HARTSHORNE PARISH COUNCIL RISK ASSESMENT 2022/23 Date Updated : 13^th July 2022 Dear Councillors, The Council is expected to carry out an annual risk assessment of financial risks it is exposed to and identify any actions it considers necessary to minimise those risks. 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. Audit Commission – Worth the Risk: Improving Risk Management in Local Government (2001:5) This document has been produced to enable the Parish Council to assess the risks that it faces and satisfy itself that it has taken adequate steps to minimise them. The Council is aware that although some risks can never be eliminated fully, it has in place a strategy that provides a structured, systematic and focused approach to managing risk. The list is not exhaustive and Council may wish to consider other risks not identified. The table below shows general risks that the Parish Council could consider: Subject - Identifies the subject Risks Identified - Identifies what the risk may be Risk Score- Identifies the level of risk Management/ Risk Control - Evaluates the management and control of the risk and records findings Review Date / Responsibilities - Reviews, assesses and revises procedures if required This document was approved by the Parish Council at the meeting held on Monday 13^th July 2022 (Minute Number) Yours Faithfully Alison Barnes- Clerk Hartshorne Parish Council
Subject	Risk(s) Identified	Risk Score H/M/L	Management/Control of Risk	Review Date / Reassessment
Business Continuity	Council not being able to continue its business due to an unexpected or tragic circumstance	L	All files and recent records are kept at the clerk’s home. The clerk makes a monthly back up of files. In the event of the clerk being indisposed the Chairman to contact DALC so they can provide a list of locum clerks. Information to be saved on the cloud. Chair and Cllr responsible for website to have access	Review when necessary
Meeting location	Adequacy Health and Safety	L	Meetings are held in the Goseley Community Centre and Hartshorne Cricket Club. The premises and facilities are considered to be adequate for the Clerk, Councillors and any Public who attend from a health and safety and comfort aspect.	Adequate Risk Control In Place
Council Records	Loss through theft, fire, damage	L	Current papers and will be held in a locked metal cabinet at the clerk’s home.	Damage or theft is unlikely and so provision adequate.
Council Records electronic	Loss through damage, fire, corruption of computer	M	The Parish Council’s electronic records are stored on the clerk’s computer. Back-ups of the files are taken at quarterly intervals on an external hard drive, which is kept in a secure cabinet. Electronic records will be kept on the cloud	Adequate Risk Control In Place
Precept	Adequacy of precept	M	Sound budgeting to underlie annual precept. The Parish Council receives monthly budget update information and detailed budgets in the late autumn. The precept is an agenda item at the December meeting.	Existing procedure adequate
Insurance	Adequacy Cost Compliance Fidelity Guarantee	L L L M	An annual review is undertaken of all insurance arrangements in place. Employers Liability, Public Liability and Fidelity Guarantee are a statutory requirement.	Existing procedure adequate. Review provision and compliance annually
Banking	Inadequate checks	L	The Council has Financial Regulations which set out the requirements for banking, cheques and reconciliation of accounts. Accounts are annually reviewed by internal & external audit.	Existing procedures adequate Review Financial Regulations as necessary
Cash	Loss through theft or Dishonesty	L	The Council has no petty cash or float. Any cash transactions are made by the clerk, are fully receipted and then reimbursed monthly or paid by cheque on receipt of an invoice	Existing procedures adequate
Financial controls and records	Inadequate checks	L	Monthly/quarterly reconciliation prepared by Clerk These are to be checked by the Chair of the Parish Council. Two signatories on cheques. Internal and external audit. Any financial obligation must be resolved and clearly minuted before any commitment. All payments must be resolved and clearly minuted. Any s137 payments must be recorded at time of approval	Existing procedures adequate
Freedom of Information Act	Policy Provision	L M	The Council has a model publication scheme for Local Councils in place. The clerk is aware that if a substantial request arrives then this may require many hours of additional work. The Council is able to request a fee if the work will take over 15 hours. However the request can be resubmitted, broken down into sections.	Monitor and report any impacts made under Freedom of Information Act
Clerk	Loss of clerk Fraud Actions undertaken	M L L	A fund should be established to enable training for the Clerks qualification. The requirements of Fidelity Guarantee insurance must be adhered to. Clerk should be provided with relevant training, reference books, access to assistance and legal advice	Include in financial budget when setting precept Membership of DALC maintained Monitor working Conditions
Election Costs	Risk of election cost	M	Risk is higher in an election year. There are no measures, which can be adopted to minimise risk of having a contested election. A contingency fund should be established to meet the costs in the relevant financial year.	Include in financial budget when setting precept
VAT	Re-claiming/charging	L	The Council has financial regulations which set out the requirements. VAT reclaims are undertaken annually.	Existing procedures adequate
Annual return	Not submitted within time limits	L	Annual return is completed and signed by the Council, submitted to the Internal Auditor for completion and signing, then checked and sent on to the External Auditor within time limit
GDPR	Not complying with new data protection laws	L	Policy put in place and distributed Website to be GDPR compliant FSPC do not share any personal details Privacy notice to be added to the website Details to be reviewed annually	Advice can be obtained from DALC
ASSETS
Street furniture and playground equipment	Damage to play equipment and benches etc.	L	An asset register is kept up to date and insurance is held at the appropriate level for all items. Regular checks are made on all equipment by members of the Parish Council
LIABILITY
Legal Powers	Illegal activity or payments Working Parties taking decisions		All activity and payments made within the powers of the Parish Council and to be resolved and clearly minuted. Ensure established with clear terms of reference. No working parties exist within the Parish Council	Existing procedures adequate
Minutes/ Agendas/ Statutory Documents	Accuracy and legality Non compliance with statutory requirements	L L	Minutes and agendas are produced in the prescribed method and adhere to legal requirements Minutes are approved and signed at next meeting Minutes and agendas are displayed according to legal requirements Business conducted at Council meetings should be managed by the Chairman	Existing procedures adequate Undertake adequate training Members to adhere to Code of Conduct
Public Liability	Risk to third party, property or individuals	M	Insurance is in place. Risk assessment of any individual event undertaken	Existing procedure adequate
Employer Liability	Non compliance with employment law	L	Undertake adequate training and seek advice from DALC / District Council where necessary
Legal Liability	Legality of activities Proper and timely reporting via Minutes	M L L	Clerk to clarify legal position on proposals and to seek advice if necessary. Council always receives and approves minutes at monthly meetings
COUNCILLORS PROPRIETY
Members Interests	Conflict of interest Register of Members Interests	M L	Councillors have a duty to declare any interest at the start of the meeting Register of Members Interests form to be reviewed at least on an annual basis. Relevant pecuniary interest and dispensation policy implemented.	Existing procedures adequate Members to take responsibility to update their register

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