to improve the service. As a result of this policy, the number of complaints captured by the procedure may increase and that does not necessarily reflect an increase in the number of people contacting the service to express dissatisfaction with the Council.

5.3

Orkney Ferries Limited operates as a Limited Company with its own customer relations and separate complaints process. Orkney Ferries Limited is a very public facing and time critical service and therefore statistics have been itemised separately, the statistics provided above are for those complaints and compliments that directly relate to Orkney Ferries’ Council employees and processes.

5.4

There is no discernible relationship in terms of the types of complaints received over this six month monitoring period.

5.5

It is helpful to note that the statistics above show the number of complaints received, but not all of the complaints received are upheld, some are partially upheld or not upheld.

5.5.1

The percentage for Development and Infrastructure complaints generally is broken down below:

• In the reporting period October 2019 to March 2020:
  • 53% of complaints were not upheld.
  • 20% of complaints were partially upheld.
  • 27% of complaints were upheld.
• In the reporting period April to September 2020:
  • 70% of complaints were not upheld.
  • 0% of complaints were partially upheld.
  • 30% of complaints were upheld.
• In the reporting period October 2020 to March 2021:
  • 42% of complaints were not upheld.
  • 26% of complaints were partially upheld.
  • 32% of complaints were upheld.

IMAGE: The page continues the breakdown of Development and Infrastructure complaints generally, showing that 30% of complaints in the reporting period April to September 2020 were upheld, and that in October 2020 to March 2021, 42% were not upheld, 26% were partially upheld and 32% were upheld.

5.5.2

The percentage of complaints for Orkney Ferries Limited is broken down below:

• In the reporting period October 2019 to March 2020, there were no complaints.
• In the reporting period April to September 2020, 100% of complaints were not upheld.
• In the reporting period October 2020 to March 2021, there was no complaints.

5.5.3

The Complaints Officer is working with Heads of Service and Managers to improve the flow of communication and response time in regard to complaints, the new Customer Services Platform system in the long term will help with this. The Development and Infrastructure senior management team discuss complaints and compliments at their weekly Head of Service meeting.

5.5.4

It is encouraging to observe the good number of compliments received across the Service and a significant increase on the previous reporting periods. This is partially due to the hard work and extra effort applied by our Roads Service during the adverse weather in the first quarter of this year, and also due to Development and Infrastructure promoting and encouraging the reporting of compliments across the service.

6. Service Risk Register Review

Managers within Development and Infrastructure have recently carried out the annual review and update of the service Risk Register, along with the list of actions to mitigate these risks. The updated Risk Register is attached at Annex 4 to this report.

7. Corporate Governance

This report relates to the Council complying with its performance management policies and procedures and therefore does not directly support and contribute to improved outcomes for communities as outlined in the Council Plan and the Local Outcomes Improvement Plan. That said, Service Plans are developed taking cognisance of the Council’s policies as outlined in the Council Plan.

8. Financial Implications

There are not anticipated to be any significant financial implications arising as a result of the recommendations to this report.

9. Legal Aspects

The Council’s performance management systems help the Council to meet its statutory obligation to secure Best Value.

10. Contact Officers

Gavin Barr, Executive Director of Development and Infrastructure, Email gavin.barr@orkney.gov.uk

Roddy MacKay, Head of Planning, Development and Regeneration, Email roddy.mackay@orkney.gov.uk

Louise Cutler, Directorate Business Support Manager, Email louise.cutler@orkney.gov.uk

11. Annexes

• Annex 1 - Summary of the performance of Development and Infrastructure against the targets within its Service Plan.
• Annex 2 – Summary of the performance of Development and Infrastructure against its Performance Indicator targets (6 monthly).
• Annex 3 - Summary of the performance of Development and Infrastructure against its Performance Indicator targets – (12 monthly).
• Annex 4 – Development and Infrastructure Risk Register.

Annex 1

Development and Infrastructure Service Plan 2019 to 2022

Progress against Service Plan Actions at 31 March 2021

Lead: Gavin Barr

Comment: A number of service reviews are to be established before the end of the financial year as part of the Budget Setting Project Initiation Document (PID) process. A review of the Environmental Health Service has taken place. BRAG status at 30 September 2020 was GREEN.

Lead: Gavin Barr

Comment: A number of service reviews are to be established before the end of the financial year as part of the Budget Setting Project Initiation Document (PID) process. A review of the Environmental Health Service has taken place. BRAG status at 30 September 2020 was GREEN.

Personnel key

• Executive Director of Development and Infrastructure – Gavin Barr
• Head of Planning, Development and Regulatory Services – Roddy Mackay
• Head of Infrastructure and Strategic Projects – David Thomson and Hayley Green (interim appointments covering absence)
• Head of Marine Services, Transportation and Harbour Master – Jim Buck

RAG key

• Red - the performance indicator is experiencing significant underperformance, with a medium to high risk of failure to meet its target.
• Amber - the performance indicator is experiencing minor underperformance, with a low risk of failure to meet its target.
• Green - the performance indicator is likely to meet or exceed its target.

IMAGE: Annex 1 pages display the Orkney Islands Council crest and detailed service-plan tables. The tables record each action’s title, description, intended outcome, BRAG status, start date, target date, lead officer and comment. The BRAG symbols are green arrows, yellow triangles, red stop symbols and blue upward arrows.

Annex 2

Development and Infrastructure (D&I) Performance Indicator Report – 6 Monthly

Service Performance Indicators at 31 March 2021

CCG 01 – Sickness absence

The average number of working days per employee lost through sickness absence, expressed as a percentage of the number of working days available.

Comment: The Service continues to work closely with the Human Resources Team to ensure that we seek to address short term and long-term sickness absence as a matter of priority. However, these matters are individually unique and it is difficult to forecast or prevent occasional fluctuations in the performance percentage over reporting periods.

IMAGE: Trend chart for CCG 01 shows half-year sickness absence values of 3.72% for H1 2019/20, 3.64% for H2 2019/20, 2.67% for H1 2020/21 and 3.22% for H2 2020/21, against a 4% target.

CCG 02 – Sickness absence

Of the staff who had frequent and/or long-term sickness absence (they activated the sickness absence triggers), the proportion of these where there was management intervention.

Comment: Intervention by Managers is discussed at the Development and Infrastructure performance and risk management meetings. The Development and Infrastructure Senior Management Team continues to work with Human Resources and Managers within their own Teams to ensure that more active intervention takes place in future. This matter is also raised with Managers at the Development and Infrastructure Managers General meetings which are held twice a year, the next meeting is due to be held on 12 May 2021 and this matter will be raised then. The introduction of the Council’s new sickness management system in the first quarter of 2021 means that Managers now receive live data when staff hit sickness triggers, the system also sends out automated reminders to Managers for action to take place, with the introduction of this system we anticipate an improvement in performance going forward.

IMAGE: Trend chart for CCG 02 shows 35.34% for H1 2019/20 and 15.58% for H2 2020/21, against a 90% target. No bars are shown for H2 2019/20 or H1 2020/21.

CCG 03 – Staff accidents

The number of staff accidents within the service, per 30 staff per year.

Comment: The number of accidents recorded within this 12 month period was extremely low, there were six accidents reported in total, two of which were RIDDOR (Reporting of Injuries, Diseases and Dangerous Occurrences Regulations) reportable. The low number of accidents may in part be due to the COVID-19 pandemic and the resultant changes in working practices.

IMAGE: Trend chart for CCG 03 shows values of 1.57 for H1 2019/20, 1.23 for H2 2019/20, 0.57 for H1 2020/21 and 0.42 for H2 2020/21, against a target of 1.

CCG 04 – Budget control

The number of significant variances (priority actions) generated at subjective group level, as a proportion of cost centres held.

Comment: This indicator remains at red status. This has been an exceptional year in terms of budget spend due to COVID-19 circumstances. Development and Infrastructure Service Management Team has held regular meetings with colleagues in Finance to review this matter, and steps to address this service wide matter have also been reported to the Senior Management Team. The Development and Infrastructure Senior Management Team continue to contribute to the Revenue Expenditure Monitoring Report (REMR) process and flag up areas of concerns and difficulties, noting that this has been a very difficult period to try and profile. The majority of budgets have been affected by changes in cost and income as a result of the new arrangements put in place to deal with COVID-19.

IMAGE: Trend chart for CCG 04 shows values of 30%, 40%, 38% and 41% for the four half-year periods, against a 15% target.

CCG 05 – Recruitment and retention

The number of advertised service staff vacancies still vacant after six months from the time of advert, as a proportion of total staff vacancies.

Comment: There has been an improvement in this indicator which has moved from red to amber status, 48 vacancies were advertised and only one was vacant after six months. It should be noted that there are continuing challenges within the service on individual cases in satisfying recruitment. This matter continues to be discussed both within Development and Infrastructure and within the Corporate Management Team and is a growing challenge across the Council.

IMAGE: Trend chart for CCG 05 shows values of 2%, 5.21%, 6.82% and 2.08% for the four half-year periods, against a 2% target.

CCG 06 – Recruitment and retention

The number of permanent service staff who leave the employment of Orkney Islands Council – but not through retirement or redundancy – as a proportion of all permanent service staff.

Comment: There were 345 permanent staff employed in the service as at 31 March 2021, five permanent members of staff left the Council within this period but there is no direct pattern or trend. Whilst the indicator remains green, there are some instances of staff leaving across the service for a range of individual reasons which leads to the need for new recruitment, induction and training.

IMAGE: Trend chart for CCG 06 shows values of 3.05%, 3.2%, 0.87% and 1.45% for the four half-year periods, against a 5% target.

CCG 07 – ERD

The number of staff who receive (at least) an annual face-to-face performance review and development meeting, as a proportion of the total number of staff within the service.

Comment: There is a drop in this Performance Indicator (PI) again since the last reporting period (47.70%) and this indicator remains at red status. The Development and Infrastructure Senior Management team met on 22 April 2021 to discuss this PI and are not satisfied with the overall performance with the indicator continually being red, an action plan to improve this PI was discussed. Meetings with managers have been arranged for May 2021, the Executive Director and relevant Head of Service will attend these meetings to underpin further the reasons for the lack in performance and to support managers in areas where there are challenges. One of the biggest challenges reported by line managers is time to prioritise, many managers are very "operational" and require to undertake front line tasks. This can make it difficult to carve the time for these annual review meetings. Many D&I managers have regular daily/weekly contact with staff and the annual Employee Review and Development (ERD) meeting is very much “extra” to this more significant regular contact; many managers are confident that no staff are left behind in terms of manager contact. However, it remains critical to ensure that all staff are able to undertake ERDs and that there is management focus on this across D&I. This is being progressed through the various engagement methods outlined by the D&I Senior Management team.

This is an important objective and it is not satisfactory that some Managers have not held an annual ERD meeting with their staff for some time or ever. This is unfortunate but it is important that by the next reporting period the indicator will greatly improve and there will be direct contact made with relevant managers in this regard. There is a process in place whereby administration support teams proactively send reminders to managers and assist with arranging ERD meeting dates for staff, along with the necessary paperwork.

IMAGE: Trend chart for CCG 07 shows values of 51.4%, 52.6%, 48.1% and 26.4% for the four half-year periods, against a 90% target.

CCG 08 – Invoice payment

The number of invoices that were submitted accurately, and paid within 30 days of invoice date, as a proportion of the total number of invoices paid.

Comment: There is an improvement in this indicator from 77.12% in September 2020 to 85.2% at the end of March 2021. However, it may be worth noting that Finance colleagues have been paying a considerable number of the business grant payments and these payments are dated usually the same day or a day or two before the day that the payment run is completed so will be contributing to the improvement. It should also be noted that some areas of Development and Infrastructure have a large number of invoices to process on a weekly basis, many of which are complex and time consuming and often inaccurate. The service also faces some challenges with suppliers who send out invoices months behind the date of the invoice. This shows the invoice being processed late within the service. All areas within D&I were transferred to the Purchase to Pay system in March of this year. The improvement in performance may be related to this but at this time we cannot confirm until the full breakdown information by area is available from Finance.

IMAGE: Trend chart for CCG 08 shows values of 64.4%, 64.7%, 77.12% and 85.2% for the four half-year periods, against a 90% target.

CCG 09 – Mandatory training

The number of staff who have completed all mandatory training courses, as a percentage of the total number of staff in the service.

Comment: The Development and Infrastructure Senior Management Team have been working closely with Human Resources since 2019 to overcome challenges in ensuring that all staff complete mandatory iLearn training. Work with Development and Infrastructure Managers also took place to ensure that the right staff appeared on the mandatory training reports. Some staff, primarily operational staff, complete certain training as a matter of course and as part of their job specific training and it was agreed with Human Resources and with the Safety and Contingencies Team that these staff do not need to complete the iLearn training as well as this would be duplication; for accuracy of reporting these staff were removed from the report. Human Resources have provided paper based training for those staff that do not have IT access, managers arrange group team sessions to cover the training but noting that COVID-19 restrictions have made this more challenging, particularly with staff based on the outer isles. Recent discussions have taken place with Human Resources to ensure that staff working in more than one service eg Development and Infrastructure and Education, Leisure and Housing are not double counted on reporting for this indicator and to ensure that staff do not complete the same iLearn training twice.

IMAGE: Trend chart for CCG 09 shows a single value of 35.89 for H2 2020/21.

SS 01 – Building Warrants

Average time to grant a building warrant or amendment to warrant.

Comment: The average time to grant a building warrant or amendment to warrant remains below the 60 day target and the national average for Scotland.

IMAGE: Trend chart for SS 01 shows values of 43.25, 41.23, 46.52 and 46.88 for the four half-year periods, against a target of 60.

SS 07 – Planning Applications

Average timescale (weeks) to determine planning application for local developments.

Comment: The Scottish Government has moved from quarterly to six monthly reporting periods, although the statistics will be presented as quarters at that stage. Various checks and dialogue have to take place between the Council and the Scottish Government before a final figure is agreed, as a result of this a figure for the performance indicator will not be available until the middle of May 2021 at the earliest. This performance indicator will need to be changed in the future to reflect the Scottish Government changes. The status for this Performance Indicator has been marked as not applicable (N/A) as it cannot determined without the data.

IMAGE: Trend chart for SS 07 shows values of 7.7 for H1 2019/20, no value for H2 2019/20, 9.8 for H1 2020/21 and 0 for H2 2020/21, against an 8-week target.

SS 08 – Planning Applications

Average timescale (weeks) to determine planning application for major developments.

Comment: No applications determined within this reporting period.

IMAGE: Trend chart for SS 08 shows zero applications determined in each of the four periods, against a 17-week target.

SS 11 – Pilotage

The proportion of requests where the pilotage was provided within two hours of the request.

Comment: Pilotage service maintained at two hours or less notice.

IMAGE: Trend chart for SS 11 shows 100% for 2019/20 and 100% for 2020/21, against a 98% target.

SS 12 – Towage

The proportion of requests where the towage was provided within two hours of the request.

Comment: All acts of towage carried out within the two-hour period.

IMAGE: Trend chart for SS 12 shows 100% for 2019/20 and 100% for 2020/21, against a 98% target.

SS 13 – Business start-ups and expansions

Percentage of grant applications determined within 90 days.

Comment: All competent applications were determined within 90 days of receipt.

IMAGE: Trend chart for SS 13 shows 100% for 2019/20 and 100% for 2020/21, against an 80% target.

Personnel key

• Executive Director of Development and Infrastructure – Gavin Barr
• Head of Planning, Development and Regulatory Services - Roddy Mackay
• Head of Infrastructure and Strategic Projects – David Thomson and Hayley Green (interim appointments covering absence)
• Head of Marine Services, Transport and Harbour Master – Jim Buck

RAG key

• Red - the performance indicator is experiencing significant underperformance, with a medium to high risk of failure to meet its target.
• Amber - the performance indicator is experiencing minor underperformance, with a low risk of failure to meet its target.
• Green - the performance indicator is likely to meet or exceed its target.

Annex 3

Development and Infrastructure (D&I) Performance Indictor Report - Annual

Service Performance Indicators at 31 March 2021

SS 02 – Food Hygiene

The percentage of food businesses “broadly compliant” with food law – food hygiene.

Comment: Data is not available as the routine Food Inspection programme has been on hold (with agreement from the relevant Scottish Minister and Food Standards Scotland) since March 2020 due to COVID-19. In addition to this the data is no longer collected in this form as the former Annex 5 Food Risk Rating Scheme has been replaced by the Food Law Rating System (FLRS) which will result in one combined Food Hygiene and Food Safety Band (A to E) for each business. One of the members of staff within Environmental Health is currently working to achieve the Environmental Health Officer qualification which will provide increased capacity to deal with these inspections; this also demonstrates Council support and investment in this area of work. The status for this Performance Indicator has been marked as not applicable (N/A) as it cannot be determined without the data.

IMAGE: Trend chart for SS 02 shows 0% for 2019/20 and 0% for 2020/21, against an 85% target.

SS 03 – Food Standards

The percentage of food businesses “broadly compliant” with food law – food standards.

Comment: Data is not available as the routine Food Inspection programme has been on hold (with agreement from the relevant Scottish Minister and Food Standards Scotland) since March 2020 due to COVID-19. In addition to this the data is no longer collected in this form as the former Annex 5 Food Risk Rating Scheme has been replaced by the Food Law Rating System (FLRS) which will result in one combined Food Hygiene and Food Safety Band (A to E) for each business. One of the members of staff within Environmental Health is currently working to achieve the Environmental Health Officer qualification which will provide increased capacity to deal with these inspections; this also demonstrates Council support and investment in this area of work. The status for this Performance Indicator has been marked as not applicable (N/A) as it cannot be determined without the data.

IMAGE: Trend chart for SS 03 shows 0% for 2019/20 and 0% for 2020/21, against an 85% target.

SS 04 – Consumer complaints

The percentage of (trading standards) consumer complaints completed within 14 days.

Comment: There is a further small improvement on the previous year.

IMAGE: Trend chart for SS 04 shows 90.3% for 2019/20 and 90.6% for 2020/21, against the target line.

SS 05 – Business advice requests

The percentage of (trading standards) business advice requests completed within 14 days.

Comment: The figure meets the target but is very slightly lower than the previous year.

IMAGE: Trend chart for SS 05 shows 91.2% for 2019/20 and 91% for 2020/21, against a 90% target.

SS 06 – Calibration requests

The percentage of calibration requests carried out in time.

Comment: 14 requests received which is lower than usual due to COVID-19. Relatively low numbers in this category can mean that one failure to meet the target can skew the percentage.

IMAGE: Trend chart for SS 06 shows 87% for 2019/20 and 87.5% for 2020/21, against a 90% target.

SS 09 – Local Development Plan

Age of the Local Development Plan/Number of years since formal adoption.

Comment: The Local Development Plan was adopted in April 2017 and runs for five years, as at 31 March 2021 it was three years and 11 months old. The review of the Local Development Plan is delayed because of the national review of the planning system. Secondary legislation is due which will provide the Planning Authority with detail on process and timescales for the review and the production of a new Local Development Plan. This is anticipated to be published in Autumn 2022.

IMAGE: Trend chart for SS 09 shows values of 3 for 2019/20 and 4 for 2020/21, against a target of 2 years.

SS 10 – Street Lighting

Percentage of Street light faults repaired within 7 days.

Comment: It is not possible to provide the information currently as the Customer Service Platform/Dash system does not yet have a strategic data warehouse reporting tool. This is being addressed through one of the Improvement Support Project Team work streams. It would take a significant amount of time for a member of staff to go through hundreds of records to try and extract the information required. The status for this Performance Indicator has been marked as not applicable (N/A) as it cannot be determined without the data.

IMAGE: Trend chart for SS 10 shows 0% for 2019/20 and 0% for 2020/21, against an 80% target.

Personnel key

• Executive Director of Development and Infrastructure – Gavin Barr
• Head of Planning, Development and Regulatory Services - Roddy Mackay
• Heads of Infrastructure and Strategic Projects – David Thomson and Hayley Green (interim appointments covering absence)
• Head of Marine Services, Transport and Harbour Master – Jim Buck

RAG key

• Red - the performance indicator is experiencing significant underperformance, with a medium to high risk of failure to meet its target.
• Amber - the performance indicator is experiencing minor underperformance, with a low risk of failure to meet its target.
• Green - the performance indicator is likely to meet or exceed its target.

Annex 4

Development & Infrastructure (D&I) Risk Register – 31 March 2021

Risks by risk number

Risks by cluster

Risks by Owner

Risk Prioritisation Matrix

IMAGE: The risk prioritisation matrix assesses likelihood from 1, Rare, to 5, Almost Certain, against impact from 1, Insignificant, to 5, Severe. The resulting ratings range from Low through Medium and High to Extreme.

Risk 01 – The UK exit from the European Union (Brexit)

Cluster: Economic. Link to Risk Number 4 – Public Health.

Owner: Head of Planning, Development and Regulatory Services.

Vulnerability: The UK ceased to be an EU Member State on 31 January 2020. The UK remains bound by EU rules, regulations and funds until at least the end of 2020. The transition period is to allow the UK and EU to agree a longer-term free trade and cooperation agreement. The UK-EU negotiations will have implications for local government including the loss of EU funding programmes and proposed UK replacement programmes – Shared Prosperity Fund. A key need will be the expected increased demand for Export Health Certificates and the lack of Environmental Health Officers available nationally to deal with this increased workload.

Trigger: Residency challenges/insecurity of migrant labour force. Risk of substantial change across a range of sectors for example cut in direct payments to farmers post Brexit. Export tariffs and transportation delays, additional costs, and restricted access to European and global markets threaten viability of livestock farming, fishing and food and drink sectors. Changes to food exports, eg requirement for export health certificates and service unable to deliver to demands in terms of additional workload created. Market price adjustments fail to compensate for farm subsidy cuts.

Consequences: Disruption of trade/business. Skills shortages in several sectors. Reduced viability could lead to falling production of livestock and crops and cause land abandonment. Loss of competitive access to EU markets leads to: reduced fishing effort; loss of employment opportunities in key economic sectors. Sustainability of fragile communities at risk. Lack of capital investment funds.

Options: Tolerate.

Mitigating Actions:

• 01.1 - In partnership with other Highlands and Islands (H&I) local authorities and other stakeholder organisations, the H&I Partnership and H&I Agricultural Support Group (HIASG) are engaged in on-going discussions with the Scottish Government and is lobbying Ministers and parliaments at all levels.
• 01.2 – Engagement with the fish catching and processing sectors, aquaculture businesses and other sectoral groups. Engagement has taken place with the industry and there appears to be no immediate issues in regard locus of the Council, contact will be maintained with the sector should any issues arise.
• 01.3 - Engagement with Scottish Government.
• 01.4 - Monitoring BREXIT process through COSLA representation. Monitor all impacts.
• 01.5 – Monitor and support UK/Scottish Government proposals for funding to replace EU funding programmes, to ensure maximum benefits for Orkney, including engagement with UK Government and other H&I local authorities.

Risk 02 – Airfield closure or non-conformity

Cluster: Political.

Owner: Head of Marine Services, Transportation and Harbour Master.

Likelihood: 3. Impact: 3. RAG: YELLOW. Current Risk Score: 9. Target Risk Score: 4.

Vulnerability: Insufficient plans in place to ensure delivery of training and exercises take place. The Council may not have sufficient funds to sustain assets, replace ageing assets and develop key assets. Difficulty of staff recruitment in some areas.

Trigger: Failure to carry out training of staff. Insufficient resilience of staff – singleton post. Changed standards for runways, facilities and equipment. Material deterioration of runways. Shortage of staff to muster fire team for any island.

Consequences: Failure to provide a service to the outer islands of Orkney; Airfields deteriorate; plant/vehicles deteriorate; scarce resources; reputational risk to Council; closure of islands airfields. Failure to monitor health due to lack of supplier or sufficient budget.

Options: Treat.

Mitigating Actions:

• 02.1 – Improved training and exercise programme.
• 02.2 – Plant and vehicle replacement programme.
• 02.3 – Recruitment drive for new employees and review of terms and conditions.
• 02.4 - Airfield inspection and maintenance programme and introduction of Airfields Strategy.
• 02.5 – Delivery of the Airfields investment plans for runways, buildings and plant.
• 02.6 - Re-introduce/replace the health assessment programme.
• 02.7 - Regular cycle of Safety Action Group and Safety Review Board meetings.
• 02.8 - Developing proposal for Assistant Airfields Officer.

Risk 03 – Affordability of Waste collection and disposal

Cluster: Financial.

Owner: Head of Infrastructure and Strategic Projects.

Likelihood: 4. Impact: 3. RAG: YELLOW. Current Risk Score: 12. Target Risk Score: 4.

Vulnerability: Affordability of existing waste collection models.

Trigger: The Council fails in the delivery of this service to the outer islands in Orkney.

Consequences: The Council will not be able to close the gap towards meeting the Government targets for recycling 70% by 2021. Noting that the delivery of Government targets is intrinsically linked to comprehensive review and re-design of waste collection and disposal, this is currently in development as part of the Capital Project Appraisal process.

Options: Treat.

Mitigating Actions:

• 03.1 – Ongoing programme of review, in particular response to the COVID-19 period redesigned service provision.
• 03.2 – Secure strategy on a longer term for support officer for awareness raising and targeting. This was partially successful through the Innovation Fund, however, this funding has ended, seeking to address/create capacity though income gained by commercial activities to cover this and chasing up income, with the proposal to establish a temporary post again.
• 03.3 – Chinglebraes Replacement Project. Interim increased capacity has been addressed (footprint) in the 2016/17 Capital Replacement Programme. Permanent replacement solution is in development, the Stage 2 Capital Project Appraisal (CPA) will be considered in the 2021/22 financial year.
• 03.4 – The “re-negotiation” of the Shetland Islands Council (SIC) contract for disposal continues. Noted SIC have rebased costs again in 2020/21 for waste processing increasing costs approximately £120k (unbudgeted) outwith normal expected inflation of 3-5%. Meetings continue between OIC and SIC to resolve contract issues.
• 03.5 - 2021/22 budget setting process allocated additional £200,000 baseline budget to Waste service.
• 03.6 - Senior Management Team (SMT) Project Initiation Documents (PIDs) established for commercial waste and domestic waste collection for progression during 2021 – to include consideration of alternative models/efficiencies.

Risk 04 – Public health protection

Cluster: Legislative/Regulatory. Link with Risk 01 – Brexit (additional work pressures on Environmental Health service as a result of Brexit).

Owner: Head of Planning, Development and Regulatory Services.

Likelihood: 5. Impact: 4. RAG: AMBER. Current Risk Score: 20. Target Risk Score: 10.

Vulnerability: The Council has limited staffing resources to be able to respond to a major public health incident. It has to be recognised that within a small team there will always be capacity issues when a significant incident arises. There is a need for close co-ordination with National Health Service Orkney (NHSO).

Trigger: A major animal, food or other public health disease outbreak.

Consequences: The Council cannot manage within its resources; immediate impact on individuals, families, friends and staff members involved in the incident; possible legal proceedings and associated costs; community resources unable to cope with scale of events; Council’s reputation at risk.

Options: Treat.

Mitigating Actions:

• 04.1 – Regular review and scrutiny of operational plans.
• 04.2 – Effective partnership working with the National Health Service Orkney (NHSO).
• 04.3 – D&I Protocol for dealing with major Public Health and Safety incidents.
• 04.4 – Staffing establishment – full complement of competent officers (qualified, trained, experienced and appropriately authorised). In the meantime, establishing agency officer on a temporary basis.
• 04.5 – Port Health – Maintain training programme with NHSO.
• 04.6 – Agreement in place with NHSO to undertake annual up-date to the Port Health Guide and to meet every February to discuss and agree.
• 04.7 - Establish a formal out of hours Environmental Health Service.
• 04.8 - Consider and implement recommendations arising out of the external review of the Environmental Health service.

Risk 05 – Workforce Planning

Cluster: Managerial/Professional.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 4. Impact: 3. RAG: YELLOW. Current Risk Score: 12. Target Risk Score: 6.

Vulnerability: The Council may have insufficient training plans in place and Employee Review and Development (ERD) meetings not being carried out regularly. Challenge of recruitment to key professional posts. Lack of proper training including career grade plans/apprenticeships will impact on the Service in the future. Workforce Plans were approved through Committee in March 2017.

Trigger: The Council does not have fully trained staff, in the right place, at the right time, to deliver set priorities and/or statutory functions. Unable to recruit to key posts.

Consequences: The Council cannot manage with an untrained workforce. Existing workforce becomes demoralised; service standards drop; an increased risk of non-compliance with changes in legislation, practices etc.

Options: Treat.

Mitigating Actions:

• 05.1 – Appropriate systems in place to measure competency and ensure training and people development is undertaken as required, with a particular focus on statutory services.
• 05.2 – Workforce Plans implemented within teams. Reviews underway in 2020/21, noted that the budget pressures may well impact on plans given need for scenario reduction amendments (ie 8, 12, 20% options).
• 05.3 - Undertake service review exercises within impacted areas eg Planning, Environmental Health, Garage and Roads.

Risk 06 – Major project delay or failure

Cluster: Reputational.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 5. Impact: 3. RAG: AMBER. Current Risk Score: 15. Target Risk Score: 6.

Vulnerability: The risk of insufficient financial and/or staff resources to meet current and future demand makes it difficult for the Council to realise its priorities eg Scale Wind, Islands Deal, Harbours Master Plan. Failure to spend grant funding. Reputational damage. Market capacity to deliver COVID-19 when not at full strength.

Trigger: Strategic high-level project programme slippage or failure of being over budget. Scale of project management business requirements associated with the Islands Deal.

Consequences: Failure to deliver major projects.

Options: Treat.

Mitigating Actions:

• 06.1 – Ensuring appropriate consideration of pressures during capital and revenue budget setting and most efficient use of existing resources.
• 06.2 – Establish additional project specific staff and budget resources to ensure new project delivery where required (property and planning resource reviews and commitment to increase resource levels). Challenge has been establishing sufficient management time to progress recruitment process.
• 06.3 - Implement recommendations relevant to the capital programme arising from the external review of the Planning Service. Planning resource and planning agent role within the property team in 2021/22 - as above challenges in progressing recruitment process.
• 06.4 – Seeking to conclude the planning for the next capital programme (period 2024 to 2029) within the 2021/22 financial year and thereby adjusting resource levels to meet delivery demands (noted that for the 2018 to 2023 programme approximately 3.5 posts identified as additional to current levels, recruitment proceeding to conclude within 2021/22).
• 06.5 - Review of the level of support for the next stage of islands deal work beyond Strategic Outline Business Case, noting the effort is outstripping the part-time resource capacity for the one FTE also covering service and other project issues. This would be addressed via future Project Management Officer committed resource across the partners.

Risk 07 – Higher fuel costs

Cluster: Financial.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 2. Impact: 3. RAG: YELLOW. Current Risk Score: 6. Target Risk Score: 6.

Vulnerability: The Council faces challenges because of the volatility of fuel costs. The running costs for plant and vehicles (aircraft, buses, ferries, tugs, etc) is directly affected by the cost of fuel. This is particularly challenging for contracted services where the Council is obliged to honour agreements. Short term vulnerability is lower during COVID-19 as lower costs are anticipated. Longer term a spike in costs is anticipated.

Trigger: The Council has a large increase in fuel costs.

Consequences: The Council is reactive rather than proactive: Roads: increased costs could mean a reduced service. Ferries: increased costs mean a reduced service. Bus routes may become non-viable. Air Public Service Obligation – the Council carries 95% of fuel risk so may become non-viable. The Council calls on contingency and/or contingency reserve for fuel tie in funds which may or may not be required. Tugs: minimise use.

Options: Tolerate.

Mitigating Actions:

• 07.1 – Fuel surcharge levy has been used in past to recoup money for ferry and tug operation.
• 07.2 – Incentives for cheaper supplies.
• 07.3 - Encourage lower fuel usage contingency. Migration to low energy vehicles and other alternative fuels.
• 07.4 - Fuel cost risk held by bus operators.
• 07.5 – Capital project development of renewables to offset energy consumption (electricity rather than oil) through Council owned renewables project and properties.
• 07.6 – Noted the COVID-19 impact of changed working arrangements and how schools and other buildings might reopen which could incur additional fuel costs (ie requirements for ventilation).

Risk 08 – Continued lack of Scottish Government support for costs of concessionary travel on ferries, air and community transport

Cluster: Financial.

Owner: Head of Marine Services, Transportation and Harbour Master.

Likelihood: 4. Impact: 3. RAG: YELLOW. Current Risk Score: 12. Target Risk Score: 4.

Vulnerability: The Council may not have sufficient funds for dealing with concessions on Ferries, Air and Dial-a-Bus. This vulnerability is also increasing due to the increased ageing population.

Trigger: Ageing population. Reducing Scottish Government proportion of grant/Scottish Government “pot” is capped. Any change to Scottish Government Policy on the provision of support to concessions.

Consequences: Vulnerable people left without ability to meet basic needs, budgets inadequate due to reduction in Scottish Government support.

Options: Tolerate.

Mitigating Actions:

• 08.1 – Outwith Local Authority control – reimbursement of over 60/disabled NEC tax paid by the Scottish Government.
• 08.2 - Orkney Inter Islands Air and Ferry Study Project/Fair Funding activity.

Risk 09 – Risk of reduced income from business activities from Quarries

Budget overspend due to self-financed strategy which relies on income generation and continued supply.

Cluster: Financial.

Owner: Head of Infrastructure and Strategic Projects.

Likelihood: 5. Impact: 4. RAG: AMBER. Current Risk Score: 20. Target Risk Score: 4.

Vulnerability: The Council Quarry has been a significant income resource which has been applied to a self-financing budget approach within D&I. This is market dependent on the availability of infrastructure and ongoing supply.

Trigger: Change in local market for quarry goods. Failure to secure planning permission for the quarry extension. Extensive periods of plant breakdown/time to replace unplanned failure.

Consequences: Lack of availability of quarry products for Council projects and local markets. D&I self-financed budget strategy leading to overspend.

Options: Treat.

Mitigating Actions:

• 09.1 - Continue to progress planning process for extension, decisions expected during 2021.
• 09.2 - As contingency/short term solution import stone to ensure continuity of supply. This is being progressed in two stages during 2021 with formal procurement exercise underway for supplemental 40,000 tonne spring 2021.

Risk 10 – Risk of reduced income from Harbours business activity as the market changes

Cluster: Financial.

Owner: Head of Marine Services, Transportation and Harbour Master.

Likelihood: 4. Impact: 3. RAG: YELLOW. Current Risk Score: 12. Target Risk Score: 4.

Vulnerability: Harbours has become increasingly reliant on the oil industry and cruise liners for generating income. Changes to these markets could have a profound effect on harbour revenues.

Trigger: The Council fails to identify and exploit new markets/income streams if/when current marine activity reduces. Cruise ships reduce. Oil revenues worsen. COVID-19 has made this so.

Consequences: Failure to provide a comprehensive 24/7 marine service; reputational risk to Council; dissatisfied service users and elected members; failure to deliver the range of services expected. D&I self-financed budget strategy leading to overspend. Inability to provide funds to the Strategic Reserve Fund.

Options: Treat.

Mitigating Actions:

• 10.1 - Development and marketing of infrastructure and services.
• 10.2 – New business eg Ship to Ship transfer in Scapa Flow and other oil and gas related activity.
• 10.3 - Identify and exploit new markets and invest in infrastructure and skilled people.
• 10.4 - Implementation and investment in the Harbour Master Plan. Costs associated balance against implications for Council wide financial planning.
• 10.5 - Post COVID-19 recovery planning.

Risk 11 – Loss of Service due to lack of funding for Ferry and Terminal Replacement

Cluster: Financial.

Owner: Head of Marine Services, Transportation and Harbour Master.

Likelihood: 5. Impact: 5. RAG: RED. Current Risk Score: 25. Target Risk Score: 4.

Vulnerability: The Council does not have sufficient funds for Ferry and Terminal maintenance and replacement programme. If Scottish Government funding is not forthcoming the costs of additional essential lifeline services could impact on other service priorities.

Trigger: The Council cannot maintain or develop its essential assets to provide public services.

Consequences: Ferries reach end of life with no replacement – rapid service deterioration. Excessive support costs as aged ferries kept running. Excessive running costs of old ferries. No opportunities to achieve expected service levels. Crisis purchase of new ferries – loss of bargaining power.

Options: Treat.

Mitigating Actions:

• 11.1 - Contact with Scottish Government, Orkney Inter Islands Air and Ferry studies and Fair Funding process including beginning discussion on transfer of responsibility and fair funding.
• 11.2 – Establish revised funding mechanism for revenue and capital elements of transportation services with the Scottish Government.
• 11.3 - Pursue Transfer of Responsibility for Ferries with the Scottish Government.
• 11.4 - Contribute to National Planning Framework (NPF) 4 and Ferries Plan 2 to ensure appropriate cover of lifeline transport service needs.

Risk 12 – Insufficient Operational equipment and infrastructure funding

Cluster: Financial.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 5. Impact: 3. RAG: AMBER. Current Risk Score: 15. Target Risk Score: 9.

Vulnerability: The Council may not have sufficient funds to sustain assets, replace ageing assets and develop key assets and infrastructure. Essential plant and equipment have to be maintained to ensure they can support the Council’s services.

Trigger: The Council does not have sufficient budget to maintain or develop its essential assets or infrastructure to provide public services; the Council cannot implement an asset management strategy. COVID-19 or similar pressures.

Consequences: Plant, equipment and infrastructure deteriorate; services are not delivered; Council’s reputation at risk; risk of accidents and potential claims.

Options: Tolerate.

Mitigating Actions:

• 12.1 – Funded asset management plans (ie annual programmes for repair and replacement across roads, fleet, property, marine and harbours).
• 12.2 – Capital programme planning and prioritisation focusing on repairs, renewals and additions that mitigate rising costs through a revised business focussed Capital Project Appraisal process and linked to the Asset Management Plan.
• 12.3 – Consideration of the priorities for the Capital Programme for 2024 to 2029.
• 12.4 - Cross working with the estates team to reduce the size of the “estate” in the current Medium-Term Resource Strategy (MTRS) planning period to then see a fall in demand for maintenance (pressure on funding the asset replacement/infrastructure funds).
• 12.5 - Through the budget process reviewing the standards of service delivery to set a “lower bar” in terms of the performance target in areas such as roads and street cleansing. This then impacts on the volume of work and the plant and equipment/vehicles needed.

Risk 13 – Accidents and health and safety incidents

Cluster: Legislative/Regulatory.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 2. Impact: 4. RAG: YELLOW. Current Risk Score: 8. Target Risk Score: 6.

Vulnerability: The risk of not managing accidents and health and safety incidents. Particular operational vulnerabilities are: Hand and Arm Vibration Syndrome (HAVS), quarrying accident, lifting injury, machinery injury, heavy vehicle – moving injury. Waste related injury/contamination, Drowning/hypothermia. Harbours infrastructure, ladders etc.

Trigger: The Council not managing accidents and health and safety incidents appropriately.

Consequences: An increased risk in the number of accidents/incidents; loss of productivity; loss of equipment; an increased risk of legal challenges; risk of financial claims and financial penalties.

Options: Tolerate.

Mitigating Actions:

• 13.1 - Training programme(s), reporting, implementing improvements. Work Methods Safety meetings and reviews. Safety Management Systems and Audit.
• 13.2 – Maintaining a comprehensive schedule of staff and management meetings and culture in relation to Health and Safety matters eg quarterly cross service management health and safety meetings, toolbox talks etc.
• 13.3 - Development and Infrastructure Health and Safety Induction process and introduction of new Near Miss Process in Spring 2021.
• 13.4 - Ongoing review of Health and Safety issues at various management forums including weekly Heads of Service and quarterly union meetings. Also plan to review new H&S Policy at Spring 2021 Managers General meeting.

Risk 14 – Residual Liability for properties no longer in original use

Cluster: Financial.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 3. Impact: 3. RAG: YELLOW. Current Risk Score: 9. Target Risk Score: 6.

Vulnerability: The Council is exposed to significant expenditure to remediate sites to appropriate level. Public liability arising from the fact that sites are no longer in active use. Hence not necessarily secure or part of an inspection regime. The alternative is the Council does nothing and is at risk of claim arising from injury etc.

Trigger: Current liability (has been the case for many years).

Consequences: Financial, staff resources for inspection, planning, penalties. Specialist studies are required. Public health and reputation.

Options: Treat.

Mitigating Actions:

• 14.1 – Asset Management planning and mitigation.
• 14.2 - Prioritise inspection and immediate remedial action through existing service budgets with corresponding risk of overspend.
• 14.3 - Additional budget pressures for approval for the final works programme.
• 14.4 - On-going revenue pressures and impacts (not a mainstream budget).
• 14.5 – Cross-cutting work to support the Project Initiation Document (PID) work in estates team on accelerating (if possible) disposal routes.

Risk 15 – Affordability of Development and Infrastructure Services and likelihood of reduction in spending on discretionary services

Cluster: Financial.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 4. Impact: 4. RAG: AMBER. Current Risk Score: 16. Target Risk Score: 4.

Vulnerability: Political expectation that service levels will not change despite budget reductions. Discretionary services likely to be the focus for reductions in funding.

Trigger: Budget reductions below baseline service level requirement.

Consequences: Budget overspends.

Options: Treat.

Mitigating Actions:

• 15.1 – Ensure full awareness and understanding of consequences through the budget setting process.
• 15.2 – Strong Senior Management Team (SMT)/Improvement Support Team Board approach to budget setting.
• 15.3 – Follow through budget savings with service changes quickly and resolutely following decisions.
• 15.4 – SMT Project Initiation Document (PID) process for Economic Development, Asset Planning, Waste, Fleet, Marine Services and Transportation underway during 2021.

Risk 16 – Failure to progress strategic objectives due to the inevitable focus on day to day service delivery on demands/challenges

Cluster: Managerial/Professional.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 5. Impact: 3. RAG: AMBER. Current Risk Score: 15. Target Risk Score: 2.

Vulnerability: Lack of progress on strategic outcomes. Loss of opportunity. Medium to long term failure of service. Extreme resource requirements relating to COVID-19 response and recovery.

Trigger: Volume of attention required on day to day activities and priorities that removes time, resource commitment and focus away from progressing strategic objectives, eg both operational such as responding to day to day questions and/or requests and also corporate processes, eg Freedom of Information (FOI), performance management etc.

Consequences: Strategies not delivered. Service failure. Negative impact on service delivery. Deterioration in long term performance of the service. In-efficiencies. Pressure on staff leading to poor health and wellbeing eg stress, sickness and/or a drop in morale.

Options: Treat.

Mitigating Actions:

• 16.1 - Seek to focus resources on delivery of the Council Plan approved strategic objectives/projects for the service.
• 16.2 - Managing expectations in regard to the responsiveness of day to day operational demands and also corporate demands.
• 16.3 - Re-calibration of service standards eg review service response standards/times for non-safety critical or strategic outcome items.

Risk 17 – Burial grounds – Safety issues

Cluster: Legislative/Regulatory.

Owner: Head of Infrastructure and Strategic Projects.

Likelihood: 2. Impact: 3. RAG: YELLOW. Current Risk Score: 6. Target Risk Score: 4.

Vulnerability: Unstable headstones could topple over.

Trigger: A fatal accident occurred in a Scottish mainland Council burial ground. Scottish Government letter to all Council’s highlighting responsibilities. Health and Safety Executive (HSE) have issued guidance to all Local Authorities to ensure adequate health and safety measures are in place for graveyards.

Consequences: Injury or death to members of the public or maintenance workers etc. Civil action resulting in the payment of compensation for injury or damage etc. Reputation should members of the public be harmed. Enforcement action from the HSE.

Options: Treat.

Mitigating Actions:

• 17.1 – Continue inspection and maintenance programme.
• 17.2 - Implement revised Code of Practice and additional resources following Council approval in February 2021 – implement during 2021.
• 17.3 – A close out meeting with the Council’s Internal Audit team to take place to ensure audit recommendations are fully complete and signed off.

Risk 18 – COVID-19 – unforeseen pressures from response and recovery (medium to long term)

Cluster: Financial.

Owner: Executive Director of Development and Infrastructure.

Likelihood: 4. Impact: 4. RAG: AMBER. Current Risk Score: 16. Target Risk Score: 4.

Vulnerability: Impact on D&I baseline services in relation to COVID-19.

Trigger: Costs or loss of income that exceeds the approved budget. No corresponding financial support from other council or government funds to match this.

Consequences: Significant overspend in D&I approximately £6m across Infrastructure and Strategic Projects (£1.5m - £2m)/Marine and Harbours (£4 to £4.5m) meaning cessation of revenue service principally (ie planned, cyclical, reactive works) becomes a likely outcome. The eventual cost/loss of income becomes greater than the ability to reduce revenue expenditure and may impact on core establishment costs (ie employees). Operationally in reducing or stopping several processes (ie limiting to emergency and health and safety focused operations in 2021/22 most likely). This would see less activity on the ground and lower risk works would not be completed until a future time.

Options: Treat.

Mitigating Actions:

• 18.1 - Need to consider re-prioritisation or stopping of revenue/capital work due to rising costs. In the context that the level of costs/loss of income are obtainable from unspent revenue budgets (ie works are needing to proceed in 2021/22).
• 18.2 - In the event the level of cost/loss of income exceed available revenue budgets not spent, then consideration of reducing establishment costs over 2021/22.
• 18.3 - Application to corporate reserve fund to address gaps in funding where other mitigation measures do not fully cover COVID-19 costs.
• 18.4 - Community pressures and expectations for services to return to pre COVID-19 levels will not be possible in every circumstance with the existing level of people and financial resource. Expectations will need to be managed.

IMAGE: The risk register pages use structured tables to show each risk number, risk title, cluster, owner, likelihood, impact, RAG rating, current and target risk scores, vulnerability, trigger, consequences, options and mitigating actions.