8 Risk Register and App
North Ayrshire Council · 4 November 2022
Back to Ayrshire Shared Services Committee — 4 November 2022 and its agenda
Text extracted from the council's PDF. Layout and reading order may differ from the original.
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AYRSHIRE SHARED SERVICE JOINT COMMITTEE 4 November 2022 Report by the Interim Head of Roads - Ayrshire Roads Alliance _________________________________________________________________ AYRSHIRE ROADS ALLIANCE RISK REPORT AND REGISTER _________________________________________________________________ PURPOSE OF REPORT 1. The purpose of this Report is to advise the Joint Committee on the management of risk associated with the Ayrshire Roads Alliance. RECOMMENDATIONS 2. It is recommended that the Joint Committee: i. Notes the risk register presented in this report; ii. Continues to receive updates on progress; and iii. Otherwise, notes the content of the report. BACKGROUND 3. A report detailing the general approach to the Risk Report and Risk Register was presented to the Joint Committee on 21 August 2014, where it was agreed that the Risk Report and Risk Register would be a standing item on the agenda. This would ensure that the risks are monitored and scrutinised at a minimum of a quarterly basis. MAIN REPORT/MAIN ISSUES 4. The management of risk aims to enable confident decision taking on risk and innovation, reduce waste and inefficiency, and lead to fewer unanticipated problems and crises that could undermine the performance and operation of the Ayrshire Roads Alliance. 5. The Risk Register is now in a new and improved format which will make it easier to review the individual risks which are now in a colour coded format. 6. The resulting revised risk register is contained in Appendix 2. There have been no changes to the Risk Register since the last Joint Committee.
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The revised risk register illustrates the red, amber and green status and also illustrates whether the risk severity relates to time, indicated by [T] or cost, indicated by [C]. POLICY/COMMUNITY PLAN IMPLICATIONS 7. A well maintained road network will contribute to achieving the Community Plan objectives in relation to Economy & Skills and Safer Communities to maintain good access to our communities within East Ayrshire. 8. The matters referred to in this report contribute to South Ayrshire Council strategic objective of ‘Enhanced Environment through Social, Cultural and Economic Activities’ and within that to the outcome ‘Work with partners to improve roads and other infrastructure, to encourage house building and business investment that sustains local communities’. LEGAL IMPLICATIONS 9. The Risk Register is a management tool and this will not replace the existing statutory returns for risk and performance related information. HUMAN RESOURCES IMPLICATIONS 10. The Risk Register has no direct impact on human resources. EQUALITY IMPACT IMPLICATIONS 11. The Risk Register complements the Equality Impact Assessment by ensuring that any issues arising are adequately prioritised, managed and either eliminated or mitigated. FINANCIAL IMPLICATIONS 12. The Risk Register facilitates the existing scrutiny arrangements to manage, prioritise, and review the budget provided by East Ayrshire Council and South Ayrshire Council to the Ayrshire Roads Alliance. RISK IMPLICATIONS 13. The Risk Register assists in the prioritisation of risks that need to be mitigated by the Ayrshire Roads Alliance in order to reduce the overall risk to either Council and to comply with the Community Plan/Council Plan in both partner bodies. TRANSFORMATION STRATEGY 14. This Report aligns with the following design principle stated in the “Transformation Strategy 2017-2022”.
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• “Maximum value for our communities”, by ensuring the various elements of the Ayrshire Roads Alliance improves transport provision throughout East Ayrshire. Kevin Braidwood Head of Roads – Ayrshire Roads Alliance 18 October 2022 BACKGROUND PAPERS None LIST OF APPENDICES 1. Risk Register Scoring Matrix 2. Ayrshire Roads Alliance Risk Register Person to contact: Kevin Braidwood, Head of Roads - Ayrshire Roads Alliance Tel No. 01563 503164 E-mail: kevin.braidwood@ayrshireroadsalliance.org Implementation officer: Kevin Braidwood, Head of Roads - Ayrshire Roads Alliance Tel No. 01563 503164 E-mail: kevin.braidwood@ayrshireroadsalliance.org
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Appendix 1: Risk Register Scoring Matrix The Risk Matrix for deciding each of the risk factors (Likelihood x Severity) in a 5 by 5 matrix are illustrated in Table 1 below: Table 1: Risk Factors in Practical Form Following on from Table 1, the following Summary Risk Profile is colour coded to highlight the risk classification: Table 2: Summary Risk Profile Assessed Risk (LxS) Action Required Low Risk: 1 to 4 Acceptable/ can be accepted provided risk is managed. Medium Risk: 5 to 12 Undesirable/ must be avoided if reasonably practicable. High Risk: 15 to 25 Unacceptable risk - must be eliminated or moved to a lower level. Rare (1) Unlikely (2) Possible (3) Likely (4) Almost Certain (5) Catastrophic (5) 5 10 15 20 25 Very Serious (4) 4 8 12 16 20 Moderate (3) 3 6 9 12 15 Minor (2) 2 4 6 8 10 Insignificant (1) 1 2 3 4 5 Risk Likelihood Risk Severity
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER NOTE: The Risk rating will be influenced by considering a combination of event effects Such as associated cost, event duration, and organisational reputation. The table below will provide some assistance with risk rating. Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review 1 Personnel Shortage due to: Pandemic Event Loss of trained and competent personnel from all sections within ARA due to pandemic event. Business continuity plans in place (BUS-12, 13, & 14) to manage all ARA mission critical activities. Number of employees working from home significantly increased to minimise medium / long term disruption of service. Operational Personnel - re-assigned to other duties within the Council. Relaxing of UK driving regulations to maximise decreased LGV driver numbers. Additional usage of external contractors to ensure essential services / works programme targets are met. Covid safe workplaces / sites established to accommodate reduced number of staff. Further mitigation measures developed as national guidance information becomes available. 3 4 12 All Service Managers Head of Roads – Ayrshire Roads Alliance Further control measures to be developed/implemented as situation develops. 18/10/22 2 Fuel Shortage Loss or restriction due to relief events. Relief Event: Any event that has an effect on the cost of performing the Services, or the date of their completion, including the occurrence of risks both foreseen and unforeseen e.g. industrial action. Mitigation measures in place to prioritise front line services as detailed in the specific Business Continuity Plans for offices and depots. 3 3 9 Strategic Manager Head of Roads – Ayrshire Roads Alliance Continuation of public support will be dependent on outcomes, though expect some mixed reaction. 18/10/22 To calculate the risk rating, multiply the Likelihood x Severity. Example…. Possible (3) X Significant (3) = Medium Risk Critical (5) Severe (4) Significant (3) Marginal (2) Insignificant (1) SEVERITY INDEX LIKELIHOOD INDEX Highly probable (5) 25 20 15 10 5 Probable (4) 20 16 12 8 4 Possible (3) 15 12 9 6 3 Unlikely (2) 10 8 6 4 2 Very Unlikely (1) 5 4 3 2 1 Incident Severity Cost (£) Time Reputation Min Max Min Max Insignificant (1) £0 £10,000 0 1 day Councillors/CEO Marginal (2) £10,001 £50,000 1 day 2 weeks Local Media Facebook etc. Significant (3) £50,001 £500,000 2 weeks 1 month Local Newspaper Severe (4) £500,001 £1,000,000 1 month 3 months National Newspaper Catastrophic (5) £1,000,001 >£1,000,001 3 months > 6 months National News (TV) KEY High Risk (16 – 25) Risks are not acceptable under any circumstances. Immediate action required Medium Risk (8 – 15) Additional controls measures may be required. Low Risk (1 – 6) Continue to monitor as part of review process or where changes occur.
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review 3 Failure to align with Budget requirements Level of investment required in road repairs and resurfacing and resulting cost of treatment higher than anticipated. Reduced budget could lead to the deterioration in the roads network, an increase in accidents, and insurance costs. Loss of parking income as a result of changing behaviour / work patterns due to Covid. Uniform claims handling system aligned with the Roads Inspection and Maintenance policy. Appropriate financial and performance monitoring arrangements in place to mitigate the risk. Regular meetings with and within partners Councils to advice on further resource and funding requirements. 2 4 8 Business Support Manager Head of Roads – Ayrshire Roads Alliance Adequate control measures are in place, specifically, monthly meetings held with budget holders to review revenue budget and take appropriate corrective actions to bring budgets within tolerance limits. Monthly meeting with service managers to review capital budgets and programmes. 18/10/22 4 Adverse Weather Lack of trained and competent personnel including operatives and drivers to provide full complement required to fulfil all gritting routes due to lack of volunteers for existing staff, flu pandemic, mass resignation, strike action and breach of Working Time Directive and Driver Hours Legislation. Procedures in place to manage a short / medium disruption of Driver / Operative Personnel including banking workers and overtime working as required. Over the long term there would be recruitment / procurement of the necessary experience to fill the gaps. 2 4 8 Strategic Manager Head of Roads – Ayrshire Roads Alliance Rolling programme established to ensure ongoing Health and Safety training. Appropriate and applicable checks are conducted on all new drivers to ensure that all reasonable precautions are taken to safeguard the ‘O’ licence, insurance payments and reputation. The service has extended the use of external companies to provide the winter service to increase resilience 18/10/22 5 Loss of Street Lighting & Traffic Signals Extended loss of Public Electricity supply creating issues with Street Lighting and Traffic Signals Some temporary traffic signals will be provided at key locations determined by the Traffic Management Section should these issues arise. Temporary traffic signals deployed by RMU. Contingency measures detailed in Business Continuity Plans. 3 3 9 Traffic & Road Safety Manager Head of Roads – Ayrshire Roads Alliance We consider that the overall risk is low due to the mitigation measures that are in place 18/10/22 6 Transfer of Shared Services – Ayrshire Roads Alliance Any failure in Service provision would adversely affect the resilience of the Roads services. Extensive negotiations have taken place to ensure that the proposed joint service meets stakeholders needs 2 2 4 Business Support Manager Head of Roads – Ayrshire Roads Alliance The new service is over five years old and it is considered that the initial transfer of the shared service has been completed. Nevertheless there will always remain issues on transfer issues which may still arise. 18/10/22 7 Council’s Waste Transfer Licence Loss off / restrictions on waste transfer licence for all depots Robust management systems and procedures in place to comply with Environmental legislation, permit conditions and health and safety 2 3 6 Strategic Manager Head of Roads – Ayrshire Roads Alliance We consider the overall risk is low, due to the current waste management systems in operation. 18/10/22 8 Failure to provide an adequate Failure to provide an adequate Risk based approach and Inspection System in accordance with the approved, There are procedures in place to manage this process: 2 4 8 Service Managers Head of Roads – Ayrshire Roads Alliance Following implementation of the Inspection Manual: Road Safety Inspections and defect categorisations from 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review Roads Inspection System Inspection Manual: Road Safety Inspections and defect categorisations.in accordance with the Well-Managed Highway Infrastructure: A Code of Practice. 1. Short term by prioritising and reducing other works activities and realigning budgets; 2. Medium / long term there would be a request for additional budgets; 3. Operatives can be assigned from other duties and overtime working approved. 1st April 2019 in accordance with the Well-Managed Highway Infrastructure: A Code of Practice the Ayrshire Roads Alliance a) Inspects the entire road network within East Ayrshire and South Ayrshire, with performance in relation to the percentage of safety inspections carried out within the timescale being reported to the Joint Committee under the Performance Scorecard standing item on the agenda. b) Categorise defects in accordance with a risk based approach ranking defects one to four as detailed in the Inspection Manual: Road Safety Inspections and defect categorisations c) Issue repair lines for defects on carriageways and footways with target response times determined by the category of defect, as identified in the Inspection Manual: Road Safety Inspections and defect categorisations d) Complete the vast majority of Category 1 defects within the target response time of two hours. 9 Personnel Shortage Loss of trained and competent professional staff, through retirement. Procedures are in place to manage short term issues by prioritising and reducing other works activities and realigning budgets. 2 3 6 Service Managers Head of Roads – Ayrshire Roads Alliance The staff numbers are reviewed whenever there are significant changes in staffing level. The Ayrshire Roads Alliance has Modern Apprentices who are providing a strong foundation for future staffing levels. 18/10/22 10 Personnel Shortage due to: Loss of trained and competent personnel including operatives and drivers due to mass resignation, strike action and Procedures are in place to manage a short / medium disruption of Technical / Supervisory / operational Personnel including re-assignment of 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance We consider overall risk is low due to a combination of recruitment and selection to fill existing vacancies. In
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review Strike Action Driver hour restrictions breach of Driver Hours Legislation duties and controlled overtime working as required. Over long term there would be recruitment / procurement of the necessary experience to fill the gaps. addition there is increased resilience form the external service providers for winter 18/10/22 11 Adverse Weather Reduction and /or loss of salt stock materials for Winter Service operations. There is adequate salt stock resilience and conservation control measures. Transport Scotland has strategic salt stock piles. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance The Service has a framework salt supplier with a 14 day call down delivery. There is a joint agreement with other Councils to share available salt stocks. The existing weather service provides long term forecast indicating extreme and prolonged weather conditions. 18/10/22 12 Business Continuity / Emergency Planning Incident affecting one or more of the Ayrshire Roads Alliance service functions (including ICT Failure). Business continuity plans developed for: Roads Maintenance (including the Winter Gritting Programme); Lighting Maintenance Unit; Network; Design and Traffic and Road Safety facilities within East Ayrshire and South Ayrshire. 2 4 8 Business Support Manager Head of Roads – Ayrshire Roads Alliance The overall risk is high due to the unknown nature of such an incident and because of the potential reputational damage and adverse effect on the service delivery, including discharge of statutory responsibilities. 18/10/22 13 Benefits Realisation Ayrshire Roads Alliance does not deliver the expected benefits outlined in the Detailed Business Case of June 2013. Benefit Realisation Plan to track the delivery of each benefit and take corrective action where appropriate it has been developed. 2 3 6 Service Managers Head of Roads – Ayrshire Roads Alliance The overall risk is medium due to the various reviews outlined in the Benefits Realisation Strategy and Plan now progressing towards fruition. Internal management reports to be prepared reflecting on progress against Benefits Realisation Strategy. As at 1 April 2018 had realised budget savings of £2.031m against a target of £1.510m 18/10/22 14 Performance Performance Metrics are missed. A standardised operational process and procedures has been developed to ensure efficient and effective processes and verification measures are in place. 1 4 4 Service Managers Head of Roads – Ayrshire Roads Alliance Performance metrics are reviewed and developed with the Pentana System being used to review performance. Performance is reviewed at every Management meeting. 18/10/22 15 Procurement Insufficient due diligence carried out by the Ayrshire Roads Alliance in the procurement of goods and services. Standardised processes and procedures have been developed to ensure efficient and effective processes and verification measures are in place. 1 4 4 Service Managers Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 16 Programme Management Programme scope, schedule, objectives, cost and deliverables are not clearly defined or understood. Clear definition of scope, schedule, objectives, cost, and deliverables through Service Improvement Plan, Benefits Realisation Strategy & Plan, and Customer Service Strategy. 1 4 4 Service Managers Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review 17 Programme Management Estimating and / or scheduling errors. A Programme Plan has been developed which illustrates key activities, team, timing, milestones, and delivery of products. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 18 Programme Management Unplanned work that must be accommodated. Incorporate unplanned work within Programme Plan and minimise impact on delivery of products through parallel processes when feasible. 1 4 4 Business Support Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 19 Programme Management Lack of co-ordination / communication Programme co-ordination and communication conducted in accordance with Programme governance structure and in accordance with PRINCE 2 principles. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 20 Programme Management Underestimated support resources or overly optimistic delivery schedule. Support resources and delivery schedule developed from robust Programme Plan and previous experience of similar Programmes. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Introduction of the appropriate Project Management software to deliver a unified programme across the Ayrshire Roads Alliance whilst utilising plant / resources efficiently. 18/10/22 21 Programme Management Unresolved Programme conflicts not escalated in a timely manner. Programme conflicts recorded in Issues Log and progressed in accordance with reporting arrangements for project team. 2 4 8 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 22 Programme Management Unanticipated escalation in Programme costs as a result of uncontrolled changes or continuous inflation of a project’s scope beyond initial remit. Escalation of Programme costs addressed through appropriate and applicable corrective actions and control measures. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 23 Programme Management Unanticipated delays in Programme timescale as a result of uncontrolled changes or continuous inflation of a project’s scope beyond initial remit. Delay of Programme timescale addressed through appropriate and applicable corrective actions and control measures. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review 24 Programme Management Delay in earlier Programme phases jeopardises ability to meet programmed delivery commitment. Incorporate delays within updated Programme Plan and minimise impact on delivery of products through parallel processes when feasible. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 25 Programme Management Communication Strategy to engage public awareness not planned on a joint Ayrshire basis Ensure that a robust Communication Strategy and response network is developed during planning stages of Programme which incorporates sufficient key review stages to ensure effective communication of key messages regarding deliverables and progress. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed risk, hence reducing. 18/10/22 26 Programme Management Unforeseen agreements required to proceed with or conclude Programme. Engage all appropriate and applicable requirements to ensure that amicable arrangements are put in place. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 27 Programme Management Priorities change on existing service delivery. Ensure that changes on existing service delivery are communicated in accordance with the existing Service Level Agreement, namely that all parties agree and will abide by the philosophy of operating as a whole under the principle of what is best for the Council Tax payer, not necessarily the individual authority. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 28 Programme Management Inconsistent cost, time, scope and quality objectives resulting in time delays and further costs. Ensure that cost, time, and scope estimates along with quality objectives are evidence based on experience from previous comparable Programmes. 2 4 8 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. 18/10/22 29 Programme Management Affordability of future service payments. Ensure that East Ayrshire Council and South Ayrshire Council are fully aware of the budgetary implications required to meet the on-going cost of service provision, as detailed in the DBC, and have fully committed sufficient financial resources following Business Case sign-off. 2 4 8 Head of Roads – Ayrshire Roads Alliance East Ayrshire Council and South Ayrshire Council Continue to present revenue financial monitoring report to Joint Committee. Four weekly meetings are held to discuss revenue and capital position of the Ayrshire Roads Alliance. 18/10/22 30 Programme Management Councils withdraw or cannot provide sufficient support, or agreed level of input is not provided resulting in Programme delays Early identification of problems, and dialogue with Council. 1 4 4 Head of Roads – Ayrshire Roads Alliance East Ayrshire Council and South Ayrshire Council Managed Risk. 18/10/22 31 Council’s Operators Licence (‘O’ Licence) Loss off / restrictions on Council’s ‘O’ Licence. There are the correct management controls in place, and these are robust and appropriate. Paperwork 2 4 8 Strategic Manager Head of Roads – Ayrshire Roads Alliance Continue to work with fleet service in East Ayrshire Council. 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review issued to Road Traffic Commissioner for transfer of ‘O’ Licence. 32 Health & Safety / Risk & Insurance Insufficient investment, resources and on-going maintenance to resolve issues identified in Health & Safety surveys of depots are on- going. This also includes ensuring security is adequate. New harbour facility was constructed along with additional fencing, gates and stillage for timber. Dredging is carried out bi-annually. Works have been completed at lifeboat station and new sheet piling to be installed along timber jetty. The Ayrshire Roads Alliance operates from and manage risk of enforcement action and penalties should HSE become involved. Issues identified in Health and Safety Surveys are recorded on Issues Log along with corrective actions to rectify / bring up to the required standard. 2 4 8 Strategic Manager Head of Roads – Ayrshire Roads Alliance South Ayrshire Council continues to have ownership for and maintenance of depots/harbour within their area. Responsibility of funding the various mitigation actions identified in the Issues Log sits solely within the control of South Ayrshire Council. East Ayrshire Council has ownership and responsibility for their depots. 18/10/22 33 Development Control – Road Bonds Inadequate coupon values of Road Bonds exposes the Roads Authority to a potential shortfall if the roads works have to be completed by them in the event that a developer defaults. The coupon value of Road Bonds that are more than three years old are reviewed to determine their adequacy. Where a shortfall is identified, the developer will be advised to increase the value of the Road Bond held when an application is made for an extension to the Road Construction Consent (RCC), which is normally valid for three years. 2 4 8 Strategic Manager Head of Roads – Ayrshire Roads Alliance If the road authority is required to complete a development road then only the cost up to the value of the Road Bond can be recovered from the provider. Any shortfall has to be met by the roads authority. A complete review of the process of delivering road bonds has been completed 18/10/22 34 Connect Roads Residential loss of income to the Ayrshire Roads Alliance and expenditure incurred as a lighting maintenance subcontractor to Connect Roads on the M77/Southern Orbital, amount of exposure for Ayrshire Roads Alliance is up to £50,000 per year for the main contractor. Ayrshire Roads Alliance will reduce exposure by limiting the amount owing to us at any one time. Ayrshire Roads Alliance will insist on payment by contractual terms or stop doing the work. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 35 Bridges and Structures Inadequate inspection of bridges and culverts for deterioration due to aging, increased live loads, cracking, corrosion, environmental effects (freeze and thaw cycles) and fatigue All principal bridge inspections currently up to date in South Ayrshire, with a rolling programme being developed for East Ayrshire along with additional resource for principal inspection work. All General Bridge inspections are up to date across both East Ayrshire and 2 4 8 Bridges & Design Manager Head of Roads – Ayrshire Roads Alliance Bridges and culverts are defined as structures with a span in excess of 900mm. 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review South Ayrshire. Weak bridges are monitored on a regular basis. The Ayrshire Roads Alliance provides increased resilience in this matter. 36 Bridges and Structures Inadequate maintenance of structures, bridges and culverts due to aging, increased live loads, cracking corrosion, environmental effects (freeze and thaw cycles) and fatigue Rolling programme of repair, rehabilitation or replacement (for weak bridges) through Council Capital Budgets. 2 4 8 Bridges & Design Manager Head of Roads – Ayrshire Roads Alliance Bridges and culverts are defined as structures with a span in excess of 900mm. 18/10/22 37 Flooding Potential loss of all Grant Aided Expenditure funding for flooding mitigation schemes administered by SEPA. Seek capital funding from Council(s) for priority flooding mitigation schemes declared in Flood Risk Management Plan. 2 4 8 Bridges & Design Manager Head of Roads – Ayrshire Roads Alliance The Councils have a legal duty under the Flood Risk Management (Scotland) Act 2009 to implement flooding mitigation schemes declared in the Flood Risk Management Plan. 18/10/22 38 Flooding Receipt of less Grant Aided Expenditure funding than anticipated for flooding mitigation schemes administered by SEPA. Seek capital funding from Council(s) to bridge funding gap for flooding mitigation schemes declared in Flood Risk Management Plan. 2 4 8 Bridges & Design Manager Head of Roads – Ayrshire Roads Alliance The Councils have a legal duty under the Flood Risk Management (Scotland) Act 2009 to implement flooding mitigation schemes declared in the Flood Risk Management Plan. 18/10/22 39 Flooding Potential lack of sufficient funding for flooding mitigation schemes if cost of schemes exceeds Grant Aided Expenditure (GAE) due to Relief Events or Force Majeure. Seek capital funding from Council(s) to bridge funding gap for flooding mitigation schemes declared in Flood Risk Management Plan. 3 2 6 Bridges & Design Manager Head of Roads – Ayrshire Roads Alliance Only 80% of principal funding for flooding mitigation scheme. However increased costs due to relief events or force majeure is not funded. 18/10/22 40 Financial Potential swift decline in value of Pound Sterling due to Force Majeure or material adverse change resulting in increased costs in terms of fuel prices, interest rates and insurance premiums. Mitigation measures would be put in place to prioritise front line services as detailed in the specific Business Continuity Plans for office, depot and harbour, as applicable 2 4 8 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. The impact of the United Kingdom exit from the European Union has still to be evaluated. On- going discussions with Transport Scotland, COSLA and Ayrshire Roads Alliance on the impacts on the transport network. 18/10/22 41 Contractual Agreement Potential swift decline in value of Pound Sterling followed by market volatility over the short to medium term resulting in suppliers and contractors terminating agreements due to Force Majeure or material adverse change. Mitigation measures would be put in place to prioritise front line services as detailed in the specific Business Continuity Plans for office, deport and harbour, as applicable. 3 3 9 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk. The impact of the United Kingdom exit from the European Union has still to be evaluated. On- going discussions with Transport Scotland, COSLA and Ayrshire Roads Alliance on the impacts on the transport network. 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review 42 GDPR The existing Data Protection Act 2018 was brought about by the General Data Protection Regulation (GDPR) which is an EU Regulation that sets out the changes that the UK will implement in a new Data Protection Act. Follow Corporate Procedures 3 3 9 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 43 Presence of Coal Tar within the carriageway network Coal Tar is a known material used in the construction of carriageways until the mid-80s and is now known as a carcinogen and hazardous waste material. Reduce the level of risk by coring all works prior to design. Ensure an appropriate solution within the design is prepared which is either to retain in-situ and record presence, or remove and dispose of in accordance with current guidelines. 3 3 9 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed Risk; Ayrshire Roads Alliance has a duty of care to all employees in accordance with the Health and Safety at Work Act 1974,Construction Design and Management Regulations 2015 and the disposal of hazardous waste. 18/10/22 44 Service The impact of the United Kingdom exit from the European Union Mitigation measures are in place to prioritise front line services as detailed in the specific Business Continuity Plans for office, depot and harbour as applicable. 4 3 12 Strategic Manager Head of Roads – Ayrshire Roads Alliance Managed risk. Ongoing discussions with Transport Scotland, COSLA and Ayrshire Roads Alliance on the impacts on the transport network. 18/10/22 45 Transport Increased cost of vehicle maintenance due to lack of investment in fleet replacement To mitigate the risk of increased maintenance costs through lack of fleet investment a comprehensive maintenance programme is in place for all vehicles in addition to a vehicle replacement programme developed to identify the optimum life cycle for fleet. 3 3 9 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 46 Transport Workshop performance and training levels Without appropriate level of performance and training provision there is a risk to operational performance for management of the fleet. To address this, performance levels are monitored on a daily and weekly basis and ongoing training is provided to staff for refresher training as well as familiarisation training on new fleet and plant vehicles. 3 3 9 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 47 Transport Loss of trained and competent professional staff through retirement or turnover The movement of staff always has a chance of happening but to ensure the impact of this is minimised, an ongoing apprenticeship programme is in place with 2 apprentices in transport being trained in all aspects of fleet maintenance and repair. 3 4 12 Strategic Manager Head of Roads – Ayrshire Roads Alliance Due to retirements and staff leaving for better paid mechanic roles elsewhere the number of mechanics has fallen from 10 to 7. Multiple attempts have been made to recruit replacement mechanics with no success 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review so far. Changes have been made to the recruitment process in terms of information being made available as well as channels used to advertise such as a higher number of social media websites. This issue is being closely monitored and further action may be required. 48 Transport Loss of restriction of fuel due to any event that has an effect on the Services provision of fuel to departments, including the occurrence of risks both foreseen and unforeseen e.g. industrial action To mitigate the impact of losing access or having a restricted access to fuel, a contingency plan has been established which sets out the emergency management actions that will be taken that include designated fuelling stations and the prioritisation of fleet, putting non-essential vehicles off the road. 2 4 8 Strategic Manager Head of Roads – Ayrshire Roads Alliance Further mitigation measures have recently been put in place to allow for fuel to be drawn manually should there be a prolonged loss of electrical supply to the fuel pumps. 18/10/22 50 Transport Loss off / restrictions on Councils O Licence A comprehensive maintenance regime has been established that follows all guidance from DVSA and the Traffic Commissioner to ensure that the O-Licence is protected. In addition, compliance activities are established and in place and a regular external audit is carried out by the Freight Transport Association every 2 years to ensure that all processes are performing to the required standard. 1 5 5 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 51 Transport Loss of operational base for any reason (Crookedholm Depot) To mitigate the impact of the loss of the transport depot and garage, business contingency plans have been developed that highlight how and where office based staff will work in addition to the steps to ensure that maintenance is undertaken, which would be to activate external maintenance frameworks. 1 3 3 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 52 Transport Savings targets not achieved (as per the Best Value Service Review) To mitigate the impact of the loss of the transport depot and garage, business contingency plans have been developed that highlight how and where office based staff will work in addition to the steps to ensure that maintenance is undertaken which 1 3 3 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review would be to activate external maintenance frameworks. 53 Transport IT systems loss from any cause for an extended period may potentially effect the operations of the transport service which in turn will affect service delivery and may cause reputational damage to the Council. To prevent fallout from IT system failure, a business contingency plan has been developed as well as a back up process to revert to paper based recording systems for fleet management and maintenance. 1 3 3 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 54 Transport Failure to comply with Health and Safety duties To ensure that Health and Safety processes are always followed, this is a standing agenda item held at monthly management meetings. In addition to a separate H&S group that meets on a quarterly basis with the H&S Officer. Risk assessments and safe systems of work have also been developed and are in place with H&S assistance. 1 3 3 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 55 Transport Loss of utilities for an extended time Business continuity plans are in place to allow for the whole service to continue to function in the case that utilities are lost for an extended period of time. 1 3 3 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 56 Transport Loss of confidential information and appropriate handling of information will lead to breaches of data protection and potential significant financial penalties being incurred by the Council All staff that handle personal details have undertaken e-learning to advise of appropriate data protection steps required and where appropriate electronic systems are in place for recording and management of personal data to avoid paper being lost or misplaced. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 57 Transport Passenger transport – late / non-attendance / vehicle breakdown by pick up vehicle – Failure of service as Service as user would miss Transport link connection / arrives late at destination activity / part activity The delivery of passenger transport is managed on the Council’s behalf by SPT. If there is an issue where there is a failure in service provision SPT would be required to organise a replacement service, working in conjunction with Officer locally within EAC. 2 2 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 58 Transport Passenger transport – escort not in attendance ASN contracts / Council owned vehicles service failure. Service not able to be provided until escort arrives. Server Should an escort not be available H&SC services would arrange to provide another responsible individual available to ensure that the service can be delivered. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review user misses ac tivity / part activity In the unlikely case this cannot be accommodated, the parent would be notified and alternative arrangements made for the transport of the child to the school. 59 Transport No driver available to deliver service due to annual leave / sickness absence. Service not able to be provided service user misses activity / part activity Any shortage of driver would result in arranging for an alternative qualified individual within transport services to drive, or to work with Coalfield Community Transport to deliver the service. 1 3 3 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 60 Transport Passenger transport : Emergency closure of schools and contractors unable to provide transport within relevant timescales Should schools need to close unexpectedly, all parents will be contacted to request that children are collected ASAP. Teachers will remain with children until the last one has been collected safely by a parent. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 61 Transport Passenger Transport: Documentation out of date risk to service users. Potentially inappropriate individuals, inappropriate vehicles used being used to provide service Documentation is reviewed and approved on an annual basis to ensure that the correct data is held for pupils, parents, schools and transport operator information. 1 5 5 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 62 Transport Passenger Transport: Contractor unable to fulfil obligations due to bankruptcy etc. Service failure not able to be provided until alternative arrangements made. Server user misses activity / part activity SPT manage all transport on behalf of EAC. In the case of a contractor going out of business, an alternative contractor will be sought. Where this cannot be provided, parents will be contacted and alternative arrangements may need to be made for the provision of transporting school children such as providing a mileage allowance to parents until an alternative solution can be implemented. 1 4 4 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22 63 Transport Failure to mitigate the potential impacts of BREXIT including a worst case scenario “no deal” withdrawal There remains a significant number of unknown issues surrounding Brexit as no trade deals have been struck with the EU yet. It is possible that there will be impacts on time and cost in relation to delivery of vehicles and parts from the EU but this remains unknown. The service has engaged with all suppliers to obtain up to date information on any potential issues that may be known and this will 3 3 9 Strategic Manager Head of Roads – Ayrshire Roads Alliance 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review remain an ongoing process until the final details of Brexit emerges. 64 Material Shortages and Price Increases Steel products, timber, electrical equipment and aggregates have seen a price increase with aggregates prices falling back in the spring. This is as a result of COVID19 affecting suppliers, supply chains, shipping and transportation. Construction activity rose rapidly after lockdown. Increased admin at UK ports due to EU Trade Cooperation has resulted in increased transportation costs and surcharges. Where there are problems we are working with supplier to optimise deliveries to get procure best value under the circumstances. 4 3 12 Strategic Manager Head of Service – Ayrshire Roads Alliance This will be under constant review with contractors. 18/10/22 65 Storage Related Risks Theft / Damage of Stores Risk is very low as there are many measures that have been put in place. For example – CCTV cameras, secure entry to the depots, insurance covers all depots for theft / damage, robust store person / key holder procedures in place 1 4 4 Strategic Manager Head of Service Ayrshire Roads Alliance 18/10/22 66 Ash Die Back Potential for death or injury as a result of ash dieback related accidents, both to professionals working on trees, and to the general public Increased safety issues due to declining ash trees on roads, owned and managed land such as in county parks, housing, estates, schools, routes to school, active travel routes and other well-used paths Risks to statutory functions or service delivery such as retaining safe schools, public open spaces or roads Risks to staff and community from trees on adjacent land falling into your estate 4 3 12 Strategic Manager Head of Service Ayrshire Roads Alliance 18/10/22
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APPENDIX 2: AYRSHIRE ROADS ALLIANCE RISK REGISTER Risk ID Risk Category Risk Description Risk Mitigation Actions Likelihood Severity Risk Rating after Mitigation measures Responsible for managing the risk Risk Owner Additional Comments Date of last review 67 Ukrainian Crisis Increasing cost of bitumen and the potential of short supply due to Russian sanctions and increased costs. Pre-programming with suppliers and contractors. 4 3 12 Strategic Manager Head of Service Ayrshire Roads Alliance 18/10/22 68 Impact on Fuel No longer permitted to use red diesel within construction vehicles. This has an impact on project costs and the overall programme. Reviewing alternative forms of fleet, however, this brings additional cost. 4 3 12 Strategic Manager Head of Service Ayrshire Roads Alliance 18/10/22