ASKHAM BRYAN PARISH COUNCIL - RISK ASSESSMENT SCHEDULE

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.

This document has been produced to enable Askham Bryan 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 focuses approach o managing risk, which:

• Identifies the subject
• Identifies what the risk may be
• Identifies the level of risk
• Evaluates the management and control of the risk and records findings
• Reviews, assesses and revises procedures if required

MANAGEMENT

Subject	Risk(s) identified	H/M/L	Management/Control of Risk	Review/Assess/Revise
Business Continuity	Council not being able to continue its business due to an un-expected tragic circumstance	L	All files and recent records are kept at the Clerks home. The Clerk makes electronic back up of files. In the event of the Clerk being indisposed the Chair to contact YLCA for advice and support.	Review when necessary
Meeting Location	Adequacy Health & Safety	L	Under normal circumstances, meetings are held at the Village Hall. The Chair holds a key to ensure access. The premises and facilities are considered adequate for Councillors, the Clerk and any members of Public that attend from health & safety and comfort aspect. During the pandemic lockdown, meetings are held using remote access technology.	Existing procedure adequate
Council Records	Loss, through theft, fire, damage	L	Recent papers are held at the Clerks home. (some records may be held by HM Land Registry, the Solicitors and the Charity Commission)	Damage or theft is unlikely so provision is adequate
Council Records Electronic	Loss through damage, fire, corruption of computer	L	All electronic records are stored on an external hard drive. Backups on are taken regularly. Storage is not fireproof.	Risk of fire and theft is very low. Electronically backing up onto external drives system is viewed as adequate.

FINANCE

Subject	Risk(s) identified	H/M/L	Management/Control of Risk	Review/Assess/Revise
Precept	Adequacy of Precept	L	Sound budgeting to support precept. The Parish Council receives budget update to prepare to set budget as Agenda item at January meeting.	Existing procedure adequate
Insurance	Adequacy Cost Compliance	L L L	An annual review is undertaken of all insurance arrangements in place. Public Liability & Fidelity Insurance are statutory requirements.	Existing procedure adequate.
Financial Controls	Inadequate checks	L	Financial statement detailing bank accounts receipts and payments, balances are presented and approved at monthly meetings. Two signatories are required on cheques and all Electronic payments require dual authorisation. The Clerk files all copies and maintains an electronic spreadsheet with details.	Existing procedures adequate
Freedom of Information Act	Policy Provision	L	The Clerk has attended Freedom of Information training and is familiar with the requirements of the act.	Monitor and report any impacts made under this Act.
Clerk	Loss of Clerk Fraud Actions undertaken	L L L	The Chair to hold copies of all passwords in a sealed envelope. The requirements of Fidelity Guarantee insurance must be adhered to. Clerk should be provided with relevant training, reference books and access to assistance and legal advice	Renew annually. Renew annually. Membership of YLCA should be maintained.
Election Costs	Risk of election cost	L	Risk is higher in an election year.	Maintain sufficient funds in reserve to cover this.
VAT	Re-claiming	L	The Responsible Financial Officer to make a claim at least annually.	Existing procedures adequate
Annual Return	Not submitted within time limits	L	Annual return is completed and signed by the Council and submitted to the Internal Auditor for signing, then to the External Auditor.	Existing procedures adequate

ASSETS

Subject	Risk(s) identified	H/M/L	Management/Control of Risk	Review/Assess/Revise
Street furniture & play equipment	Damage to play equipment and notice boards, seats etc.	L	An asset register is kept up to date and insurance is held at the appropriate level for all items.	Existing procedures adequate
Recreational Area	Injury due to faulty play equipment and trip hazards in the ground.	L	Regular checks are made on all children’s play equipment by a contractor employed for this purpose and an annual check is also carried out and appropriate action taken where risks are identified.	Existing procedures adequate
Pond	Injury due to uneven paths	L	Regular visual checks carried out by Councillors or members of the Natural Environment Group.	Existing procedures adequate
Land on corner of Saint Nicholas’ Croft	Tree damage	L	See below.	Existing procedures adequate
All the above	Tree damage to people and property and Parish Council land	L	Tree inspections carried out once every three years and regular maintenance as required.	Existing procedures adequate

LIABILITY

Subject	Risk(s) identified	H/M/L	Management/Control of Risk	Review/Assess/Revise
Legal Powers	Illegal activity or payments	L	All activity and payments made within the powers of the Parish Council to be presented on the Financial Statement and agreed and minuted.	Existing procedures adequate
Minutes, Agendas, Statutory documents	Accuracy and legality	L	Minutes and Agendas are produced in prescribed manner and adhere to legal requirements. Minutes are approved and signed at the next meeting. Minutes and Agendas are made available and displayed according to legal requirements. Business conducted at Council meetings should be managed by the Chair	Existing procedures adequate Members to adhere to Code of Conduct
Public Liability	Risk to third party, property or individuals	L	Insurance is in place. Risk assessment of any individual event undertaken.	Existing procedures adequate
Legal Liability	Legality of activities Proper document control	L L	Clerk to clarify legal position on proposals and to seek advice necessary Retention of documents in line with 2018 General Data Protection Regulation (GDPR) requirements. Personal data shredded when documents are disposed of.	Existing procedures adequate Existing procedures adequate

COUNCILLORS PROBRIETY

Subject	Risk(s) identified	H/M/L	Management/Control of Risk	Review/Assess/Revise
Members Interest	Conflict of Interest Register of Members Interest	L L	Councillors have a duty to declare any interests at the start of each meeting. Register of Members Interest to be maintained and updated where necessary.	Existing procedures adequate Members to take responsibility to update their register.

COUNCIL REPUPTATION

Subject	Risk(s) identified	H/M/L	Management/Control of Risk	Review/Assess/Revise
Councillor and staff	Bringing the Council into disrepute	L L	Councillors understand and receive training on the Code of Conduct. A professional approach is undertaken on all Parish Council matters.	All new Councillors receive a copy of the Code of Conduct when signing their Declaration of acceptance of Office and are encouraged to attend new Councillor training. Members to identify any training needs.

RELEVANT DOCUMENTATION
Standing Orders Code of Conduct Disability Discrimination Act 1995 Disability and Equality Act 2010 Employments Rights Act 1996	Data Protection Act 2018 Local Government Act 1972 Local Government Act 2000 Audit Commission Act 1998	Local Government & Rating Act 1997 Local Government Act 2003 Local Audit and Accountability Act 2014 Localism Act 2011

This document adopted by the Parish Council at it’s meeting of . . . . .  and last reviewed . . . .