Sheviock Parish Council Risk Assessment Schedule covering operation of the Parish Council to fulfil its duties.

Transcription

1 The Bill Warren Room, Sheviock Memorial Hall, Crafthole, Torpoint, Cornwall, P11 3DG Clerk: Mrs inda Coles Telephone: Sheviock Parish Council Risk Assessment Schedule covering operation of the Parish Council to fulfil its duties. 1

2 Business Activity Business continuity Meeting locations Risks identified Council unable to continue its business due to unforeseen extreme circumstances Adequacy of health and safety. Risk evel H/M/ Management Procedures to control risk 1. All files and recent records kept in locked filing cabinets in office at Sheviock Memorial Hall, Crafthole. 2. The Clerk backs up all electronic files monthly and keeps back-up at home. 3. The Clerk runs duplicate systems on the office computer and on the laptop computer. 4. Microsoft one drive synchronised to give continuous cloud back-up. 5. ist of all passwords held by the Chairman in the Chairman s Pack. 6. All documents in and out scanned and copied /copied to all councillors as additional backup. 7. Unexpected incapacity of Clerk covered by Councillors until solution agreed after discussion with CAC and Cornwall Council, with funds available to pay for ocum Clerk. 1. Normal meetings are held in the Sunday Schoolroom of the Methodist Chapel, Crafthole. Premises and facilities including disable access considered to be adequate for the Clerk, Councillors and any member of the public who may attend. Nevertheless, any member of the public with a disability who wishes to Review and/or extend 1. Review and check backup process and passwords annually. 1. Both Memorial Hall and the chapel committee to be asked annually for copies of their Fire equipment Certificates and copies of checks to electrical systems. 2

3 Council Records oss through theft, fire or damage attend a meeting will be advised on the agenda published on the website and on notice boards, to contact the Clerk in advance of that meeting. 2. Parish Meetings and other ad hoc meetings can be held in Sheviock Memorial Hall. Premises and facilities including disable access considered to be adequate for the Clerk, Councillors and any member of the public who may attend. 3. Clerk works from the Bill Warren Room at Sheviock Memorial Hall. Premises and facilities including disable access considered to be adequate for the Clerk, Councillors and any member of the public who may attend. 4. Key access to the three locations can be obtained from a number of sources within the village of Crafthole including Mike and Barbara Snowling and yn Vickery for both meeting rooms, additionally Jenny Bushrod and the Community Shop (during opening hours) for the Methodist Chapel and additionally Thelma Wells for the Memorial Hall. 1. Papers held in locked filing cabinets in Bill Warren Room of the Memorial Hall. 2. All papers received are scanned and circulated to Councillors and Plus copies of updated risk assessments as and when alterations to the buildings occur or activities change. 2. Parish Council have all electrical equipment owned by the Council PAT tested annually. 3. Spare key for the Bill Warren Room held by the Chairman in the Chairman s Pack. 1. Review and check backup process annually. 3

4 electronic copy held by Clerk which is backed up monthly and held remote from the office at home. FINANCE Business Activity Risks identified Risk evel H/M/ Procedures to control risk Precept Inadequate precept M 1. Precept agenda item for November meeting each year. 2. Annual budget reviewed and current year values considered when estimating precept. 3. Three-year outline rolling budget maintained which incorporates projected level of Precept 4. Financial reserves policy adopted to cover difference between replacement and depreciated value of assets, long term sickness cover for Clerk and liabilities from devolution assets. 5. Precept set at January meeting monthly review and reconciliation of budget and expenditure. Insurance Adequacy and M 1. Review cover against asset register compliance annually. 2. Employers iability Public iability and Fidelity risks cover required. 3. Review cover against public liability of car park, toilets, playground and footpaths leased by Sheviock Parish. Review and/or extend Review precept requirements annually both for following year and projected for next 3 years. Review provision and compliance annually. Provide insurers with up-to-date asset register annually. Banking Inadequate checks 1. Detailed Financial Arrangements in place that define cheque signing Financial Regulations reviewed Annually by 4

5 Cash Financial Controls and records oss through theft or dishonesty Inadequate checks oss of records arrangements, approval of cheques for payment, electronic payments and reconciliation of accounts. 2. Bank reconciliation completed at monthly council meetings and signed off. Two councillors involved and rotated each month. 1. No petty cash or float is held by the council. 2. Any cash transactions are fully receipted and then reimbursed monthly by cheque listed and documented in the Minutes of the Parish Council. 3. Car Park income checked through confirmation by Clerk of sequential dates on printout from ticket machine for each collection and then through reconciliation of ticket machine receipt and number of weekly tickets issued with bank receipts from deposit stubs or bank account statements. 1. Three monthly reconciliation of accounts and budget prepared by the RFO and checked by the Chair of the Parish Council and published on the website. 2. Monthly bank reconciliation approved by 2 councillors independently at every Parish Council meeting; different a councillor and by the Clerk. Financial Regulations reviewed at the Annual Parish Council Meeting. Car park income signed off by chairman every 3 months. Financial Regulations reviewed at the Annual Parish Council Meeting. 5

6 Payment statutory and NI. of PAYE Failure to pay statutory amounts M councillors to apply the check at each meeting. 3. Two signatures required on cheques. 4. Two authorised approvals required for electronic payments 5. Internal and external audit annually. 6. Power of Competency payments will be recorded at the time of approval and comply with the current legislation. 7. Any grants will conform with the Parish Council s Grant Awarding Policy 1. Estimated salary of every employee compared with the personal tax allowance threshold and the NI threshold. 2. If the lower of either threshold will be exceeded then statuary PAYE and NI deduction scheme will be followed. Check annually that PAYE and NI deduction scheme has been implemented. Freedom of Information Act Statutory policy requirements 1. The Council has a Model Scheme for publication in place. 2. The Council can obtain payment for providing hard copy but is aware that a significant request under FoI legislation could place a financial cost on the Council. 3. Requests for information by the Monitoring Officer have been limited under the Council s Code of Practice for dealing with Complaints. Monitor and report annually any costs incurred under FoI enquiries. Review the FoI Policy annually. 6

7 Clerk oss of Clerk Fraud Actions M 4. Document retention complies with the NAC/CAC model. 1. Include contingency reserve to cover advertising and training costs. 2. Financial regulations and checks to contain risk with self-cover of risk. 3. Provision of funds for training as required. Financial Regulations reviewed Annually. Financial Parish Council Meeting. Maintain membership of CAC and SCC and monitor training needs at annual review. Correct salary payments allocated 4. Annual internal audit to confirm payments made. Pension Election Costs Not complying with statutory requirements Unplanned election mid term Annual return Not submitted within time limit 1. Maintain Sheviock Parish Council on register of eligible organisations 2. If any employee s salary exceeds the tax free allowance, then implement the pension scheme requirements. 3. If any employee requests in writing to be included in a pension scheme, then implement the pension scheme requirements. 4. Include contingency sum for employer pension contribution in annual budget and precept. H 5. Include sum within contingency reserves to cover election costs at 1, Annual return completed by clerk and approved by Council. Ensure completed as an Agenda item at May meeting of Council. 7

8 2. Internal Auditor checks and approves before submission to external auditor. Assets Business Activity Office equipment, Seats, Playground equipment, and Parish pump. Risks identified Risk evel H/M/ Procedures to control risk Damage Asset register kept up to date with appropriate insurance cover. Regular maintenance of equipment. Review and/or extend Car Park, toilets and playground equipment Wear and tear leading too damage M Monitor regularly to identify deterioration at early stage when repair will be less costly. Agenda item quarterly to confirm proscribe checks have been completed Business Activity egal Powers Risks identified Illegal activity or payment Minutes/agendas Non compliance with statutory requirements Risk evel H/M/ IABIITY Procedures to control risk 1. All activities and payments made within the powers of the Parish Council. 2. Training provided to the Clerk as required. 3. Commitment by councillors to attend training as required. 1. Minutes and agendas produced to comply with legal requirements 2. Minutes are signed and approved at next meeting. Review and/or extend Monitor annually though review of financial regulations and training requirements. Annual review of training. 8

9 Public iability Claim from third party resulting from perceived noncompliance with safety by the Council Weekly (in-season) and monthly (out of season) checks on lifebelts not completed. 3 monthly checks of car park not completed or defect exceeding safety standards not repaired within time scale specified in policy. 3. Current recommended Standing Orders and Code of Conduct adopted. 4. Business conducted at Council meetings managed by the Chairman. 1. Insurance in place. 2. Risk assess any events organised by the Council 1. Council member takes responsibility each year at the Annual meeting to carry out the task of checking, which includes arranging cover if away. 2. Responsible councillor s Clerk each week/month to confirm check has been completed. 3. Clerk records date of check in a spreadsheet to provide audit trail 1. Standards of defects and recoding used by Cornwall Council adopted. 2. Council member takes responsibility each year at the Annual meeting to carry out the task of checking, which includes arranging cover if away. 3. Responsible councillor s Clerk every 3months to confirm check has been completed and supplies photographic record for Clerk to store. 4. Clerk records date of check in spreadsheet to provide audit trail Review Insurance requirements annually. Agenda item for reporting at quarterly meetings of parish council Agenda item for reporting at quarterly meetings of parish council 9

10 Annual Inspection certification Playground equipment completed. Weekly inspection playground equipment completed. RoSPA and of not visual of not 6 monthly inspections of footpaths leased to Sheviock Parish Council not completed. 1. Record in minutes of first meeting after inspection completed outcome of inspection 1. Council member takes responsibility each year at the Annual meeting to carry out the task of checking, which includes arranging cover if away. 2. Responsible councillor s Clerk each week to confirm check has been completed. 3. Clerk records date of check in spreadsheet to provide audit trail Councillor responsible for Footpaths surveys footpaths leased to Sheviock Parish Council for general safety at 6 month intervals and s clerk to confirm checks have been completed. 2. Signs in place to warn of uneven surface. 3. Clerk records date of check in spreadsheet to provide audit trail. 1. Undertake training of Clerk and seek advice from CAC. Employer iability Non compliance with employment law egal iability egality of activities M 1. Training of Clerk to advise on decision making process. Report at annual Parish Council Meeting. Agenda item for reporting at quarterly meetings of parish council Agenda item for reporting at quarterly meetings of parish council Review training requirements at 10

11 Members Interests 2. Retention of appropriate documentation. 3. Accurate minutes. 4. Member liability cover included in Insurance Policy. Conflict of interest 1. Councillors aware of Code of Conduct. 2. All Councillors to attend training on Code as made available from Cornwall Council and/or CAC. 3. Councillors agree formally to abide by the 10 principles of public life on an annual basis at a parish council meting annual review of Clerk. Remind councillor s liability cover for slander and libel only covers council policy, not personal views, or statements made as a councillor that our contrary to council agreed policy. Review training requirements for Councillors annually. Councillors to review their Register of Interests at 6 monthly intervals, January and July Annual Review Business Frequency of Responsibility Comments Date ast Reviewed Activity review Insurance Annually Clerk April/May 2016 Assets inspection Annually Clerk April 2016 Update Asset Annually Clerk April 2016 register Banking Annually Clerk May 2016 Arrangements Insurance providers Annually Clerk April/May

12 Budget agreed Annually Council December 2015 Precept agreed Annually Council December 2015 Budget monitored 3 Monthly Chairman September 2016 Bank 3 Monthly Chairman September 2016 reconciliation Review of Annually Council May 2016 financial regulations Review of Annually Council May 2016 financial risk register Members register January and July Clerk Agenda item for January and July July 2016 of interests Members reminded of limit Annually Clerk July 2016 of liability for slander and libel Clerks review Annually Chairman and Vice-Chairman Nov 2015 Clerks salary Annually Council April 2016 reviewed and documented Internal Audit Annually Clerk Completed and sent to Internal Auditor April 2016 External Audit Annually Clerk Completed and sent June 2016 Minutes properly Monthly Clerk Monthly produced and published Standing Orders Annually Council May 2016 Reviewed 12

13 Back-ups taken of all computer records Review back-up process Check passwords and key access current Contracts of employment Contracts indemnity insurance Written contracts for work Contract procurement Monthly Clerk Monthly Annually Chairman June 2016 Annually Chairman June 2016 Annually Council Clerk reviewed August 2015, Dog warden April 2016, Cleaner reviewed April 2016 Check as new contracts awarded As new contracts tendered Register with Contract Finder Clerk Clerk/Council Clerk 1. Review contracts and if over 60,000 advertise on Contract Finder. 2. Publish note of contracts awarded between 25,000 and 60,000. Grass tenders: to obtain contractors copy of public liability certificate of at least 2m completed April 2016 As new contracts tendered Review compliance with legislation annually. Code of Conduct Annually Council May 2016 Register of Every 6 months Jan Clerk Completed Jan members interests and July 2016and July 2016 Register of gifts Monthly Clerk Has and will continue to be completed monthly at each parish council meeting and 13

14 Declarations of interests recorded in the minutes recorded in the minutes monthly Monthly Clerk Has and will continue to be completed monthly at each parish council meeting and recorded in the minutes monthly Annually Clerk/Chairman Councillors April 2016 Clerk Nov 2015 Review of Councillor and Clerk training requirements and record Policies, Annually Council May 2016 procedures and Codes of Practice The information given above is to be reviewed annually in May (Minute reference: Item 13, page7, (9 th May Meeting), Refers) and agreed upon at the Annual Parish Council Meeting of the Sheviock Parish Council held in May each year or later meeting as agreed as being a correct record. Chairman Clerk inda Coles, August