MANAGEMENT

Subject

Risk(s) Identified

H/M/ L

Management

control of Risk

Review - Assess

Revise

Meeting location

Adequacy, Health and Safety.

L

Meetings are held in the Village Hall.  The Clerk and Chairman hold keys.  From a health, safety and comfort aspect the premises and facilities are suitable for the Clerk, Councillors and any members of the public who attend.

Existing procedure adequate.

Council records

Loss through theft, fire, damage

L

Papers, both current and archived, are held securely in the Clerk's home.

Damage or theft is unlikely and so provision adequate

Council records electronic.

Loss through damage, fire, corruption of computer

M

The Parish Council's electronic records are stored on the Clerk's computer.  Back-ups of the files are updated weekly.  In addition to the original files, back-ups are kept on a separate hard disk, a CD disk and a pen drive.

Existing procedure adequate.

FINANCE

Subject

Risk(s) Identified

H/M/ L

Management

control of Risk

Review - Assess

Revise

Precept

Adequacy of precept.

M

The annual precept is discussed at the November council meeting where future projects with their proposed budgets are brought to the Council. Adjustments are then assessed as to the viability of any project and the costs, such as any additional Annual Audit costs, can be evaluated. The precept is finally agreed at the December meeting.

Existing procedure adequate.

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.

Banking

Inadequate checks

L

All monies received are by cheque of BACS payment. Cheque's are banked by the Clerk.

Existing procedures adequate.

Review Financial Regulations as necessary.

Cash

Loss through theft or dishonesty

L

The Council has no petty cash or float.  Any cash transactions are made by the Clerk, are fully receipted and then reimbursed or paid by cheque on receipt of an invoice.

Existing procedures adequate.

Financial controls and records.

Inadequate checks.

L

Quarterly reconciliation by Clerk.  All cheque's signed by two of the three authorised signatories.  All payments agreed by the Council and each payment minuted.  The cash book is kept by the Clerk and available for inspection at any time.

Existing procedures adequate.

Freedom of Information Act.

Policy Provision

L

M

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.

Monitor and report any impacts made under Freedom of Information Act.

Election Costs

Risk of election cost

M

Risk is higher in an election year.  There are no measures, which can be taken to minimise risk of a contested election.  A contingency fund should be established to meet the costs.

Include in financial statement when setting precept.

Annual Return

Not submitted within time limits.

L

The Annual Return is completed by the Clerk and inspected by the Internal Auditor and signed.  It is then put before the Council to be agreed and signed.  It is sent with any documents requested to the Audit Commission by the date determined by them.

Existing procedures adequate.

ASSETS

Subject

Risk(s) Identified

H/M/ L

Management

control of Risk

Review - Assess

Revise

Street furniture and playground equipment.

Damage to play equipment and benches, etc.

L

Insurance is held at the appropriate level for all items.  Regular checks are made on all equipment by members of the Parish Council.

Existing procedures adequate.

LIABILITY

Subject

Risk(s) Identified

H/M/ L

Management

control of Risk

Review - Assess

Revise

Minutes Agendas Statutory documents.

Accuracy and legality.

Non compliance with statutory requirements.

L

L

Minutes and agendas are produced in the prescribed method and adhere to legal requirements.  Minutes are approved and signed at the next meeting.  Agendas are displayed according to legal requirements.  Business conducted at  Council meetings are managed by the Chairman.

Existing procedures adequate.

Public Liability

Risk to third party, property or individuals.

M

Insurance is in place to cover third party, property or individuals.  Risk assessment of any individual event undertaken.

Existing procedures adequate.

Legal Liability

Proper and timely reporting via Minutes.

Proper document control.

L

L

Council always receives and approves minutes at monthly meetings.

Retention of document policy in place.

Existing procedures adequate.

Existing procedures adequate.

COUNCILLORS PROPRIETY

Subject

Risk(s) Identified

H/M/ L

Management

control of Risk

Review - Assess

Revise

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.

Existing procedures adequate.

Members to take responsibility to update their register.