Risk Assessment Schedule 2023

Vowchurch Group Parish Council

 Risk Assessment Schedule

Adopted 25/05/23

Definition of Risk Management

Risk is the threat that an event or action will adversely affect the Parish Council’s ability to achieve its objectives and to successfully execute its strategies. Risk management is the process by which risks are identified, evaluated and controlled. It is a key element of the framework of governance together with community focus, structures and processes, standards of conduct and service delivery arrangements.

 The Parish Council is aware that although some risks can never be eliminated fully, it has in place a strategy that provides a structured, systematic and focuses approach to managing risk, which:

       Identifies the subject

              Identifies what the risk may be

              Identifies the level of risk

              Evaluates the management and control of the risk and records findings

              Reviews, assesses and revises procedures if required

The following are the identified areas of risk. There is a separate Risk Management policy to be referred to as appropriate.

SubjectRisks identifiedH/M /LManagement/Control of RiskReview/Assess/ ReviseLast Review
Business ContinuityCouncil not being able to continue its business due to an unexpected or tragic circumstance L    All files, recent records and website information are kept at the clerk’s home. There are automatic back ups to memory stick at the clerk’s home, and the clerk makes regular back ups of files to memory sticks held in the clerk’s adjoining property. In the event of the clerk being indisposed the Chairman to contact HALC for advice.Review when necessary. Ensure procedures below are undertakenMay 2023
Meeting LocationAdequacy Health and SafetyLMeetings are held in Vowchurch & Turnastone Memorial Hall or Newton Church Room.  The Clerk or the Caretakers hold the keys to access the buildings. The premises and facilities are considered to be adequate for the Clerk, Councillors and any public who attend from a health and safety and comfort aspect.Existing Procedure adequateMay 2023
Council Records Loss through theft, fire, damageLPapers, both current and archived, are held in a filing cabinet at the clerk’s home. Active records are mostly also held electronically.Provision is considered to be adequate.May 2023
Council Records electronicLoss through damage, fire, corruption of computer      M          The Parish Council’s electronic records and website are stored on the clerk’s computer. See Business Continuity above.        Existing procedure adequate      May 2023
Precept Adequacy of preceptMSound budgeting to underlie annual precept. The Parish Council receives monthly budget update information and detailed budgets in the late autumn. The precept is an agenda item at the November meeting.Existing procedure adequateMay 2023
InsuranceAdequacy Cost Compliance Fidelity GuaranteeL L L MAn annual review is undertaken of all insurance arrangements in place. Employers Liability, Public Liability and Fidelity Guarantee are a statutory requirementExisting procedure adequate Review provision and compliance annuallyMay 2023

Banking Inadequate checksLThe Council has Financial Regulations which set out the requirements for banking, cheques, internet banking and reconciliation of accountsExisting procedures adequate Review Financial Regulations as necessaryMay 2023
CashLoss through theft or dishonestyLThe Council has no petty cash or float. Any cash transactions made by the clerk, are fully receipted and then reimbursed monthly or paid by cheque/internet banking on receipt of an invoice.Existing procedures adequateMay 2023
Financial controls and recordsInadequate checksLQuarterly reconciliation prepared by RFO and checked by two Councillors of the Parish Council. Two signatories on cheques. Two Councillors check and sign internet banking transactions. Internal and external audit. Any financial obligation must be resolved and clearly minuted before any commitment. All payments must be resolved and clearly minuted. A record of a PIN number or other passwords, for access to internet banking shall be handed to and retained by the Chair in a sealed dated envelope. This envelope may not be opened other than in the presence of two other Councillors. After the envelope has been opened, in any circumstances, the PIN and/or passwords shall be changed as soon as practical, and in whatever circumstance shall be reported to all members immediately and formally at the next meeting of the parish council.Existing procedures adequateMay 2023
Freedom of Information Act         GDPR  Policy Provision             Policy ProvisionL M           MThe Council has a model publication scheme for Local Councils in place. The clerk is aware that if a substantial request arrives then this may require many hours of additional work. The Council is able to request a fee if the work will take over 15 hours. However the request can be resubmitted, broken down into sections, thus negating the payment of a fee.   The Council complies with GDPR and documents are available on the website.      Monitor and report any impacts made under Freedom of Information Act     Monitor and report any impacts made under GDPR  May 2023         May 2023
Election Costs Risk of election costMRisk is higher in an election year. There are no measures, which can be adopted to minimise risk of having a contested election. A contingency fund should be established to meet the costs.Include in financial statement when setting preceptMay 2023
VATRe-claimingLHMRC has a standard form and procedures for re-claiming VAT.  Existing procedures adequateMay 2023
Annual return Not submitted within time limitsLThe Clerk is responsible to ensure the accounts are submitted to the internal auditor, that the Annual return is completed and signed by the Council, then sent on to the External Auditor within time limit.Existing procedures adequateMay 2023
Street Furniture and other itemsDamage to benches, signs etcLAn asset register is kept up to date and insurance is held at the appropriate level. Regular checks should be made on all equipment by members of the Parish Council.Existing procedures adequateMay 2023
Legal Powers and legal liability Illegal activity or payments              M              All activity and payments made within the powers of the Parish Council (not ultra vires) are to be resolved and clearly minuted. Clerk to clarify legal position on proposals and to seek advice if necessary    Existing procedures adequate          May 2023
Minutes/ Agendas/ Statutory DocumentsAccuracy and legality Non compliance with statutory requirementsLMinutes and agendas are produced in the prescribed method and adhere to legal requirements.  Minutes are approved and signed at next meeting. Minutes and agendas are displayed according to legal requirements Business conducted at Council meetings is managed by the Chairman. Standing Orders are reviewed annuallyExisting procedures adequateMay 2023
Public LiabilityRisk to third party, property or individualsMInsurance is in place. Risk assessment of any individual event undertakenExisting procedures adequateMay 2023
Employees and Contractors
ClerkLoss of clerk       FraudM       LA contingency fund should be established to enable training and induction in the event of the clerk resigning. The requirements of Fidelity Guarantee insurance must be adhered to.Consider when setting next precept     May 2023
     Actions undertaken         Clerk’s Salary a d PAYE      L       MClerk should be provided with relevant training, reference books, access to assistance and legal advice through membership of SLCC/HALC     Clerk as RFO to make quarterly payments to HMRC and report at next meeting    Monitor working conditions     Existing procedures adequateMay 2023
Employer LiabilityNon compliance with employment lawLUndertake adequate training and seek advice from HALC.  Review Clerk’s contract ann uallyExisting procedures adequate.May 2023
ContractorsNon-compliance with terms of contractLReview contracts annuallyExisting procedures adequateMay 2023
Mem ber’s Responsibilities    
Members InterestsConflict of interest   Register of members InterestsM     LCouncillors have a duty to declare any interest at the start of the meeting Register of Members Interests form to be reviewed at least on an annual basis.Need to consider new regulations with reference to Standards and Register of Interests.  May 2023
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