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Risk Management Scheme

FINANCE

Financial Prudence and Probity – Potential damage to Council reputation

Risk level: High

Those at risk: Parish Council/ Employees/ Parishioners

Current Controls:

  • Monthly budget monitoring statements reporting year to date spend.
  • Regular scrutiny of financial records by the appointed internal auditor.
  • Proper arrangements for the approval of expenditure.
  • Comply with VAT regulations. VAT payments and claims calculated by Clerk and internal and external auditor to provide double check.
  • Internal Audit Assurance.

These controls are supported in more detail in the Financial Regulations of the Parish Council.

Financial Loss/ Fraudulent Activity

Risk level: High

Those at risk: Parish Council/Parishioners

Current Controls:

  • Monthly Councillor audit to check invoices against appropriate bank statements.
  • Two Councillors to sign each cheque. Two Councillors to approve bank payments online.
  • Invoices to be checked before approving bank payments or signing cheques and cheque stubs and invoices to be initialled.
  • Council to ratify and authorise all payments at ordinary meetings.
  • All financial obligations to be resolved and documented in the minutes before any commitment unless emergency spend by the Clerk in conjunction with the Chairman as set out in Financial Regulations.
  • Direct debits / Standing Orders only approved on the bank account on instruction of the full Council.
  • Internal Audit to check VAT entries on invoices against VAT to be claimed from Custom & Excise and amount recorded in the cashbook.
  • Monthly bank reconciliations should be undertaken as soon as practicable following receipt of bank statements in order to maintain effective control.
  • Back-up of all financial information held.
  • A petty cash float of £200 may be held by the Clerk.
  • All cash/cheques to be banked as soon as possible unless the cheque is a holding deposit for the Village Hall / use of the Sports Pavilion.

Possible Further Action:

  • To enable two councillors to approve online payments, Unity requires triple authorisation for online payments. This allows the Clerk to set up payments and then for two Councillors to approve the payments. This has been actioned by the Clerk

Propriety of Parish Councillors

Risk level: Med

Those at risk: Parish Council Reputation

Current Controls:

  • Members must tell the Monitoring Officer at BANES Council in writing within 28 days of taking office, or within 28 days of any change to the member’s register of interests.
  • A councillor shall withdraw from a meeting when it is considering a matter in which they have a disclosable pecuniary interest.
  • If a member has a non-pecuniary interest he shall declare such interest as soon as it becomes apparent, the member may speak on the matter and not vote.
  • Remind Councillors at each meeting of the need to consider each agenda item and decide whether to declare an interest.
  • Remind Councillors that they need to review their Register of Interests at least annually.
  • To provide details of receiving any gift or hospitality on the Register of Interests.

Possible Further Action:

  • Include as an agenda item at the Annual Meeting of the Parish Council.

Adequacy of Precept

Risk level: Med

Those at risk: Parish Council/Parishioners

Current Controls:

  • Ensure adequacy of annual precept through sound budgetary arrangements.
  • Monthly budget updates reporting year to date spend with detailed budgets agreed by the full council annually.
  • Budget prepared in November and reviewed by the Finance Working Party. Precept derived from budget exercise and to be considered at the December PC agenda and agreed in January.

Insurance – Adequate for PC Risks including assets

Risk level: Med

Those at risk: Parish Council/Parishioners

Current Controls:

  • Annual Review of the Council’s insurance requirements to ensure it is at an appropriate level for all liabilities/assets.
  • Weekly checks made on play equipment by Village Operative.
  • Asset register to be kept up to date and revised after any asset is purchased or disposed of. Insurance to be updated after any additional asset purchase.

Possible Further Action:

  • Recommend that the Parish Council initiate an Insurance Reinstatement Cost Assessment for Temple Cloud Village Hall. Current figures are based on previous insured values.

Financial Regulations

Risk level: Med

Those at risk: Parish Council/Parishioners

Current Controls:

  • Annually Review of the adequacy of the Regulations.

Reserves

Risk level: Med

Those at risk: Parish Council/Parishioners

Current Controls:

  • Ensure that an adequate level of reserves is maintained through the budget setting process.

Meeting Charitable Trust Obligations

Risk level: Low

Those at risk: Parish Council

Current Controls:

  • The Playing Field is land held in trust by the Parish Council
  • Quarterly meetings report on any activity and income.
  • It has been agreed by resolution that the Parish Council will manage any spend on maintenance through the Parish Council accounts.
  • Charity Commission reports must be submitted annually.

ASSETS

Protection of the Council’s physical assets

Risk level: Low

Those at risk:

Parish Council/Parishioners

  • Buildings insured for all risks and theft. This includes:
    • Cameley Playing Field Pavilion
    • Bus Shelters
    • Temple Cloud Village Hall.
  • Street furniture insured.
  • Office equipment insured.
  • Street lighting maintained by District Council.
  • Regular checks of two defibrillators.
  • The Parish Council are members of Somerset Playing Field Association.

Possible Further Action:

  • Keep adequacy of insurance cover under review annually.

Maintenance of buildings – Village Hall

Risk level: Low

Those at risk: Parish Council/Parishioners

Current Controls:

  • The Parish Council own, manage and insure Temple Cloud Village Hall.
  • Key holders are documented and a copy retained by the Chairman.
  • A programme of annual inspections is held and maintained.

Possible Further Action:

  • Establish a planned programme of maintenance.

Maintenance of buildings – Pavilion

Risk level: Low

Those at risk:

Current Controls:

  • The Pavilion is maintained by the Parish Council.
  • Fixed electric points have been tested.
  • Schematics of the water systems have been documented and assessed.

Possible Further Action:

  • A temporary repair has been made to the felt roof but a longer term assessment of the condition of the pavilion and roof will need to be made.

Security of buildings

Risk level: Med

Those at risk: Parish Council/Parishioners

Current Controls:

  • The Parish Council are responsible for security of the Village Hall.
  • Police have been updated with emergency contacts/key holders.

Possible Further Action:

  • Some areas of weakness – (boarding) identified during the 2017 inspection.
  • Update Police of key holders annually.

Allotment site

Risk level: None

Those at risk: Parish Council/Parishioners

Current Controls:

  • The Parish does not have allotments.
  • If land is used for the purpose of allotments, seek advice from the Allotment Society Committee. 

LIABILITY

Legal liability as consequence of asset ownershipCameley Playing Field, Pavilion and Play Area including risks to users

Risk level: Low

Those at risk: Parish Council/Parishioners

  • Cameley Playing Field / play equipment, gates, fencing and surfaces are insured.
  • Weekly checks of play equipment are carried out by the Village Operative as part of their regular duties.
  • Annual independent checks made on condition/safety of all play equipment by contractors.
  • The Parish Council are members of the Somerset Playing Field Association.

Risks to third parties from Council assets

Risk level: Low

Those at risk: Parish Council/Parishioners

Current Controls

  • Public liability insurance in place.
  • Action taken on ad hoc basis to repair/ replace assets as required.
  • Open spaces checked regularly and maintained by Village Operative.
  • Trees investigated when damage reported.
  • Regular checks of shower facilities undertaken.
  • Annual inspection of trees.
  • Risk assessments of individual events / activities carried out as necessary including Christmas lights and any volunteering work.

Possible Further Action:

  • Further programme of works from water risk assessment required.
  • Implement annual inspection of grit bins, benches, dog bins
  • Risk assessment before public events.

Use of Volunteers

Risk level: Med

Those at risk: Parish Council/Members of the council

Current Controls:

  • Public liability provided by Parish Council to cover activities by volunteers
  • Any work undertaken by volunteers must be adequately risk assessed.
  • A register of volunteers must be taken and retained by the Parish Council.
  • A briefing must be given before any volunteer work is undertaken to detail the scope of the activity and any risks identified.
  • Insurance company to be informed of any volunteer activity.
  • Appropriate PPE will be arranged as appropriate.

EMPLOYER LIABILITY

Employer liability/ Compliance with employment law

Risk level: Med

Those at risk: Parish Council/Parishioners

Current Controls:

  • Insurance in place.
  • Membership of ALCA/NALC.
  • Clerk is member of SLCC.
  • Council are members of Somerset Playing Field Association.

Safety of Staff

Risk level: Med

Those at risk: Parish Council/Parishioners/Staff

Current Controls

  • Clerk works from home and has a designated office space.
  • All staff to have annual appraisals.
  • Village Operatives have an annual appraisal and regular informal meetings with line manager to identify any additional training needs.

LEGAL LIABILITY

Legality of the Council’s actions

Risk level: Low

Those at risk: Parish Council/Parishioners

  • Clerk clarified legal position on any new proposal. Legal advice to be sought where necessary.
  • Membership of ALCA/SLCC
  • Professional advice when required.
  • Appropriate training for Clerk/members.
  • Council are members of Somerset Playing Field Association.

Proper and timely reporting via the minutes

Risk level: Low

Those at risk: Parish Council

Current Controls:

  • Council meets on a monthly basis and approves minutes of the previous meeting.
  • Minutes are published in draft form and made available on the Parish Council website and noticeboards soon after the meeting.
  • A precis of the minutes are also published in the Chew Valley Gazette and Clutton and Temple Cloud News.

Proper document control

Risk level: Med

Those at risk: Parish Council

Current Controls:

  • Leases and legal documents in the Clerk’s possession and held in a secure cabinet.
  • Reduce the need to keep paper records by registering ownership of land and buildings with Land Register.
  • Other data storage to comply with the Data Protection Act and General Data Protection Regulations.
  • A Data Protection Officer has been appointed.

Possible Further Action:

  • Key documents, deeds etc to be copied and originals stored in bank.
  • Complete general Data Protection Regulation Policy.
  • Agree Privacy Statements and publish.

OTHER

Contracts – compliance with law/ensuring value for money

Risk level: Med

Those at risk: Parish Council/Parishioners

Current Controls:

  • Standing Orders and Financial Regulations in place and reviewed annually at the Annual Meeting of the Parish Council.
  • The Parish Council have a separate Procurement Policy for contracts and tenders.

Use of contractor’s various injuries, etc.

Risk level: Med

Those at risk: Parish Council/Parishioners & Contractors

Current Controls:

  • Contractor to have public liability insurance cover of £5 million.
  • All contractors asked for Health and Safety Policy.
  • Evidence of registration and licence is obtained.
  • Contractors asked to produce risk assessments for the associated work activities.
  • All electricians used are NICEIC registered and contractors servicing gas appliances are GASSAFE registered. 
  • Contractors handling sanitary waste, clinical waste, herbicides, pesticides etc are appropriately licensed.
  • Work of all contractors is monitored by a nominated councillor.

Possible Further Action:

  • Design a record for monitoring activities.

Use of contractorsIncomplete / unsatisfactory workmanship

Risk level: Med

Those at risk: Parish Council

Current Controls:

  • All electricians used are NICEIC registered and contractors servicing gas appliances are GASSAFE registered. 
  • Contractors handling sanitary waste, clinical waste, herbicides, pesticides etc are appropriately licensed.
  • Evidence of registration and licence is obtained.
  • Work of all contractors is monitored by a nominated councillor

Possible Further Action:

  • Design a record for monitoring activities.

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