COMPTON MARTIN PARISH COUNCIL
cmpc_clerk@yahoo.com
The Code of Conduct
Standing Orders
Financial Regulations
Data Protection
Complaints Procedure
Equal Opportunities
Freedom of Information
Health and Safety
Risk Assessment Schedule
Training Policy
Grant Policy
Overhanging Vegetation
Risk Assessment Schedule

Compton Martin Parish Council Risk Assessment Schedule

INSURANCE

Risk Description 

Measures Taken

Recommendations/Controls

Damage to third party property or individuals 

 

Risk to third party as a consequence of providing a service

 

Public Liability Insurance & Property Owner’s Insurance 

 

Ongoing maintenance to seats, notice boards and fencing etc.,

 

Clerk and as many Councillors as possible defibrillator supplier trained

 

Agreed delegated expenditure to Clerk (RFO) to commission emergency equipment repairs

Annual check on level of cover in place Clerk (RFO)  

 

Logged system of complaints received and action taken 

 

 

 

Protection of Council properties furniture and equipment 

 

 

Property Damage Insurance 

 

All Risks Insurance 

 

Up to date Asset Register     

 

Regular Maintenance of equipment

Annual check on insurance values Clerk (RFO)  

 

Asset Register (Year end) 

 

Use of professional technician, use of reputable insurance provider.

Insolvency of insurance company

Use of one of the largest companies providing specialist cover for Local Councils

Free legal service and advice from National Association of Local Councils and Avon Local Councils Association

Loss through theft or dishonesty  

 

Fidelity Guarantee in contracts of employment

 

Thorough vetting process of job applicants, references taken up and annual staff reviews

Personal Accident to Members and Officers Assault to Officers

 

Personal Accident cover Including Assault cover

 

Employer’s Liability cover Libel

 

Slander cover

 

Annual check on level of cover in place Clerk (RFO)

 

Clerk

 

Diagram & instructions given re safety procedures re use of supplied equipment

 

AREAS OF SELF MANAGED RISK

Risk Description 

Measures Taken

Recommendations/Controls

Damage to and safety of seats, bins and fencing etc.,

Regular maintenance by recognised tradesman as directed by appropriate Working Party

Councillors requested to keep a check on PC owned equipment and to report any problems to Clerk (RFO).   

 

Reports from members of the public 

Unwanted visitors entering building during meetings. 

 

Disturbance by member of public in a Council meeting

 

Procedures in place to deal with this in the Council’s Standing Orders. 

 

 

Security of officers working alone in buildings   

 

Security of officers locking up building after meetings

Inform other occupants of building    

 

Officers to be accompanied when leaving the building and locking up after meetings

Chairman to ensure that officers are not left alone to exit building after meetings.

Procedures in place for recording and monitoring members’ interests, gifts and hospitality received 

 

Completion of Code of Conduct

Code of Conduct signed and a Register of Interest completed by each Member of the Council 

 

Disclosure of interest register kept listing any interests, gifts and hospitality received

 

Disclosure of interests to appear as an item on the agenda as a prompt to members (at every meeting).

Internal audit check Registers of Interest kept by the Clerk and uploaded to the Council website

 

Ensure all Councillors are aware of Code, and need to complete Registers. NB – This is the responsibility of individual Councillors.

 

Keeping proper financial records in accordance with statutory requirements

Regular scrutiny of financial records and approval of pending expenditure

 

Records kept in accordance with Accounts and Audit Regulations

Financial regulations adopted and reviewed annually 

 

Detailed specification for soliciting an Annual Internal Auditor[i]

 

Annual External Audit

 

Officer training

Risk Description 

Measures Taken

Recommendations/Controls

 

 

 

Ensuring all requirements met under employment law and Inland Revenue regulations

 

Fair pay for staff

 

Unfair dismissal claims

Regular returns to Inland Revenue; contracts of employment for all staff, systems of updating records for any changes in relevant legislation 

 

Salaries set in accordance with NALC / SLCC recommended scales

 

Grievance and Appeals procedure

Councillors made aware of their responsibly as Employers

 

Annual Staff Appraisals are undertaken, recorded and agreed

 

Ensure that any training opportunities on Audit, tax, VAT are taken up

 

Grievance and Appeals procedure in place

Failure of Computer system

 

·         Hardware  

·         Software

Virus protection

 

Clerk (RFO) authorised for emergency replacement

Regular updates of virus protection

 

Regular computer backups are made on external hard drive and online.

 

Some backups stored on and off premises. 

 

Provision reviewed annually by Clerk (RFO) and insured

Banking Arrangements

Regular bank reconciliations

 

All payments in line with Financial Regulations

Regular monitoring reports to Council. 

 

Annual Internal and External Audit

Loss of Income, or the need to provide essential services

Reserve in the budget

Level agreed as part of annual budget process

Ensuring all requirements are met under Customs and Excise regulations (VAT)

Annual VAT returns to HMRC

Take up training opportunities in VAT and other taxation issues as available

 

Reading literature to keep up to date

Ensuring adequacy of annual precept and control

Approval of budget by full Council and regular budget monitoring statements

Reular budget monitoring 

 

 

 

Risk Description 

Measures Taken

Recommendations/Controls

Ensuring all business activities are within legal powers applicable to local council

Councillor and staff training

Provide adequate training budget

 

Internal audit / External audit

Complying with restrictions on borrowing

Borrowing approval authorised by Council in line with current restrictions

Reference to Local Council Administration Book (Charles Arnold Baker)

 

Guidance from National Association of Local Councils and ALCA

Ensuring proper use of funds granted to local community groups under specific powers or under 137

Identification of items paid under Section 137 and reported in the minutes and as a separate column in the Annual Accounts

NALC annual notification of permitted level of expenditure

 

Annual Internal Audit / External Audit

Meeting timetables as laid down when responding to consultation invitations, including commenting on planning applications

Consultation documents presented to next appropriate Committee/Council meeting to formulate response

Action so agreed minuted

Breach of Confidentiality

Procedures for dealing with confidential data

 

Passwords on computer systems

PC registered under Data Protection Act

 

Appropriate Standing Order

 

Item on each agenda considered for taking in private session with resolution to exclude the public

Proper, timely and accurate reporting of Council business in minutes

Minutes properly numbered with a master copy kept in safekeeping 

 

Draft minutes published on website

 

Minutes circulated and published on website

Minutes approved and signed at next meeting of Council

 

Internal Audit check

 

Computer backup


 

Risk Description 

Measures Taken

Recommendations/Controls

Failure to respond to electors wishing to exercise their rights of inspection 

 

Supporting papers

Minutes placed on the website for public inspection

 

Advertising of end of year accounts and available for inspection to the public as required under the Accounts and Audit Regulations 

 

Freedom of Information Publication Scheme

Notice of Appointment confirmation signed and returned to Auditors

Document control – correspondence, postage, storage and filing, etc

Correspondence date receipted 

 

Original deed documents stored with  Solicitor

 

Filing systems maintained in metal cabinets.

Documents backed up on-line, and on an external hard drive. 

 

The production and storage of physical documents is restricted as far as possible.   

 

Storage of old and/or important documents to be monitored

 

 


 

POTENTIAL FOR WORKING WITH PARTNERS TO REDUCE RISK

Risk Description

Measures Taken 

Recommendations/Controls

Land and Allotments

Appropriate legal agreements

 

Signing of Lease/Agreement 

Allotment holders notified of safe operating practices.

 

Professional risk assessors to oversee the Council’s health & safety arrangements and offer advice on improvements.

Changes to legislation and procedures

Provide effective training for Staff and Councillors

Provide adequate budget for staff and Councillor training by NALC / SLCC

Supplies and Services provided to the Council

Contract for services advertised and awarded in line with Standing Orders and Financial Regulations

 

Ensure Contractors have adequate insurance and public liability cover  

Contracts approved by Committee ratified by Council 

 

Copy of insurance certificate supplied before award of contract 

 

Remind contractors re Health and Safety implications

 

The above schedule was adopted by Compton Martin Parish Council on 5 May 2016

 



[i] Internal Audit specification will include; 

·         Review of internal controls in place and their documentation       

·         Review of minutes to ensure legal powers in place recorded and correctly applied       

·         Testing of income and expenditure from minutes to cashbook, from bank statements to cashbook, from minutes to statements etc,.        

·         Review and testing of arrangements to prevent and detect fraud and corruption      

·         Review and testing of specific controls, reporting findings to Council