Policies

Risk Assessment

     MARSHCHAPEL   PARISH  COUNCIL     
    Risk Assessment    
         
Subject/Risk  Level Management/Control Review/  Assess Action by
Business Continuity        
Risk of Council not being able to continue its business due to an unexpected of tragic circumstance Low  Long term incapacity of Clerk (more than 3 months) would be covered by appointment of temporary Clerk. Short term illness covered by re-schedule of meeting or if urgent, urgent businesss transacted and minutes taken by a Councillor.  Existing procedure - adequate.   
Risk of Council not being able to continue its business due to an unexpected circumstances ie pandemic med/high Upon legisilation from Government, PC have knowledge and capacity to hold virtual remote meetings via the Zoom App. Existing procedure - adequate.  Clerk
  Low  Loss of computer records - monthly back-up taken and stored off-site.   Adequate   
  Low  Full or majority replacement of the Council at an election or other such instance. Ongoing plan necessary Chair/Vice
Precept        
Adequacy of precept Low PC receives regular budget updates, including actual position, projected position to year end and indicative figures.  Requests for financial aid are required in month prior to setting of precept. Adequate  
Requirement not submitted to ELDC Low See above, alternative arrangements would be made if meeting unable to go ahead Adequate  
Amount not received by ELDC Low Chair would action Adequate  
Financial Records        
Inadequate records and financial irregularities Low The Council has Financial Regs. which set out the requirements. Adequate  
Bank and banking        
Inadequate  checks Low The Council has Financial Regs. which set out the requirements. Adequate  
Bank mistakes Low Bank statements monitored monthly and to be initialled by Chair as corresponding to financial position as submitted by Clerk at monthly meeting. Adequate  
Cheques Low Payments banked within 7 days.  Cheques require 2 signatures - 3 Cllrs + Clerk currently authorised.  Cheque stubb in cheque book to also be initialled by two signatories. Adequate  
Payment of cheques        
Invoice payments Low Cheques prepared in payment of invoices.  Chairman to initial invoice  amount on original invoice. Adequate  
Reporting and auditing        
Information Low A monitoring statement is emailed with Agenda to each Cllr which is discussed at meeting Adequate  
Compliance Low Annual audit - both internal and external. Adequate  
Grants and support payable        
Power to pay Low Council approval given to all payments Adequate  
Authorisation to pay Low Council approval given to all payments, minuted and listed accordingly. Adequate  
Playing Field        
Receipt of rental Med No rental received, if necessary Clerk would collect    
Insurance Implication Low Proof of insurance from hirer required before renting Adequate  
Allotments        
Receipt of rental Low Invoiced and paid half yearly. Adequate  
Best Value        
Work awarded Low The Council has Financial Regs. which set out the requirements. Normal practise is to seek more than one quote, (if possible three) for substantial work, however due to specialised nature of some work this is not always possible. Adequate  
Salaries and assoc. costs        
Salary paid incorrectly Low Salary rates assessed annually & paid in accordance with LALC directives from 1st April each year.                   Salary slips produced by clerk together with schedule of payment to Inland Rev. (Tax & NI).  Tax and NI worked out using Inland Rev computer programme which is updated annually.  All Tax & NI payments are submitted to IR using real time submission and on the Annual Return Adequate  
Cllr allowances and expenses        
Allowances made Low No allowances are allocated to Parish Councillors.          Expenses are paid on production of receipt.  Fuel paid in accordance with LALC directive. Adequate  
Grants and support S137        
Power to pay Low Approval obtained and minuted if S137 payment made Adequate  
Election costs        
Risk of cost Low If an election is to be paid for by PC, which is a democratic process and should not be stifled, sufficient money is available in the contingency fund to pay for this and the money would be recouped in the next financial  years precept. Adequate  
VAT        
Re-claiming Low The Council has Financial Regs. which set out the requirements. Adequate  
Annual Return        
Submission within time limits Low The Clerk completes the Employers Annual Return online and submits to the IR within the prescribed time frame. Adequate  
Minutes and Agendas        
Accuracy and legality Low Minutes and agendas are produced by Clerk and emailed to all Cllrs, usually within two weeks of meeting and adhere to legal requirement. Agendas are emailed one week prior to meeting.  Minutes are approved and signed at next Council meeting.  Minutes and Agendas are displayed on Council web site.   Adequate  
Business conduct Low Business conducted at meeting managed by Chair. Adequate  
Members interestsM        
Conflict of interest Low Members declare interest at each meeting Adequate  
Register of interest Low Register regularly reviewed Adequate  
Insurance        
Adequacy  Low Reviewed annually Adequate  
Cost Med Two quotes obtained Adequate Clerk
Freedom of Information Act        
Provision Low No requests have been made for information to date.  Clerk is aware of implications if substantial request is made and a fee would be payable Monitor and report any requests made Clerk
Assets        
Loss & damage Low Report received each meeting Adequate  
Maintenance        
Risk of damage Low Repairs carried out as requested.  Assets insured against willful/accidental damage. Adequate  
Street furniture        
Risk damage/injury to third parties Low The PC is resposible for wayside seats. A visual inspection is carried out and faults and damage is reported at the next meeting to be dealt with. Inadequate. Schedule will be drawn up for filing Clerk
Meeting location        
Adequacy Low The meeting room is adequate and complies with Health and Safety. Adequate  
Council Records - paper        
Loss through fire Low The PC records are stored in the purpose built PC Office.  Records include historical correspondence, minute books, deeds, planning applications and personnel records etc. Adequate  
Council Records -electronic         
Loss Low Monthly backps are taken on the PC disk drive  and the PC records are held on a portable hard drive. All PC records now held on separate hard drive. Adequate  
         
Update 27.02.12   Ref:  IB/PP    
Update 2.3.14        
Update 10.05.16   Checked &  no update 03.06.2017    
update 3.4.18   update 30.6.2020