-RISK TREATMENT ACTION PLAN
Risk No.	Description	Priority High/Medium/Low	Financial Implications	Action Taken	Action Needed	By Whom	When By
HIGH PRIORITY
S3	Risk of Members not adhering to agreed Planning Policies	High		Development Control Members have had some training	Refresher training – monitoring of member implementation and interpretation	Andrew Ashcroft	June 2003
05	Adequacy of Internal Audit Team	High	Bid for £25k plus existing post made fulltime from existing budgets (£10k)	Changes to structure of the team – inc appointment of Chief Internal Auditor. Increase of 0.4fte plus bid for whole fte in current budget round	None if bid successful	JP/PW/RS	March 03
O8	High dependence on ICT systems/loss of server enclosure	High		See 09	See 09	Directors/JP/DP	Linked decision
09	Lack of ICT Continuity Planning	High	Public Sector equivalent of bankruptcy	Consultants engaged on two/three year project to work with Council on Corporate Business Continuity (Stage 1 Nov 02 to Feb 03)	Priority to either accept risk to server farm or fast track procurement of ‘box within a box’ with a single preferred supplier Recognition of organisation wide problem	JP/DP also Directors	As soon as it can be fitted into an affordable programme
O10	Adequacy and Efficiency of ICT function	High – link to 09	Significant	Ten year investment plan drafted	Members/Directors/HOS to understand egovt agenda/clear statement of requirements and prioities Proper resourcing of ICT on long term basis Strategic partnering geared around key priorities	JP/DP	ASAP As appropriate
011	Adequacy of ICT Systems Security	High	Average estimate per incident $108K (Computer Weekly 3/10/02)	Substantial practical efforts such as anti-virus, firewalls, monitoring	Options; Live with risk Appoint extra staff to formal BS7799 accreditation	JP/DP	Review February 03
012	Inadequate Telephone Exchange enclosure	High – link with 09	Not known – significant corporate disruption	Blinds added to windows to reduce risk of vandalism	Options: Live with risk Move to server farm if box in box project goes ahead Initiate major project to review telephony across Council with aim to move to a managed service	JP/DP	Link to 09
O13	Lack of Key Document Management Policy	High		Some work on records to meet statutory requirements	Appointment of skilled information manager with support resources to drive agenda Investment in relevant technologies	MF/JL	June 03
O14	Lack of Project Delivery Skills – risk of Government Take-back	High		ICT and Property Services have formal mngt methodologies ICT have training supplier and have arranged for evaluation for end of October	Decision on Corporate approach Mandatory requirement to use methodology properly Roll out training programme Aim for say 20 people formally accredited as PRINCE practitioners	MF/DP	June 03
O15	Adequacy of Health and Safety Implementation	High – link to 016		Decision made to take Health & Safety Advisory Service back in-house wef 1.4.03	Consideration to be given to where day to day responsibility should lie.	MF/MB	1 April 2003
016	Inadequate Corporate Health and Safety Policy Document	High – link with 015 and H36		Identified need for revised policy statement with effect from 1/11/02	Revised document will be printed shortly and distributed	MF/MB	November 2002
O17	Lack of/inadequate succession planning in key Directorates	High -Link with 019
019	Stress related sickness/absence risks	High		Attendance Stress policies issued April 2002. Review of policies undertaken.	Awareness training for current and new managers to be drawn up. Managers asked to undertake a Stress Audit – results by end of Dec 02	MF/MB	December 02 and review date to be set
O20	Adequacy of Personnel function	High		Best Value review undertaken. Centrally based = economy of scale. Identified greater investment in the strategic side of the business to ensure real added value	Consideration of ‘Action Taken’ as part of Best Value review currently subject to external challenge	MF/MB	April 03
O21	Risk resulting from poor staff morale	High - link to 019			Staff attitude survey required to establish baseline for moral/motivation. Introduction of HR/People Strategy with clear guidelines and standards.	MF/MB	Both by 1 April 2003
H32	Ineffective Lone Worker Policy and mechanism	High		Identified that policy not applied consistently	Reminder of H & S responsibilities to be sent out/cascaded down. Note to be made that non-compliance is a disciplinary offence	MF/MB
H35	Inadequate Security Procedures at principal IOWC buildings	High		Card access system to many but not all principal buildings	Upgrade system and cover all buildings	All Directors
H36	Cost of Injury/Fatality to IOWC Staff	High – link to 016			H & S Training	MF/MB	April 03
H38	Lack of formal Business Continuity Planning for loss of principal IOWC Buildings	High – link with 08 and 09	Consultants fee for project £56,000 (from Risk Bid Fund) Part time post approx £10,000 pa	Appointed Marsh Risk Consulting to work with Authority over 21/2 year period	Mike Jolliff identified as co-ordinator. Part time support post required to assist for time of project	JP?RH/MJ	Stage 1 Nov 02– Jan 03
MEDIUM PRIORITY
S1	Perceived lack of clear Corporate Leadership	Medium					Review 06/03
S2	Perceived lack of meaningful Strategic Planning	Medium
S4	Lack of direction and proactive action by Risk Management Group	Medium		Membership reviewed in 2002/Risk Champion appointed. Risk Bid Funds available	New Risk Group membership wef Jan 03. New Risk Management Strategy and Policy. Training of new Risk Group then cascade through managers. RM into Service Planning and onto Executive decision making.	Directors/JP/CMS/JL	Start Jan 03 First training to take place Feb – Apr 2003. Progress through 2003
O6	Lack of functional Audit Committee	Medium	None but resource in terms of officer/member time	Resources Select Ctte has resolved to establish an audit panel and draft terms of ref have been proposed. First meeting expected Dec 02	Monitor to ensure carries out role DG to discuss which DA reports to go forward to members	JP/RS/AD Directors	Dec 02
O7	Lack of adequate Wight Bus Driver assessments/spot checks
O23	Lack of preventive maintenance in Leisure Centres
O24	Industrial Action risk by IOWC employees – risk of failure of Service Provision
F25	Risk of Internal Fraud within IOWC	Change to Medium?	Fraud on the increase	Slight increase to Internal Audit resources	Press for increase as in 05 Audit Ctte to ensure performance monitor role	PW/RS	April 03
F26	Inadequate Highways maintenance budget
F29	Loss of Area Cost Adjustment	Change to Medium	Potentially catastrophic	Done to date	Further action needed in the future	JP
F30	Adequacy of Employee Pension Funds ongoing	Medium	Potential higher contribution rates	Fund valued every 3 years	Regular review	JP and successor	Done but review annually?
H37	Cost of Injury/Fatality to Child in Care	Query change to Medium - Discuss
H41	Risk from a poor standard of IOWC Playgrounds
LOW PRIORITY
O18	Inadequate/Weak Contract Management
O22	Recruitment and Retention risk for Retained Officers in Fire and Rescue
F27	Single Pot Budget allocations in 2003
F28	High Pre-signed Cheque Counter-signature threshold	Not accepted as a risk on the basis of research with other authorities		Need to assess other measures which could be more effective than this control	Research into what other do	PW/RS	Jan 03
F31	Risk of litigation against Fire and Rescue – failure to Duty of Care
H33	Major Coastal Erosion Risks
H34	Lack of Legionella assessment policy/testing
H37	Cost of Injury/Fatality to Child in Care	Query change to Medium - Discuss
H39	Risk from high dependency single site Crematorium
H40	Cost of injury/fatality to public resulting from inadequate seawall protection