Risk Management Scheme

Risk Management Scheme

This policy was adopted by the Council at its meeting held on 27th February 2019 – Minute Ref. 19/27b.  To review annually.

The management of risk is an important part of the Council’s work; making sure that the people who use our facilities are safe, giving the staff the protection to get on with their work, and protecting the assets that the Council hold. Risk assessment happens all the time, but once a year, the Council brings the information together and collates it in a single document.

Risk assessment is a systematic general examination of working conditions, workplace activities and environmental factors that will enable the Parish Council to identify all potential inherent risks.  The Parish Council, based on a recorded assessment, will take all practical and necessary steps to reduce or eliminate the risks, insofar as is practically possible.

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

Risk Area



Control Measures

Review Frequency


Business Continuity Risk of Council not being able to continue its business due to an unexpected or tragic circumstance Low All files and recent records (both paper and electronic) are kept at Clerk’s Office. The Council has a secure online backup system that backs up files as they are created or changed. There is also a local external hard drive in the likelihood of difficulties with online storage. Location of the WBPC password book is known to the relevant Council members & staff. In the event of the Clerk being indisposed the Hall Administrator would provide administrative support. Review when necessary, at least annually. Ensure procedures listed are undertaken. Parish Clerk
Meeting location Adequacy of Health & Safety Low Meetings are held in the John Lampon or Orpen Hall at the Orpen Memorial Hall Complex. The Clerk, Chair and Vice chairs hold keys to the building in the event of her being indisposed.

The building is under the sole Trusteeship of the Parish Council and therefore all risk assessments with regards the safety of the building are regularly carried out. Both halls considered to be satisfactory from a health & safety, accessibility and comfort aspect for the clerk, Councillors and public who attend.

Health & Safety notice for the premises is displayed in the hall.

Existing procedure adequate.

Annual review of Risk Assessments related to Hall carried out.

Parish Clerk
Loss of meeting space due to fire, flood or damage to building Low Existing business interruption insurance would cover the costs of having to meet elsewhere, for example at the Church Hall. Existing procedure adequate. Parish Clerk
Council Records Loss through theft, fire, damage Low Current records are held in the Clerk’s office, an annual risk assessment is carried out of the premises.

Archived records are held upstairs in the Orpen Hall, the keys to which are only held by the Clerk and in the secure key box in the Hall Administrator’s office. Original deeds & legal documents are held at the Essex Records Office.

Annual review Parish Clerk
Council Records (electronic) Loss through damage Med The Parish Council’s electronic records are stored on the council’s laptop. The council has a secure online backup system which backs up files on a daily basis. There is also a local external hard drive in the likelihood of difficulties with online storage. Council laptop has anti-virus software installed on it. Regular review Parish Clerk
Insurance Adequacy, cost, compliance

and Fidelity Guarantee

Low An annual review is undertaken of all insurance arrangements in place.

Employers Liability, Public Liability and Fidelity Guarantee are statutory requirements.

Policy updated as new assets added.

Review provision and compliance annually prior to policy renewal. Parish Clerk

Parish Council

Precept Adequacy of precept Med Sound budgeting to underlie annual precept determination. Councillors receive monthly statements of how the accounts are performing against budget. This provides simple analysis and tracking and when the budgets are prepared in November the RFO works with each committee to determine the budget for the next year prior to making a recommendation to the full council in January for approval of the final precept figure. Existing procedure adequate. Parish Clerk


Parish Council

Precept not received or reduced from January’s projected figures Low Reserves value is held at three-month’s expenditure operating as a minimum Existing procedure set to mitigate risk RFO
Banking Financial irregularities Low The Council has Financial Regulations which set out the requirements for banking, cheques and internal audit. Existing procedure adequate.

Review provision and compliance.

Internal auditor appointed annually.

Electronic banking procedure in place.

Parish Council


Parish Clerk

Electronic banking Low Two-person step process required for online banking. Chair acts as third person if required.

RFO checks bank statements monthly against approved expenditure.

Cash Loss through theft or dishonesty Low Monthly reconciliation prepared by clerk and checked by RFO, then Finance Committee.

External & Internal audit undertaken.

Two signatories on cheques.

Internal and external audit undertaken.

All payments must be detailed in the

financial reports presented to the

Finance & General-Purpose Committee and then full Council.

All cash deposited at bank or P.O. as soon as possible.

Petty cash is no greater than £100 and the

cash float is kept in a secure location. Petty cash voucher issued for each transaction.

Existing procedures adequate

Annual review of Financial Regulations

Petty Cash Procedure in place.

Parish Clerk


Parish Council

Employees Loss of Clerk Med In the event of the Clerk resigning or long-term illness, EALC could provide temporary clerk who could cover interim. Membership of EALC maintained, where bank of temp clerks held.

Monitor working Conditions.

Existing procedure adequate.

Parish Clerk
Fraud Low The requirements of Fidelity Guarantee

insurance must be adhered to. Internal procedures in place.

Actions undertaken Low Staff should be provided with relevant

training, Clerk should also have reference books, access to assistance and legal advice.

Use of council equipment Low Staff should be provided with relevant training whenever new equipment is purchased, and risk assessments carried out, where necessary.
Salary paid incorrectly Low Payroll is outsourced.
Payroll Breach of employment laws including NI and tax Low Procedures in place. Members of NALC &

EALC who provide updates for review by the

Finance & GP Committee. Payroll is outsourced to a payroll company. Handymen’s timesheets kept. Annual Leave forms kept up to date for all staff.

Annual Audit carried out by Internal Auditor. Parish Clerk

Parish Council

Election Costs Risk of election cost


Risk in an election year.

There are no measures, which can be adopted to minimise risk of having a contested election.

Costs are budgeted for each election year. CBC monitoring officer advice sought annually on potential election costs. Any additional costs would be met from general reserves.

Existing procedure adequate. RFO

Parish Clerk

Risk of election to fill a casual vacancy. Med
VAT Re-claiming/ charging Low The Council has Financial Regulations which set out the requirements. VAT recovered at least every three months, including Feb just prior to end of financial year. Existing procedure adequate. Parish Clerk
Annual Governance and Accountability Return (AGAR) Not submitted within time limits Low AGAR is completed and submitted to Internal Auditor for checking. Approved by the

Council and signed before being sent on to the External Auditor within time limit. Clerk prepares a timetable for submission. Update provided to Finance & GP Committee at all monthly meetings prior to approval by External Auditor.

Existing procedure adequate. Parish Clerk
Legal Powers Illegal activity or


Low All activity and payments made within the

powers of the Parish Council (not ultra vires)

and to be resolved and clearly minuted. Clerk to ensure appropriate powers are available.

Existing procedure adequate. Parish Council

Parish Clerk

Illegal decisions being made Low Ensure clear terms of reference are in place for each committee and working parties.

Financial Regulations in place.

Agendas/ Minutes /Statutory documents Accuracy and legality. Non-compliance with statutory



Minutes and agendas are produced

in the prescribed method and adhere to

legal requirements.

Minutes are approved and signed at

next meeting unless there is a resolution

made to defer approval until the following


Minutes and agendas are displayed

according to legal requirements.

Business conducted at Council meetings

should be managed by the Chair

according to Standing Orders.

Existing procedure adequate.

Undertake adequate training.

Members to adhere to Code of Conduct and Standing Orders.

Parish Clerk

Parish Council

Public Liability Risk to third party, property or individuals Low Insurance is in place. Risk assessment of any

individual events undertaken e.g. Village Fete.

Existing procedure adequate. Parish Clerk
Employer Liability

Employee Liability

Councillor Liability

Non-compliance with employment law

Causing injury (damage) to

Employee property

Causing injury (damage to





Undertake ongoing training to ensure

Finance & GP Committee are aware of current legislation. Seek advice from the Council’s insurance company where required.

Employer’s Liability insurance in place.

Insurance cover in place.

Insurance cover in place.

Existing procedure adequate. Parish Clerk

Parish Council

Legal Liability Legality of activities Low Clerk to clarify legal position on proposals

and to seek advice if necessary.

Existing procedure adequate. Parish Clerk
Proper and timely reporting via Minutes Low Council always receives and approves

minutes at meetings. Where possible

minutes are circulated shortly after the


Proper document control Low Retention of document policy in place
Freedom of Information and Data Protection Policy Provision Low-Med The Council has the following documents in


§  Information & Data Protection Policy

§  Publication Scheme

§  Document Retention & Disposal Policy

§  Privacy Notices

§  Data Consent Form

§  Freedom of Information Access Guide

§  CCTV Policy

Council is registered with the Information Commissioner.

Monitor and report any impacts made under the freedom of information and data protection.

Regular policy reviews.

Parish Clerk
Councillors Propriety
Members Interests Conflict of Interest Med Councillors have a duty to declare any interest at the start of the meeting or when a conflict becomes apparent during a meeting. Existing procedure adequate. Parish Council

Parish Clerk

Register of Members Interests Low Register of Members Interests form to be reviewed at least on an annual basis. Clerk responsible for ensuring all new Councillors register their interests. Members to take responsibility to update their register.
Council Reputation
Councillor and staff Bringing the Council into disrepute Med

Councillors understand and receive training on the Code of Conduct.

A professional approach is undertaken on all Parish Council matters.

Members to identify any training needs. Parish Clerk

Parish Council

Street furniture and office


Damaged bins, village sign, beacon, notice boards, bus shelters and benches etc. Low An asset register is kept up to date, reviewed on an annual basis and insurance is held at the appropriate level for all items. Regular checks are made on all equipment by Parish Council staff. Existing procedure adequate. Parish Clerk

All Staff

Recreation areas
  • Lorkin Daniell Playing Field
  • Poor’s Land
  • Allotments
  • Village Green/Heath
  • MUGA/Tennis Courts
Low Areas regularly inspected by appropriately trained Councillors and staff. Annual recorded inspections undertaken. Parish Council

All Staff

Village Hall & Storage Areas Risk of damage or fire Low-Med Regular checks carried out by appropriately trained Councillors and staff. Adequate insurance cover against fire & damage. Adequate inspections undertaken. Parish Council

All Staff

Maintenance Low Orpen Hall Management Committee and Hall Administrator regularly inspect the hall for maintenance needs. Routine maintenance agreed as required, budget in place for maintenance needs. Roof fund established and maintained for when needed. Insurance cover in place for hall. Hall has its own risk assessment which is reviewed on regular basis. Hall needs recorded at OHMC meeting.

Existing procedure adequate.

Hall Administrator & OHMC
Lorkin Daniell Children’s Playground Risk of injury or damage Low Regular checks carried out by appropriately trained Councillors and staff. Play equipment inspected annually by RoSPA accredited inspector. Adequate inspections undertaken Parish Council

All Staff

Trees Trees or branches posing a safety problem to the public where unrestrictive right of access is available Med Up to date tree survey and register of risk carried out. Regular inspections by appropriately trained Councillors and staff. Hire of tree surgeon as required for problem areas. Review regularly Parish Council

Parish Clerk

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