Policies

Risk Management Policy

Cherry Willingham Parish Council

Heading Sheet for Policies and Procedures

Name of Policy

Risk Management

Date approved by F&GP

30th October 2018

Minute No.

Item 9

Revision 1 - Date approved by Council

19/7/2021

Minute No.

2021-104 c)a)iii
 

Purpose: Recognising that “the greatest risk facing a local authority is not being able to deliver the activity or services expected of it”, this policy sets out the actions that the Council will take in order to minimise this risk.

Definition of Risk Management:  Risk is the threat that an event or action will adversely affect an organisation’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 Council while aware that some risks can never be eliminated fully, resolves to have in place a strategy that provides a structured, systematic and focused 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.

Where feasible the Council will insure against identified risks and this insurance will be reviewed annually.

Responsibilities

  • Overall responsibility for risk management rests with the full Council.

  • The Council delegates to its committees and working parties responsibility for those specific aspects of risk management which lie within their delegated areas of activity.

  • The Clerk and RFO are jointly responsible for 

  • monitoring risk and its management, 

  • drawing to the Council’s attention any changes in its risk

  • ensuring that the Council’s insurance is reviewed and renewed annually.

Internal Audit

As part of risk management the Council undertakes Internal Audit assurance testing which will include:

  • Review of internal controls in place and their documentation 

  • Review of minutes to ensure legal powers in place recorded and correctly applied 

  • Testing of income and expenditure from minutes to cashbook, from bank statements to cashbook, from minutes to statements etc 

  • Review and testing of arrangements to prevent and detect fraud and corruption 

  • Review and testing of specific controls, reporting findings to Council 

Schedule of Risks

The attached schedule has been produced to enable the Council to assess the risks that it faces and satisfy itself that it has taken adequate steps to minimise them. 

In this Schedule Column A indicates the degree of threat to the operation of the Council and/or the probability of that risk occurring:

  • H – there is a high degree of risk to the Council’s ability to deliver its services and/or there is a greater probability of such an event happening.

  • M – there is a moderate degree of risk to the Council’s ability to deliver its services and/or there is a reasonable probability of such an event happening.

  • L – there is a low degree of risk to the Council’s ability to deliver its services and/or there is a reduced probability of such an event happening.

In this Schedule Column B:

  • I indicates that this risk is covered in whole or part by the Council’s current insurance policy.

  • Where the column is blank this risk is not covered by insurance.

In this Schedule Column C indicates to which committee or working party the Council has delegated responsibility for monitoring and managing a particular risk, for notifying it of any increased risk in those aspects, and for advising it on action to manage this increased risk:

  • C – Full Council

  • F&GP – Finance & General Purposes Committee

  • HR– Human Resources Committee

  • PC – Planning Committee

  • L&A – Leisure and Amenities Committee

  • VIC– Village Improvement Committee

  • CFC-Cherry Fields Committee

Cherry Willingham Parish Council – Risk Management Schedule
            
  A RISK MANAGEMENT REVIEW B C
1 L Damage to burial ground or other issue which might affect service provision Regular inspections and remedial action     L&A
2 M Lone working by staff Lone Working Policy in place Annual review of policy   HR
3 H Accident to staff and volunteers as a result of performing their duties Health & Safety at Work policy in place Annual review of policy   CFC
4 M Ensuring all requirements met under employment law Unfair dismissal claims Contracts of employment for all staff, systems of updating records for any changes in relevant legislation Grievance and Appeals procedure Regular 1 2 1 s Staff Development Scheme Staff training   HR
5 H Damage to third party property or individuals Risk to third party as a consequence of providing a service Public Liability Insurance Annual check on level of cover in place (RFO) Minuted system of complaints received and action taken I F&GP
6 M Protection of Council property, furniture and equipment Property Damage Insurance All Risks Insurance Up to date Asset Register Regular Maintenance of equipment Annual PAT Testing of electrical small appliance, alarms and fire extinguishers, regular H&S checks Annual check on insurance values (RFO) Asset Register (Year end) Use of Qualified Technician, use of reputable insurance provider, and qualified electrician I F&GP
7 M Insolvency of insurance company Use of one of the largest companies providing specialist cover for Councils Free legal service and advice from National Association of Local Councils and Lincolnshire Associations of Local Councils Regular review of insurance providers   F&GP
8 L Legal liability as a consequence of asset ownership Public Liability Insurance Annual check on level of cover in place (RFO) I F&GP
9 L Loss of cash through theft or dishonesty Money (in premises or in transit) No petty cash is held. Cash received from events or other payments to be held in Locked Safe until banked. Annual check on level of cover in place (RFO) including Fidelity i.e. theft by dishonesty I F&GP
10 M Procedures in place for recording and monitoring members’ interests, gifts and hospitality received Register of Interest completed by each Member of the Council Disclosure of interest register kept listing any interests, gifts and hospitality received Disclosure of interests to appear as an item on the agenda as a prompt to members Internal audit check Register of Interest kept by Clerk Ensure all Members aware of need to complete Registers. NB – This is the responsibility of individual Councillors.   F&GP
11 M Misconduct of members CWPC is signed up to WLDC's Code of Conduct      
12 M Keeping proper financial records in accordance with statutory requirements Regular scrutiny of financial records and approval of pending expenditure Records kept in accordance with Accounts and Audit Regulations Financial Regulations accepted as fit for purpose every May Annual Meeting Annual Internal and External Audit Procedures in place and followed   F&GP
13 M Ensuring all requirements met under Inland Revenue regulations Salaries paid in accordance with adopted scales Regular returns to Inland Revenue; Systems of updating records for any changes in relevant legislation Annual Staffing Review Annual Internal and External Audit   F&GP
14 M Failure of Computer system - Hardware - Software Regular Back up and documents kept on Cloud Google Drive.Surge protector Clerk and RFO review provision and recommend further action   VIC
15 H Virus infection & hacking threats including ransomware Virus protection using anti-virus software with regular updates.Staff to take care not to open suspicious emails and not to download software from unofficial sites. Clerk to ensure that all CW council owned computers have active and up to date anti-virus software installed. Clerk to call on external expertise if infection is suspected.   VIC
16 L Banking Arrangements Regular bank reconciliations All payments in line with Financial Regulations Regular monitoring reports Annual Internal and External Audit   F&GP
17 L Loss of Income, or the need to provide essential services Contingency fund Level agreed as part of annual budget process   F&GP
18 L Ensuring all requirements are met under HMRC Regular returns to HMRC Training in matters of VAT and other taxation issues as available Membership of LALC who provide updates   F&GP
19 L Ensuring adequacy of annual precept and control Approval of budget by full Council on the advice of F&GP Regular budget monitoring report to Finance Committee and full Council   F&GP
20 M Ensuring all business activities are within legal powers applicable to local councils Use of committee budgets to allocate expenditure Councillor and staff training Regular monitoring reports Internal audit External audit   F&GP
21 L Ensuring proper use of funds granted to local community groups under specific powers or under 137 Identification of items paid under Section 137 and reported in the Annual Accounts Annual External Audit   F&GP
22 L Breach of Confidentiality Registration under the GDPR Procedures for dealing with confidential data Passwords on computer systems changed Appropriate Standing Order for Members Item on each agenda for considering items to be taken in private session   F&GP
23 L Failure to respond to electors wishing to exercise their rights of inspection Minutes on notice board Advertising of end of year accounts and available for inspection to the public as required under the Accounts and Audit Regulations Freedom of Information Publication Scheme Minutes published on Website Financial Information published on Website Notice of Appointment confirmation signed and returned to Auditors Agenda consideration at each meeting Officer Awareness Training   F&GP
24 L Document control – correspondence, storage and filing, etc Correspondence date receipted Filing systems in secure office Confidential papers in lockable drawers Regular review of need to retain documents and other records Electronic archiving of minutes etc Legal documents in safe storage Periodic overhaul of filing system and files stored or archived. Secure disposal of confidential documents by shredding. Regularly change the code to key safe where external door key is kept.   F&GP
25 M Provision of amenities/facilities for occasional use by third parties and community groups Conditions of Hire in place for use/hire of amenities/facilities by third parties and community groups Appropriate legal agreements Current public liability insurance document on display Health and Safety Issues highlighted   F&GP
26 L Personal Accident to Members, Officers and Volunteers. Assault to Officers Personal Accident cover incl Assault cover . Employer’s Liability cover. Libel and Slander cover Annual check on level of cover in place (RFO) Advice to Members I F&GP HR
27 H Damage to and safety of play equipment Monthly inspections and reports Annual external inspection report Monitoring of these reports Action to rectify any problems I L&A and CFC
28 H Damage to and safety of seats and bus shelters Regular maintenance Claims for costs pursued whenever possible Check seats and shelters and report any problems to Clerk Reports from members of the public I VIC
29 L Meeting timetables as laid down when responding to consultation invitations Consultation documents presented to next appropriate Committee/Council meeting to formulate response Action so agreed is minuted   C
30 L Meeting timetables for responding to planning applications Consultation documents presented to next appropriate Committee/Council meeting to formulate response Action so agreed is minuted   PC
31 L Proper, timely and accurate reporting of Council business in minutes Minutes properly numbered with a master copy kept in safekeeping Minutes circulated Minutes approved and signed at next meeting of Council Internal Audit check   C
32 M Security of Millennium Hall Fire alarms, provision of Fire extinguishers. Surveillance Camera. Secure locks and annual review of security. Record of key holders Annual servicing of alarm Fire protection equipment   VIC
33 L Changes to legislation and procedures Provide effective training for Staff and Councillors Membership of LALC Provide adequate budget for staff and Councillor training Standing Orders accepted as fit for purpose at each May Annual Meeting   F&GP
34 L Supplies and Services provided to the Council in accordance with Standing Orders and Financial Regulations Policies and procedures in place for all procurement Periodically reviewed   F&GP
35 H Damage to Cherry Fields that may cause injury to users Regular inspections & H&S review Annual bike track inspections and regular monitoring of area.   CFC
36 H Damage to Allotments that may cause injury to users. Use of pesticides that may cause harm or injury to site or users. Regular inspections of site and plots. Maintain list of allotment holders and ensure payments made. Tenancy agreements issued and signed detailing what can be used on site.   VIC
37 H Damage to Tanfaine that may cause injury to others. Regular inspections of area leased to graze horses to ensure they cannot escape. Regular checks to fencing. Check when new grazing lease signed that Liability insurance is held by tenants. Copy to be retained   VIC
38 L Loss of Key Employees Contingency plan needed : Both Clerk and RFO to be able to fulfil essential duties e.g. access to online banking, salary payments, burials procedures. Raise and regularly review Contingency Plan. Provide Training when necessary   F&GP and HR
39 L Loss of Parish Office Material Loss is covered by Insurance. Contingency Plan needed for short term practical solution. Raise a plan and keep it under review.   VIC
40 M Health and Safety Issues at Parish Council run Events Risk Assessments to be completed prior to an event Risks to be identified and mitigated where possible prior to the event   Group or C'tee responsible