RISK REGISTER – RISK MANAGEMENT

This policy was approved and adopted by Bardney Group Parish Council at their meeting on;
 18th January 2018 Item 293-18/01/2018
Reviewed 18th April 2019

PLEASE KEEP THIS POLICY IN A SAFE, EASILY ACCESSIBLE PLACE AND REFER TO IT FREQUENTLY SO AS TO REMAIN FAMILIAR WITH ITS CONTENTS.

CLERK TO THE COUNCIL

BARDNEY GROUP PARISH COUNCIL

BARDNEY FIRE STATION

2B ALMA MARTIN WAY

BARDNEY

LINCOLNSHIRE

LN3 5TF

 

Telephone 01526 397406

The greatest risk facing a local Council is being unable to deliver the services and/or activities expected of it.

This document has been produced to enable Bardney Group Parish Council to assess the risks that it faces and satisfy itself that it has taken adequate steps to minimise them.

To conduct this assessment the following points should be followed:

  1. Identify the areas to be reviewed.
  2. Identify what the risk may be.
  3. Evaluate the management and control of the risk and record all findings.
  4. Review, assess and revise if required.

    

SERVICE AREA

RISK

RECOMMENDATION

Insurance1

Public Liability (not mandatory)

Continue existing cover

 

Employers Liability (statutory)6

Continue existing cover

 

Money & Assault

Continue existing cover

 

Fidelity Guarantee (Employer/Councillor Dishonesty)

Continue existing cover

 

Officials Indemnity

Included within Public Liability

 

Property

Continue with existing cover on buildings and office contents.  Ensure the terms of any lease are adhered to, particularly those relating to routine maintenance.

 

Loss of revenue

To be included when revenue stream commences.

 

Libel & slander

Included in Public Liability

 

Personal Accident

Not required

 

Business interruption

Not required

 

Councillors over 80

Not required

Payroll2

Loss of data on PC due to system fault

Continue to back up data on weekly basis and continue maintenance of hard copy of payroll details.

 

Loss of service of an employee3

Immediately advertise any permanent vacancy.  Clerk & RFO to produce a set of handover notes to assist in the event of sudden loss of Clerk or RFO.

Administration

Payment arrangements 4

Continue with requirement to report all payments to the Council.  Continue with requirement for signatories to initial cheque stubs and sign Order for Payments.  Monthly back up copy of computer records relating to accounts to be taken and stored securely.

 

Reconciliation5

Continue with bank reconciliation to be carried out on the receipt of each statement. Reconciliation to computer system on receipt of each statement.

 

Agency advice

Continue with membership of LALC, NALC & SLCC.

Allotments7

Increase in net expenditure & income

Covered in accounts and Financial Regulations. Keep fees under careful review – annually.

 

Damage to allotment plots

Continue with regular checks and maintenance on unallocated plots.

Ground Maintenance8

Loss of service of contractor

Advertise vacancy immediately. Look to use handyman to cover whilst recruiting.

Cemetery9

Loss of adequate space for burials

Review every 5 years.

 

Memorial safety

Continue with existing policy to approve all new applications. Continue with regular checks on existing headstones and manage in accordance with current policy.

 

Increase in net expenditure & income

Keep under careful review - annually

 

Damage to memorial seats

Continue with regular maintenance

Precept10

Annual precept not the result of proper detailed consideration

Budgets presented and considered by Full Council Meeting.

 

Inadequate monitoring of performance

Continue to regularly consider budget monitoring report (quarterly). Expenditure against budget to be presented monthly.

 

Illegal expenditure

Continue to ensure that all expenditure is within legal powers. Covered by Financial Risk Assessment.

Accounting11

Non-standard and/or non-compliant records kept

Continue to require adequate, complete and statutory financial records and accounts. Covered by Financial Risk Assessment.

 

 

Non-compliance with statutory deadlines for the completion/approval/submission of accounts and other financial returns.

Continue to ensure that all accounts and returns are completed and submitted by the deadlines. Covered by Financial Risk Assessment

 

Non-compliance with internal audit requirements

Appoint internal auditor and ensure all recommendations made by the auditor are considered by the Council and implemented. Covered by Financial Risk Assessment

Money & invoices12

Loss of cash

Petty cash kept to £20 and locked in secure cabinet.  Monies over £20 banked promptly and receipts issued and reconciled. Covered by Financial Risk Assessment

 

Payment of invoices

Payment by cheque signed by two signatories appointed annually in May.  Counter sign order for payment. Covered by Financial Risk Assessment

 

Payment of rent & service bills

No payment by Direct Debit in order to control costs and ensure accurate accounting. Covered by Financial Risk Assessment

Contracts13

Ensure continued best value, coupled with continuity of work’

 

Note – best value does not mean the cheapest contract.

Approve the practice of seeking tenders for ground maintenance every three years.  Issue tender documents to contractors expressing an interest.  Tenders to be opened by Clerk and RFO and presented at Full Council Meeting.

Staff14

Lone working issues

Ensure building adheres to safety regulations.  Adopt Lone Working policy and update annually.

 

On-site issues

Staff to be made aware of onsite dangers/hazards when out of office.  Two staff to carry out grave marking and allotment checks.

 

Contractors staff

Ensure compliance of all health & safety and employment matters (as per tender documentation) is complied with.

 

Handyman15

To be made aware of onsite dangers/hazards when out of office.  Ensure compliance with health & safety regulations.

1 The insurance policy must be assessed on a yearly basis to ensure that the values covered are sufficient for the business carried out by BGPC.

2  The internal audit considers the payroll payments to ensure that the correct amounts have been processed in accordance with the bank statements.  This is covered by Fidelity Insurance.

3  Councils can ensure that work can be carried out after the loss of an employee by ensuring correct communication and documentation, as well as preparing job descriptions, procedural documents and safe storage of passwords.

4  Payments must be approved (ratified) by full council, prior to payments.  All payments must require two signatories.  Signatories must also initial bank stubs and sign invoice to prove authorisation.  Prevents risk of fraud.  Also covered by Financial Risk Assessment, required internal audit.

5  Continuation of paper trail of payment.  Also covered by Financial Risk Assessment.

6  Only Employers Liability is mandatory of Parish Council’s although it is best practice for councils to have provision in case of Public Liability claim.  As a result of this, most Parish Council’s take out Public Liability insurance.

7  Allotments are covered by quarterly risk assessments in order to comply with the terms of our insurance policy and to mitigate any public liability claim.  BGPC adhere closely to the terms of the Allotments Act 1950 to ensure best practice. Public Liability and Loss of Revenue cover these risks.

8  BGPC insist that all contractors provide proof of both Public and Employers Liability to a minimum value of 10 million pounds.
9  BGPC carryout  quarterly risk assessments in order to comply with the terms of our insurance policy and to mitigate any public liability claim.  BGPC insist that all contractors provide proof of both Public and Employers Liability to a minimum value of 10 million pounds.

10  This is covered by the Financial Risk Assessment and the internal and external audits, as well as by the Fidelity insurance.

11  This is covered by the Financial Risk Assessment and the internal and external audits, as well as by the Fidelity insurance.

12  This is covered by the Financial Risk Assessment and the internal and external audits, as well as by Money and Assault, and Fidelity, insurance.

13  BGPC insist that all contractors provide proof of both Public and Employers Liability to a minimum value of 10 million pounds.

14  BGPC hold an Lone Working Policy, carry out quarterly Risk Assessments and hold Employers Liability Insurance.  This is also covered by the Official Indemnity.

15  BGPC operate a Lone Working Policy and also hold Public Liability to cover work carried out by the Handyman.