Ebberston with Yedingham Parish Council – Risk Assessment
“The greatest risk facing the Parish Council, is not being able to deliver the activity or services expected.”
Risk assessment is a systematic general examination of working conditions, workplace activities and environmental factors that will enable the Council to identify any and all potential risks inherent in the place or practices. Based on a recorded assessment the Council will then take all practical and necessary steps to reduce or eliminate the risks, insofar as is practically possible.
Making sure that all councillors and employees are made aware of the results of the risk assessment.
This document has been produced to enable the Parish Council to assess the risks that it faces and satisfy itself that it has taken adequate steps to minimise them. In conducting this exercise, the following plan was followed:
· Identify the areas to be reviewed.
· Identify what the risk may be.
· Evaluate the management and control of the risk and record all findings.
· Review, assess and revise if required.
Subject Risk(s) Identified H / M / L (high/medium/low)
Management/Control of Risk Review/Assess/Revise.
risk – Council not being able to continue Its business due to an unexpected or tragic circumstance L
There is a business continuity plan in place. Review plan annually.
risk – Adequacy of precept L
To determine the precept amount required, the Parish Council regularly receives budget update information and the precept is an agenda item at full Council. At the Precept meeting. Council receives a budget update report, including actual position and projected position to end the year and indicative figures or costings obtained by the Clerk. With this information the Council maps out the required monies for standing costs and projects for the following year and applies specific figures to budget headings, the total of which is resolved to be the precept amount to be requested from Rye dale District Council. This figure is submitted by the Clerk in writing to RDC. The Clerk informs Council when the monies are received (April & September). Existing procedure adequate.
risk – Inadequate records L Financial irregularities L
The Council has Financial Regulations, which set out the requirements. Existing procedure adequate. Review the Financial Regulations annually.
Bank and banking.
risk -Inadequate checks L, Bank mistakes L, Loss Charges L
The Council has Financial Regulations, which set out the requirements for banking, cheques and reconciliation of accounts.The bank may make occasional errors in processing cheques which will be discovered when the Clerk reconciles the bank accounts once a quarter when the statements arrive, these are dealt with immediately by informing the bank and awaiting their correction. Existing procedures adequate Review financial regulations and bank signatories annually and especially after AGM or election. Monitor bank statements monthly.
risk – Loss through theft or dishonesty L
The Council has Financial Regulations, which set out the requirements. Cash received is banked within 3 banking days. There is no petty cash or float.Existing procedure adequate. Review financial regulations annually.
Reporting and auditing.
risk – Information communication L, Compliance M.
A monitoring statement is produced six monthly before each Council meeting with the agenda, discussed and approved at the meeting. This statement includes, bank reconciliation, budget update, and a breakdown of receipts and payments balanced against the bank.Council should regularly audit internally to comply with the Fidelity Guarantee. Existing procedure adequate. Appoint auditor for fidelity compliance annually.
Direct costs – Overhead expenses.
risks – Debts L, Goods not supplied but billed L. Incorrect invoicing L. Unpaid invoices L.
The Council has Financial Regulations, which set out the requirements. At each Council meeting the list of invoices awaiting approval is distributed to Councillors and considered. Two nominated Councillors check each invoice against the chequebook and associated paperwork and initial the invoices. Council approves the list of requests for payment. Existing procedures adequate. Review the financial regulations annually.
Grants and support -payable.
risk – Power to pay L. Authorisation of Councilto pay L.
All such expenditure goes through the required Council process of approval, is minuted and listed accordingly. Existing procedures adequate.
risk – Receipts of Grant L.
The Parish Council does not presently receive any regular grants. One off grants would come with terms and conditions to be satisfied. Procedure to be drawn up if required.
Charges -rentals payable.
risk – Payments of charges L, leases L, rentals L
Hire of Kitchen in Village Hall for meetings. Existing procedure adequate.
Charges -rentals receivable.
risks – Receipt of rental Insurance implication L. Rents from allotments and shed L.
Monies are received and banked within 3 working days. Review agreement and fees annually. Ensure payment and copy of insurance document received.
Best value – Accountability.
risk – Work awarded incorrectly L. Overspend on services M
Normal Parish Council practice is to seek, if possible, more than one quotation for any substantial work required to be undertaken or goods. For major contract services, formal competitive tenders will be sought. If a problem is encountered with a contract, the Clerk will investigate the situation, check the quotation/tender, research the problem and report to Council. Existing procedure adequate. Include overspend risk when reviewing financial regulations.
Salaries and assoc.costs.
risk – Salary paid incorrectly L. Wrong hours paid L. Wrong rate paid L.
The Council authorises the appointment of it’s employee. Salary rates are assessed annually. Existing appointment and payment system is adequate.
Risk of an election cost M
Risk is higher in a non-election year. When an interim election is called, the Clerk will obtain an estimate of costs from Ryedale Council for a full election. There are no measures to be adopted to minimise the risk of having a contested election as this is a democratic process and should not be stifled. Existing procedures adequate.
risk – Re-claiming/charging L.
The Council has Financial Regulations, which set out the requirements.Existing procedures adequate.
risk – Submit within time limits L.
Annual Return is completed and signed by the Council, submitted to the internal auditor for completion and signing then checked and sent on to the External Auditor within time limit. Existing procedures adequate.
risk – Illegal activity or payments L.
All activity and payments within the powers of the Parish Council to be resolved and minuted at Full Parish Council Meetings, including a reference to the power used. Powers minuted annually in April.
risk – Accuracy and legality L. Business conduct L.
Minutes and agenda are produced in the prescribed method by the Clerk and adhere to the legal requirements. Minutes are approved and signed at the next Council meeting.Minutes and agenda are displayed according to the legal requirements. Business conducted at Council meetings should be conducted by the Chair. Existing procedures adequate. Councillors to adhere to code of conduct. Guidance and training given to Chair as appropriate.
risk – Conflict of interest L. Register of Members interests M.
Although not a requirement, the declaring of interests by members at a meeting should be an obvious process to remind Councillors of their duty and should remain on the agenda.Register of member’s interest forms should be reviewed regularly by Councillors. Existing procedures adequate. Councillors take responsibility to update their register.
risk – Adequacy L. Cost L. Compliance L. Fidelity Guarantee M.
An annual review is undertaken (before the time of the policy renewal) of all insurance arrangements in place. Ensure compliance measures are in place. Ensure Fidelity checks are in place. Existing procedures adequate.Review insurance provision annually. Review compliance annually.
risk – Policy Provision L.
The Council is registered with the Data Protection Agency. Ensure annual renewal of registration.
Freedom of Information Act.
risk – Policy L. Provision L.
The Council has a model publication scheme for Local Councils in place. There have been no requests for information to date but 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 appropriate. Monitor and report any requests under the Freedom of Information Act.
PHYSICAL EQUIPMENT OR AREAS
risk – Loss or Damage L. Risk/damage to third party (ie)/property L.
An annual review of assets is undertaken for insurance provision, storage and maintenance provisions. Existing procedures adequate.
risk – Poor performance of assets or amenities L. Loss of income or performance L. Risk to third parties L.
All assets owned by the Parish Council are regularly reviewed and maintained. All repairs and relevant expenditure for these repairs are actioned/authorised in accordance with the correct procedures of the Parish Council. All assets are insured and reviewed regularly by Parish councillors. Existing procedures adequate. Ensure inspections are undertaken annually.
risk – Risk/damage/injury tothird parties L. Road side safety L.
Parish Council notice boards are sited within the villages of the Parish. All locations have approval by relevant parties, insurance cover, inspected regularly by the Clerk or relevant Councillor- any repairs/maintenance requirements are brought to the attention of the relevant parties. Any keys are held by the Clerk. Existing procedures adequate. Ensure visual inspections are undertaken when attaching documents.
risk – Risk/damage/injury tothird parties L.
The Parish Council is responsible a bus shelter, two seats, dog waste bins around the village and these are covered by insurance. No formalised programme of inspections is carried out, all reports of damage or faults are reported to Council and are dealt with. Ensure inspections are undertaken annually. Ensure payment and copy of insurance document received.
risk – Adequacy L. Health & Safety M.
The Parish Council Meetings are held in the Village Hall. The premises and the facilities are considered to be adequate for the Clerk, Councillors and Public who attend from Health & Safety and comfort aspects. Existing procedures adequate. Ensure Village Hall has current Public liability insurance.
Council records -paper.
risk – Loss through: Theft L. Fire M. Damage L.
The Parish Council records are stored at the home of the Clerk. Records include historical correspondence, minute books and copies, agreements for land or property, records such as personnel, insurance, salaries etc. Materials are in a metal filing cabinet (not fire proof) Existing procedures adequate. Deeds, agreements and personell information and other important documents to be copied and deposited off-site.
Council records -electronic.
risk – Loss through: Theft L. Fire M. Damage M. Corruption of computer M.
The Parish Council’s electronic records are stored on the Clerks computer. Back-ups of the files are taken at regular intervals. CD back-up of files produced bi-monthly and given to Chairman.
risk – Risk of damage to any underground utilities L. Injury to third parties L. Risk of trips L. Slips or falls L. Use of chemicals M.
Check with utility companies to ascertain what underground services, if any, are present on the site. Any such should be clearly marked and tenants informed. The site should be kept clean and tidy and only materials appropriate to the sites use should be stored there. Only chemicals for domestic use should be used, none should be stored on the site. Annual check that any utilities are adequately marked on site. Annual check that site is kept clean and tidy. Annual check that only appropriate materials are stored on site. Annual check that only domestic chemicals are used and stored on site.
Monday March 09, 2009