Risk Assessment
Adopted by the Finance and General Purposes Committee on 22nd April 2024
Reviewed and Adopted by the Finance and General Purposes Committee on 4th December 2024
Review Date: May 2025
Risk Assessment Schedule
The Parish Council has a duty to carry out an assessment of the risks facing it and take appropriate steps to manage the risks. These could include the introduction of internal controls as well as external insurance cover as required.
This document has been compiled to enable the Council to assess the risks it faces and satisfy itself that it has taken appropriate steps to minimise them as required by the Joint Panel on Accountability and Governance (JPAG) Practitioners’ Guide (as updated). It is acknowledged that some risks cannot be eliminated entirely but that measures are in place to manage them effectively.
Please note that all events, such as community picnic, town twinning quiz nights etc, have their own specific risk assessments written at the time of planning the event and reviewed at each subsequent event.
Management
Subject Business Continuity
Risk(s) Identified Council not being able to continue its business due to an unexpected or tragic circumstance
High/Medium/Low L
Management/Control of Risk All files and recent records (both paper and electronic) are kept at the Parish Office.
The Council have a secure online backup system that backs up files as they are created or changed.
In the event of the Clerk being indisposed the Deputy Clerk will provide administrative support. The ability to work off site is provided should the need arise.
Review/Assess/Revise Annual review – Ensure procedures below are undertaken.
Management/Control of Risk The Council employs a third party to maintain and monitor Cyber Security on its IT systems
Review/Assess/Revise Subject to annual review.
Meeting location
Risk(s) Identified Adequacy, Health and Safety
High/Medium/Low L
Management/Control of Risk
Meetings are held at Crafton Green. The Clerk holds keys to the buildings and in the event of her being indisposed the Deputy Clerk also holds keys. The Chair of the Council also holds a third key to The Mountfitchet Exchange.
All the premises and facilities are considered to be satisfactory from a health and safety, accessibility and comfort aspect for all staff, Councillors and any public who attend.
Review/Assess/Revise Existing procedures adequate.
Management/Control of Risk A Health and Safety notice for the premises is provided. Water monitoring is carried out monthly and fire checks are carried out quarterly. There is full disabled access to the Mountfitchet Exchange.
Review/Assess/Revise Annual review of the Water and Fire Risk Assessments.
Council Records
Risk(s) Identified Loss through theft, fire, damage
High/Medium/Low L
Management/Control of Risk
Papers, both current and archived will be held in the Parish Office. Keys to the Parish Office are held by the Clerk, Deputy Clerk and the Chair.
Review/Assess/Revise Damage or theft is unlikely and so provision adequate.
Council Records – Electronic
Risk(s) Identified Loss through damage
High/Medium/Low M
Management/Control of Risk
The Parish Council’s electronic records are stored on the Parish Council computer. The Council have a secure online backup system that backs up files on a daily basis
Review/Assess/Revise Annual Review
Finance – Precept
Risk(s) Identified Adequacy of precept
High/Medium/Low M
Management/Control of Risk
Sound budgeting to underlie annual precept. Each parish Council Committee monitors their budget information and detailed budgets are prepared in the late autumn. The precept is considered by the Finance & General Purposes Committee in November and December, prior to making a recommendation to Council in January
Review/Assess/Revise Existing procedure adequate
Finance – Insurance
Risk(s) Identified / High/Medium/Low
Adequacy (L)
Cost (L)
Compliance (L)
Fidelity (L)
Guarantee (L)
Management/Control of Risk
An annual review is undertaken of all insurance arrangements in place. Employer’s Liability, Public Liability and Fidelity Guarantee are a statutory requirement
Review/Assess/Revise Existing procedure adequate. Review provision and compliance annually
Finance – Banking
Risk(s) Identified Inadequate checks
High/Medium/Low (L)
Management/Control of Risk The Parish Council has Financial Regulations which set out the requirements for banking, the making of payments and internal audit
Review/Assess/Revise Existing procedures Adequate. Annual review of Financial Regulations
Finance – Cheques Online Payments
Risk(s) Identified
Loss through theft or dishonesty
Fraud
High/Medium/Low (L)
Management/Control of Risk Monthly bank reconciliation prepared by the Clerk and checked by the appointed member for verification purposes in accordance with Parish Council written guidelines
Review/Assess/Revise Existing procedures Adequate. Council no longer uses cheque payments
Management/Control of Risk
Internal and external audit undertaken.
Clerk prepares a Schedule of Payments for Full Council or Finance & General Purposes. One Councillor authorises all invoices prior to online payment by the Clerk.
All payments must be detailed in the Financial Reports presented to the Finance and General Purposes Committee or Full Council. The Clerk has designated authority to pay invoices up to £500 prior to meeting approval
The Council no longer use LGAs137 as they have adopted the General Power of Competence
Review/Assess/Revise Switching to 2-factor sign off after Clerk/RFO sets up payments. Annual review of Financial Regulations
Finance – Clerk
Risk(s) Identified Loss of clerk
High/Medium/Low (M)
Management/Control of Risk In the event of the Clerk resigning, the Council employs a Deputy Clerk who could cover in the interim or the services of a Locum Clerk could be sought
Review/Assess/Revise Membership of SLCC maintained. Monitor working conditions
Finance – RFO
Risk(s) Identified Loss of RFO
High/Medium/Low (M)
Management/Control of Risk Deputy Clerk has access to accounts records. Locum should be sought.
Review/Assess/Revise Membership of SLCC maintained. Monitor working conditions
Risk(s) Identified Fraud
High/Medium/Low (L)
Management/Control of Risk The requirements of Fidelity Guarantee Insurance must be adhered to. Internal procedures in place
Review/Assess/Revise Existing procedures adequate
Risk(s) Identified Actions Undertaken
High/Medium/Low (L)
Management/Control of Risk Clerk should be provided with relevant training, reference books, access to assistance and legal advice
Review/Assess/Revise Existing procedures adequate
Risk(s) Identified Salary paid incorrectly
High/Medium/Low (L)
Management/Control of Risk Payroll is outsource
Review/Assess/Revise Existing procedures adequate
Payroll
Risk(s) Identified Breach of employment laws including NI and tax
High/Medium/Low (L)
Management/Control of Risk Procedures in place. Members of NALC & EALC who provide updates for review by the Personnel Committee. Payroll is outsourced to a payroll company
Review/Assess/Revise Annual audit carried out by Internal Auditor
Election Costs
Risk(s) Identified Risk of election cost
High/Medium/Low (M)
Management/Control of Risk Risk in an election year. There are no measures which can be adopted to minimise risk of having a contested election.
Review/Assess/Revise Existing procedures adequate
Risk(s) Identified Or election to fill a casual vacancy
Management/Control of Risk Costs are met from Ear-Marked Reserves
Review/Assess/Revise Council to maintain EMR to cover election costs. Consideration of increase in budget to allow contingency.
VAT
Risk(s) Identified Re-claiming / Charging
High/Medium/Low (L)
Management/Control of Risk The Council has financial regulations which set out the requirements. VAT recovered quarterly.
Review/Assess/Revise Existing procedures adequate. Reviewed annually
Annual Governance and Accountability Return (AGAR)
Risk(s) Identified Not submitted within time limits
High/Medium/Low (L)
Management/Control of Risk AGAR is completed and signed by the Council and the Internal Auditor. It is then checked and sent on to the External Auditor within time limit. Clerk/RFO prepares a timetable for submission
Review/Assess/Revise Existing procedures adequate
Assets – All assets listed on the Council’s Asset Register
Risk(s) Identified Damage to any items
High/Medium/Low (L)
Management/Control of Risk Items over £500 are recorded on the Council’s asset register. Regular checks are made on all equipment and street furniture by Council staff
Review/Assess/Revise Existing procedures are adequate. Asset register is updated as items are purchased and reviewed annually by Clerk/RFO
Liability – Legal Powers
Risk(s) Illegal activity or payments
High/Medium/Low (L)
Management/Control of Risk All activity and payments made in line with Financial Regulations and Terms of Reference
Review/Assess/Revise Existing procedures are adequate.
Risk(s) Working Parties taking decisions
High/Medium/Low (L)
Management/Control of Risk Terms of Reference require working parties to report to Council or committee
Review/Assess/Revise Existing procedures are adequate.
Liability – Minutes, agendas and statutory documents
Risk(s) Accuracy and legality. Non-compliance with statutory requirements
High/Medium/Low (L)
Management/Control of Risk Minutes and agendas are produced in the prescribed method and timeframe. Minutes are approved and signed at the next meeting unless a resolution is passed to defer
Review/Assess/Revise Existing procedures are adequate.
Management/Control of Risk Minutes are displayed according to legal requirements. Business conducted at Council meetings should be managed by the Chair and in line with Standing Orders
Review/Assess/Revise Members to adhere to Code of Conduct and Standing Orders reviewed annually.
Liability – Public Liability
Risk(s) Risk to third parties, property or individuals
High/Medium/Low (L)
Management/Control of Risk Insurance is in place. Risk assessments are undertaken for individual events
Review/Assess/Revise Existing procedures adequate. Insurance policy reviewed annually.
Liability – Employer’s Liability
Risk(s) Non-compliance with employment law
High/Medium/Low (L)
Management/Control of Risk Undertake ongoing training to ensure Personnel sub-committee aware of current legislation. Seek advice from Council’s insurers/HR advisors where required
Review/Assess/Revise Existing procedures adequate. Council employs HR specialists for advice. Insurance in place
Liability – Employee Liability
Risk(s) Causing injury/ Damage to employee property
High/Medium/Low (L)
Management/Control of Risk Employer’s Liability insurance in place
Review/Assess/Revise Insurance policy and risk assessments reviewed annually
Liability – Councillor Liability
Risk(s) Causing injury/Damage to councillors
High/Medium/Low (L)
Management/Control of Risk Insurance cover and risk assessments in place
Review/Assess/Revise Insurance policy and risk assessments reviewed annually
Liability – Legal Liability
Risk(s) Legality of activities
High/Medium/Low (L)
Management/Control of Risk Clerk to seek advice if necessary. Council has GPoC
Review/Assess/Revise Existing procedures adequate
Risk(s) Proper and timely reporting
High/Medium/Low (L)
Management/Control of Risk Council receives and approves minutes at meetings. Minutes posted on Council website
Review/Assess/Revise Existing procedures adequate
Risk(s) Proper document control
High/Medium/Low (L)
Management/Control of Risk Retention of documents policy in place
Review/Assess/Revise Existing procedures adequate
Freedom of Information and data control
Risk(s)Policy provision
High/Medium/Low (L)
Management/Control of Risk The Council is registered with the ICO and has relevant policies in place
Review/Assess/Revise Policies reviewed regularly. Any FOI requests reported to Chair
Councillors Propriety – Members’ Interests
Risk(s) Conflict of interest
High/Medium/Low (M)
Management/Control of Risk Councillors complete Register of Interest. They must declare any interest at the start of meetings
Review/Assess/Revise Existing procedures adequate. Members review their RoI annually.
Council Reputation – Councillors and staff
Risk(s) Bringing Council into disrepute
High/Medium/Low (M)
Management/Control of Risk Members understand the Code of Conduct. Professional approach is taken on all Council matters Staff receive regular training as and when identified
Review/Assess/Revise Not all councillors receive training. Members to identify training needs.
SUMMARY OF KEY ASSETS/RISKS – full list in the Asset Register
Allotments Regularly inspected and issues raised with tenants.
Community Events Covered by insurance and individual Risk Assessments undertaken
Community Buildings All inspected and covered by insurance
Cemetery Almost at capacity. Council is actively seeking additional land
CCTV System Policies in place for operation
Investments Policy reviewed annually
Land Inspected and insurance in place
Street Furniture Inspected regularly and as required by legislation (street-lighting)
Play Areas Inspected by staff weekly and annually by RoSPA
Litter Bins provided and regularly emptied by Environmental Rangers