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.
| Management | |||||
| Subject | Risks identified | H/M /L | Management/Control of Risk | Review/Assess/ Revise | Last Review |
| Business Continuity | Council 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 undertaken | May 2023 |
| Meeting Location | Adequacy Health and Safety | L | Meetings 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 adequate | May 2023 |
| Council Records | Loss through theft, fire, damage | L | Papers, 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 electronic | Loss 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 |
| Finance | |||||
| Precept | Adequacy of precept | M | Sound 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 adequate | May 2023 |
| Insurance | Adequacy Cost Compliance Fidelity Guarantee | L L L M | An annual review is undertaken of all insurance arrangements in place. Employers Liability, Public Liability and Fidelity Guarantee are a statutory requirement | Existing procedure adequate Review provision and compliance annually | May 2023 |
| Banking | Inadequate checks | L | The Council has Financial Regulations which set out the requirements for banking, cheques, internet banking and reconciliation of accounts | Existing procedures adequate Review Financial Regulations as necessary | May 2023 |
| Cash | Loss through theft or dishonesty | L | The 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 adequate | May 2023 |
| Financial controls and records | Inadequate checks | L | Quarterly 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 adequate | May 2023 |
| Freedom of Information Act GDPR | Policy Provision Policy Provision | L M M | The 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 cost | M | Risk 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 precept | May 2023 |
| VAT | Re-claiming | L | HMRC has a standard form and procedures for re-claiming VAT. | Existing procedures adequate | May 2023 |
| Annual return | Not submitted within time limits | L | The 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 adequate | May 2023 |
| Assets | |||||
| Street Furniture and other items | Damage to benches, signs etc | L | An 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 adequate | May 2023 |
| Liabilities | |||||
| 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 Documents | Accuracy and legality Non compliance with statutory requirements | L | Minutes 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 annually | Existing procedures adequate | May 2023 |
| Public Liability | Risk to third party, property or individuals | M | Insurance is in place. Risk assessment of any individual event undertaken | Existing procedures adequate | May 2023 |
| Employees and Contractors | |||||
| Clerk | Loss of clerk Fraud | M L | A 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 M | Clerk 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 adequate | May 2023 | |
| Employer Liability | Non compliance with employment law | L | Undertake adequate training and seek advice from HALC. Review Clerk’s contract ann ually | Existing procedures adequate. | May 2023 |
| Contractors | Non-compliance with terms of contract | L | Review contracts annually | Existing procedures adequate | May 2023 |
| Mem ber’s Responsibilities | |||||
| Members Interests | Conflict of interest Register of members Interests | M L | Councillors 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 |