Risk Assessment Register
| Risk No | Subject | Date Raised | Review Date |
|---|---|---|---|
| F1 | Physical Assets | “ | “ |
| F2 | Physical Assets | “ | “ |
| F3 | Physical Assets | “ | “ |
| F4 | Loss Of Cash | “ | “ |
| F5 | Legal Liability | “ | “ |
| F6 | Security & Maintenance | “ | “ |
| F7 | Agency Services | “ | “ |
| F8 | Banking | “ | “ |
| F9 | Furniture And Amenities | “ | “ |
| F10 | Cemeteries | N/A | “ |
| F11 | Professional Services | “ | “ |
| F12 | Financial Records | “ | “ |
| F13 | Legal Powers | “ | “ |
| F14 | Employment/Inland Revenue | “ | “ |
| F15 | VAT | “ | “ |
| F16 | Budgeting Arrangements | “ | “ |
| F17 | Recording Council Business | “ | “ |
| F18 | Rights Of Inspection | “ | “ |
| F19 | Consultations | “ | “ |
| F20 | Quality Status/Potential | “ | “ |
| F21 | Proper Document Control | “ | ” |
| F22 | Register Of Interests | “ | “ |
F1 Physical Assets
| Nature Of Risk Or Subject Of Assessment | Loss of or damage to physical assets – buildings, furniture, equipment |
|---|---|
| Persons/Groups At Risk | The Council |
| Hazard/Harm Potential | Loss of income. Inability to continue to deliver expected activities or services. |
| Existing Measures Or Other Factors To Decrease Risks | Insurance – managed by Came & Co, reviewed annually by Council each November. Maintenance – carried out by contractor. All outdoor furniture and play equipment is checked regularly. Up-to-date Asset Register. Register of reported defects maintained as required. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F2 Physical Assets
| Nature Of Risk Or Subject Of Assessment | Damage to third party property or individuals as a consequence of Council providing services or amenities (free car park) to public |
|---|---|
| Persons/Groups At Risk | Third party property and individuals |
| Hazard/Harm Potential | Potential personal injury/property damage |
| Existing Measures Or Other Factors To Decrease Risk | Public Liability insurance – reviewed annually with service provider. Regular visual checks carried out by maintenance contractor – repairs carried out by suitably qualified contractors. Register of reported defects maintained as required. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F3 Physical Assets
| Nature Of Risk Or Subject Of Assessment | Risk of consequential loss of income or the need to provide essential services following critical damage, loss or non-performance by a third party |
|---|---|
| Persons/Groups At Risk | General Public and Council |
| Hazard/Harm Potential | Loss of income from amenity/car park. N/A |
| Existing Measures Or Other Factors To Decrease Risks | Loss of use of amenity by third party damage covered by insurance. Loss of income covered by insurance. Insurance reviewed annually in October each year. Periodic review of insurance provider (every five years). |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F4 Loss of Cash
| Nature Of Risk Or Subject Of Assessment | Loss of cash through theft or dishonesty |
|---|---|
| Persons/Groups At Risk | The Council |
| Hazard/Harm Potential | Loss of income resulting in disruption of amenities to the public |
| Existing Measures Or Other Factors To Decrease Risks | Cash income is nil. The Parish Council has insurance cover for loss of cash through theft or dishonesty. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F5 Legal Liability
| Nature Of Risk Or Subject Of Assessment | Legal liability as a consequence of asset ownership |
|---|---|
| Persons/Groups At Risk | General public, councillors, employees |
| Hazard/Harm Potential | Risk of personal injury or damage to third party property |
| Existing Measures Or Other Factors To Decrease Risks | Public liability cover – reviewed annually (10 million). |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F6 Security & Maintenance
| Nature Of Risk Or Subject Of Assessment | Security and maintenance of vulnerable buildings, amenities (car park) or equipment |
|---|---|
| Persons/Groups At Risk | Employee |
| Hazard/Harm Potential | Theft or vandalism by third party |
| Existing Measures Or Other Factors To Decrease Risks | All computers password protected, office locked when not in use. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F7 Agency Services
| Nature Of Risk Or Subject Of Assessment | Provision of services being carried out under agency agreements – footpath maintenance – Cornwall County Council |
|---|---|
| Persons/Groups At Risk | General public/employees/council |
| Hazard/Harm Potential | Maintenance carried out as required by partnership agreement. Physical injury to employees or public. |
| Existing Measures Or Other Factors To Decrease Risks | Council carries public liability insurance for risk of personal injury. Contract reviewed annually. Risk Assessment undertaken regularly. Maintenance workforce certificated. Maintained at level adequate to ensure delivery of service. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F8 Banking
| Nature Of Risk Or Subject Of Assessment | Banking arrangements, including borrowing or lending |
|---|---|
| Persons/Groups At Risk | Council |
| Hazard/Harm Potential | Failure of bank to provide service |
| Existing Measures Or Other Factors To Decrease Risks | The Council banks with Lloyds Bank. Minimum in current is £5000. Bank review at regular intervals. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F9 Furniture & Amenities
| Nature Of Risk Or Subject Of Assessment | Ad hoc provision of amenities/facilities for events to local community groups |
|---|---|
| Persons/Groups At Risk | Persons using the street furniture/wayside seats/play equipment |
| Hazard/Harm Potential | Personal injury/damage to Council property |
| Existing Measures Or Other Factors To Decrease Risks | Covered by Public Liability Insurance – amount of cover reviewed annually (personal injury). Damage to property covered by Hiscox (Came & Company Local Council Insurance). |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F10 Cemeteries (N/A)
| Nature Of Risk Or Subject Of Assessment | |
|---|---|
| Persons/Groups At Risk | |
| Hazard/Harm Potential | |
| Existing Measures Or Other Factors To Decrease Risks | |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F11 Professional services
| Nature Of Risk Or Subject Of Assessment | Failure to comply with Accounts and Audit Regulations – Professional Services |
|---|---|
| Persons/Groups At Risk | Council |
| Hazard/Harm Potential | Fraud and/or corruption |
| Existing Measures Or Other Factors To Decrease Risks | The Council employs an Internal Auditor as required by law. Two members of Finance Committee carry out quarterly checks of all financial records. The Council has up-to-date Financial Regulations as required by law – reviewed as required. All transactions of the Council are approved and minuted monthly. All cheques are signed by two members of Council. All transactions by cheque and each transaction is checked and authorised by the Chairman and at least one other councillor. The Council has fidelity insurance cover. The Council does not employ any other professional service. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F12 Financial Records
| Nature Of Risk Or Subject Of Assessment | Failure to keep proper financial records in accordance with statutory requirements |
|---|---|
| Persons/Groups At Risk | Council, Clerk |
| Hazard/Harm Potential | Fraud. Inability of Council to carry out its functions/services due to insufficient funds. |
| Existing Measures Or Other Factors To Decrease Risks | Approval of expenditure takes place at meetings and is recorded accordingly. Financial Regulations provide for the spending of funds by the Clerk in an emergency and for the payment of salaries and utility charges. Accounts scrutinised monthly – check sheet maintained. Regular returns are made to the Inland Revenue. All staff have contracts of employment. VAT returns are completed regularly. Quarterly accounts and expenditure against budget are monitored by the Finance Committee quarterly. Financial statements are required with grant applications. The Council has no loans. Proper minutes are maintained and master copy is kept in a secure place. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F13 Legal Powers
| Nature Of Risk Or Subject Of Assessment | Ensuring all business activities are within legal powers applicable to local councils |
|---|---|
| Persons/Groups At Risk | Council, Clerk |
| Hazard/Harm Potential | Functions undertaken outside of the law |
| Existing Measures Or Other Factors To Decrease Risks | All activities of the Council are minuted. All expenditure, income and salaries are minuted monthly and approved by resolution. Statutory legislation is recorded on minutes for functions allowed (powers/duties). |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F14 Employment & Inland Revenue
| Nature Of Risk Or Subject Of Assessment | Ensuring that all requirements are met under Employment Law and Inland Revenue Regulations |
|---|---|
| Persons/Groups At Risk | Council as employers, employees |
| Hazard/Harm Potential | Financial claims by employees against the Council. Action by Inland Revenue against Council. |
| Existing Measures Or Other Factors To Decrease Risks | All employees have contracts, job descriptions etc. and signed confidentiality clause. Employees salaries are in accordance with the National Agreement on Pay & Conditions of Service. Employees are notified of changes in writing. Salaries are calculated by Clerk and checked by the Council prior to payment being made. End of year P60s etc. completed within the timescales laid down by Inland Revenue. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F15 VAT
| Nature Of Risk Or Subject Of Assessment | Ensuring all requirements are met under Customs and Excise regulations (especially VAT) |
|---|---|
| Persons/Groups At Risk | Council, Clerk |
| Hazard/Harm Potential | Failure to comply with regulations |
| Existing Measures Or Other Factors To Decrease Risks | Clerk is trained to be aware of VAT regulations and takes advice from NALC or internal auditor if required. Council supply training if appropriate. Changes in legislation are minuted and correctly numbered and paginated. Council members are advised through the minutes of changes in legislation. Council approves the purchase of books or documents required to keep up to date. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F16 Budgeting Arrangements
| Nature Of Risk Or Subject Of Assessment | Ensuring the adequacy of the annual precept within sound budgeting arrangements |
|---|---|
| Persons/Groups At Risk | Council, Clerk |
| Hazard/Harm Potential | Failure to have sound budgeting procedures may result in individual prosecution for mismanagement of public funds. |
| Existing Measures Or Other Factors To Decrease Risks | A budget is prepared by the Clerk and the Chairman of Finance on receipt of perceived amounts from committees as required, along with actual current expenditure against budget and forecast for remainder of current year. Includes reasoning for potential increase in expenditure. Presented to Finance Committee for recommendation. Approved at full Council before submission of precept to Cornwall Council. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F17 Recording Council Business
| Nature Of Risk Or Subject Of Assessment | Proper, timely and accurate reporting of council business in the minutes |
|---|---|
| Persons/Groups At Risk | Council |
| Hazard/Harm Potential | Failure to monitor expenditure accurately. Inaccurate budget forecasting. Unauthorised expenditure. |
| Existing Measures Or Other Factors To Decrease Risks | Minutes are prepared monthly and received and adopted each month. Total expenditure, income and salaries are shown in each set of minutes. Any urgent expenditure as allowed in Financial Regulations is reported and minuted at the first available meeting. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F18 Rights Of inspection
| Nature Of Risk Or Subject Of Assessment | Failure to respond to electors wishing to exercise their rights of inspection |
|---|---|
| Persons/Groups At Risk | Clerk, Council |
| Hazard/Harm Potential | Failure to comply with Accounts and Audit Regulations resulting in prosecution |
| Existing Measures Or Other Factors To Decrease Risks | Council are informed as soon as the request for Audit comes from the District Audit and this is minuted. Papers are lodged with the Internal Auditor as required. Notices are provided by District Audit and are posted as required by law – i.e. notice to electors posted 14 days prior to the 20 working days not including bank holidays as required by law when electors may exercise their right of inspection. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F19 Consultations
| Nature Of Risk Or Subject Of Assessment | Meeting the laid down timetables when responding to consultation invitation |
|---|---|
| Persons/Groups At Risk | Council, Clerk |
| Hazard/Harm Potential | Failure to represent the electorate appropriately |
| Existing Measures Or Other Factors To Decrease Risks | Council are notified at the first available meeting of the receipt of consultation documents and advised of the response date. This is minuted. Response is made within the time limit, if appropriate. If necessary, working parties are set up to consider and draft responses. When appropriate, copies of consultation documents are kept on the Minute book and in a file maintained for that purpose. |
| Additional Controls Required | |
| Signed | |
| Name In Capitals | |
| Position | |
| Date | |
| Review Date |
F20 Quality Status & Potential
| Nature Of Risk Or Subject Of Assessment | Meeting the requirements for Quality parish status |
|---|---|
| Persons/Groups At Risk | Council |
| Hazard/Harm Potential | May not be eligible for all grant opportunities |
| Existing Measures Or Other Factors To Decrease Risks | Council is aware of the opportunities available at the present time. Council is not aware of any financial penalty for not being a Quality Parish. Council will work towards Quality Status. |
| Additional Controls Required |
F21 Proper Document Control
| Nature Of Risk Or Subject Of Assessment | Proper document control |
|---|---|
| Persons/Groups At Risk | Council |
| Hazard/Harm Potential | Risk of loss of irreplaceable documents |
| Existing Measures Or Other Factors To Decrease Risks | Minutes, payroll, banking, receipt books are all retained in a secure place. Regular back-up of payroll, accounts and other documents from the computer. Discs & USB sticks are retained in a secure place. |
| Additional Controls Required |
F22 Register Of Interests
| Nature Of Risk Or Subject Of Assessment | Register of members’ interests and gifts and hospitality in place, complete, accurate and up to date |
|---|---|
| Persons/Groups At Risk | Councillors |
| Hazard/Harm Potential | Failure to comply with Code of Conduct |
| Existing Measures Or Other Factors To Decrease Risks | Registers maintained as required. Copies of Register of Interest Form kept in safe with originals sent to Cornwall Council. Register available for public scrutiny. |
| Additional Controls Required |
This Risk Assessment adopted by Councillors of St Wenn Parish Council on 12th December 2017. Minute ref: 17.12.238.
Risk Assessment Review: Minute reference: 25.09.2531.