FINANCIAL POLICY PANEL
15 JULY 2008
ANNEXE 2
ITEM 03
IDENTIFICATION OF THE COUNCIL’S SIGNIFICANT BUSINESS RISKS
The risks faced by public sector bodies are huge given the glare of publicity,
particularly when things go wrong. The need to manage these risks grows; as
technology advances, insurance costs rise, stakeholders’ attitudes alter, fraud
escalates, society is also more litigious, and there is a greater threat of terrorism,
particularly given Epsom and Ewell’s proximity to London.
The Council must manage its significant business risks under the Council’s Risk
Management Strategy and the requirements of the CPA Use of Resources,. The
Comprehensive Area Assessment will replace the CPA in 2009. The Use of
Resources annual assessment will remain although in a different format and will
include risk as an element of “Governing the Business”
By identifying our risks we can: Have an early warning system in place for when things go wrong
 Adequately prepare for new legislation and e-government requirements
 Show transparency of arrangements
 Identify insurance requirements
 Help to provide value for money
 Control arrangements for partnership working
Although some risks are insurable many, estimated at around 80%, are not.
AIM OF THE SIGNIFICANT BUSINESS RISK REGISTER
The aim of compiling this register is to ascertain what the current significant risks are
to the Council and the local community, then evaluating the controls in place to
mitigate these risks.
Once identified, the Council will aim to deal with a risk by reducing, terminating, or
stopping it, transferring it through a partner, contract or insurer or, finally, by
tolerating it is not within the control of the Council..
Each risk is scored initially and then rescored when existing controls in place have
been taken into account. The range of scoring is from 1 to 10:


1 = Low likelihood of occurrence and minimal impact to the Council if it did
occur.
10 = High likelihood of occurrence and major impact on the Council if it did
occur.
Page 1 of 5
FINANCIAL POLICY PANEL
15 JULY 2008
ANNEXE 2
ITEM 03
2. Affects of major
incidents or mis
management at the
Derby including
terrorist threats, crowd
control and safety of
visitors, reduction in
police presence
particularly in the
management of traffic
9
3. Major Emergency
affecting transport links
(rail, A24, M25)
8
4. Increasing levels of
crime within the
Borough and fear of
crime
9
Correct use of
Communications
Strategy and PR
Complaints procedures
Use of Resident Forums
Publicise good work by
Council and other
stakeholders.
Correct procedures for
reviewing Ombudsman
complaints
Emergency Plan
updated.
Council is part of multi
disciplinary group
reviewing requirements
6
7
7
No change
7
n/a
n/a
8
7
Emergency Plan
Business Continuity
Plan
Use of exercises to test
systems in place
Surrey Alert and linking
into SCC
Community Risk
Register as compiled by
SLRF
CRDP merged with LSP
Links with Police
Alcohol Consumption
banned in public places
including the Town
Centre,
and
surrounding roads and
some parks.
5
5
5
Reduced
residual
risk as a
result of
improved
protocol
of Derby
Day
arrangeme
nts and no
issues at
2008
festival
No change
7
7
7
No change
7
Page 2 of 5
Residual
Risk Score
- July 08
Residual
Risk Score
– Dec 07
9
Changes
Residual
Risk Score
– May 07
1. Reputation of Epsom
& Ewell
Existing Controls
Residual
Risk Score
– May 06
Significant Business
Risk
Initial Risk
Score
Register of Significant Business Risks (July 2008)
5
6. A large number of
gypsies arriving within
the Borough, difficult to
control particularly if
not on Council land.
9
7. Development areas
blighted and not
utilised affecting
environment including
empty shops and
offices.
8. Climate changes
causing problems such
as drought and flooding
or failure of
utilities/power supplies
6
9. Effects on Epsom
9
5
7
7
7
No change
7
Gypsy Liaison Officer
Close links with Police
and Court
Council Officers
available to provide
support to landowners
Lower numbers in
2006/07.
Height barrier at Depot
Road Car Park
Sound planning
procedures and
processes to support
decisions
6
6
6
Reduced
level of
risk. Legal
support
available
to take
necessary
action
5
4
4
4
No
change
4
Emergency Plan
Business Continuity
Plan
Issues dealt with by
Directors weekly
meetings as they occur
with associated action
plans
Surrey wide Community
Risk Register
(produced by SLRF)
adapted for Epsom and
Ewell’s issues.
Corporate Risk Group
receives updates on
environmental issues
such as summer floods.
New Climate Change
Officers Group , scope
of group to be agreed.
Identification of areas
5
5
5
No change
5
8
8
8
No change
8
New traffic light system
for licensed premises
Environmental Health
Procedures
Community Risk
Register (produced by
SLRF) covering Surrey
Wide arrangements.
DEFRA contingency
plans, quarantine and
movement laws.
Page 3 of 5
Residual
Risk Score
- July 08
Changes
Residual
Risk Score
– Dec 07
8
Existing Controls
ITEM 03
Residual
Risk Score
– May 07
5. Outbreak of
dangerous disease
such as e-coli, bird flu
legionnaires, foot and
mount or blue tongue
disease.
ANNEXE 2
Residual
Risk Score
– May 06
Significant Business
Risk
Initial Risk
Score
FINANCIAL POLICY PANEL
15 JULY 2008
11. Closure of Epsom
General Hospital
affecting a major
employer and services
to residents.
12. Loss of a main
employer within the
Borough .
13. Environmental
problems resulting from
the failure to collect
refuse, strikes etc.
9
of risk identified.
Member representation
on changes.
Clarification of
contracts and
partnerships with SCC
Good working
relationships
Lobbying
Residual
Risk Score
- July 08
Changes
Residual
Risk Score
– Dec 07
10. Major changes on
government policy and
funding arrangements
including the
comprehensive
spending review,
concessionary fares
and grants.
Existing Controls
ITEM 03
Residual
Risk Score
– May 07
and Ewell of County
Council, Police and Fire
Service rationalisation
and /or restructuring
plans
ANNEXE 2
Residual
Risk Score
– May 06
Significant Business
Risk
Initial Risk
Score
FINANCIAL POLICY PANEL
15 JULY 2008
7
7
8
No change
8
7
7
7
No
change
7
Links with local MP
Reporting to policy
committee on Council
implications
Major change
programmes
implemented where
required
Changes to legislation
communicated to staff.
7
Financial Strategy and
budgets updated as
required to manage the
impact of changes in
funding and new
services. New Financial
Plan agreed for 20082012
Championing health
services improvements
is now a Key Priority.
5
Business Partnership
Development Briefs
5
5
5
No change
5
8
Corporate Business
Continuity Plan
7
7
7
No change
7
Operational BCP’s now
in place for Operational
Services and
environmental health
and being developed
for all key services in
2008/09.
Reporting problems
through Contact Centre
Page 4 of 5
14.Recession affecting
business economy,
personal wealth and
council finances
9
Monitoring Local
Economy
Business Partnership
Board
Medium Term Financial
Strategy
Page 5 of 5
Changes
Residual
Risk Score
- July 08
Residual
Risk Score
– Dec 07
Existing Controls
ITEM 03
Residual
Risk Score
– May 07
ANNEXE 2
Residual
Risk Score
– May 06
Significant Business
Risk
Initial Risk
Score
FINANCIAL POLICY PANEL
15 JULY 2008
8