| Risk No | Risk Title (There is a risk that…) | Potential consequence | Risk High, medium, low | Action | Timescale | |
|---|---|---|---|---|---|---|
| 01 | Risk register | Non compliance | Low | To keep it updated and comprehensive | Review annually / for in year additions | |
| 02 | Damage to 3rd party as a consequence of providing services | Legal Action | Medium | Public Liability cover | Reviewed annually | |
| 03 | Absence of clerk through sickness/extended leave | No business conducted | Medium | Contingency plans in place with Chair/councillors | As appropriate | |
| 04 | Risk of non-recruitment of clerk | No business conducted | High | Contingency plans to acquire locum cover, and plan for recruitment | As appropriate | |
| 05 | Clerk/RFO unable to complete essential work due to additional pressure e.g. FOI, opportunist bids, Review of process etc | Lack of compliance | High | Workload regularly reviewed between clerk/RFO and chair. Support in place from councillors, unrealistic work recognised and solutions found, Review of contract and personnel practices | Ongoing/annual appraisal. | |
| 06 | Use of social media | Inappropriate use bring council into disrepute | High | Policy on social media in place, monitoring of posts, promotion of legitimate council information, councillors, employees, contractors aware of good conduct guidelines. | Ongoing | |
| 07 | Annual Budget and Expenditure | Overspend, inappropriate allocations, inability to deliver services | Low | Budget setting process followed to enable realistic precept. Ongoing monthly assessments of spend to Precept budget & other income. Identification of additional revenue sources and opportunities from grants/donations. | Annual process followed by monthly checks | |
| 08 | Proper compliance with financial procedures | Varying outcomes | Medium | Councillors made aware of the financial approval and limits policy and processes | Monthly expenditure monitoring | |
| 09 | Inland revenue and VAT claims | Financial penalties | Low | Claims to be submitted on a regular basis, reported as part of the financial report at relevant Full Meeting(s) | Annually/monthly | |
| 10 | Loss of cash through theft/dishonesty | Effect of services | Low | Reconciliation of bank statements with expenditure/income reports monthly | ||
| 11 | Legal liability because of asset ownership | Legal action | Medium | Public liability cover | Reviewed annually | |
| 12 | Financial Records | Varying | Low | Check, amend and reconcile all records from commencement of fiscal year, submit to Council for approval and authorisation | Reviewed at each full council meeting | |
| 13 | Asset Register Cost/Value | Under/over estimating value | Medium | Full Council Agenda for discussion/amendment if applicable and authorised by Full council | Annual | |
| 14 | Annual Financial Statement | Internal and external audit raise issues | Medium | On May Full Council Agenda for discussion/amendment if applicable and authorised by full Council | Annual | |
| 15 | Proper compliance with employment law | Legal action | Low | Contracts of employment, induction, annual appraisal, access to training | Ongoing, annual | |
| 16 | Proper compliance with contractual arrangements | Legal action | Low | Proper process on awarding contracts, project managed as appropriate regular review | Ongoing | |
| 17 | Risk Register & Risk Management Plan | Inability to plan to mitigate risk | High | On May Full Council Agenda for discussion/amendment if applicable and authorised by full Council | Annual | |
| 18 | Proper use of S137 expenditure | Spend outside regulations | Medium | Adherence to legal power, grants policy and regular monitoring to ensure fair and equitable distribution. | As applications /awards are made | |
| 19 | Register of members interest, gifts, hospitality | Action by standards | Loss of public trust | Medium | Adherence to code of conduct, standards board requirements. | Annual review |
| 20 | Accurate recording of council business | Confusion, potential legal action | Low | Audio recorded for accuracy, distributed internally for amendments, approved and authorised at following meeting | Each following meeting | |
| 21 | Meeting consultation timetables | Lack of influence with partners, lack of credibility | Medium | Ensuring on correct mailing lists, applying for additional time, following the procedural timetables, ensuring councillors are aware | As appropriate | |
| 22 | Bus shelters and seats | Injury to 3rd parties | Low | Regular monitoring and timely repairs | Ongoing | |
| 23 | Car park | Low | Regular maintenance checks and repairs as necessary/required, adherence to regulations, litter collection | Ongoing | ||
| 24 | Toilets | Injury to 3rd party | Low | Risk assessment in place, contractor briefed, proper products used, regular review of maintenance with timely response. | Ongoing | |
| 25 | Play areas: Coniston/foreshore/ BMX track | Injury to 3rd party | High | Annual independent safety and condition checks plus safety inspections are carried out monthly and any problems identified and appropriate action taken, timely remedial work carried out | Ongoing/annual | |
| 26 | Library building | Implication of non-maintenance | Medium | Working with Trustees to report issues, structural review, plan for refurbishment, timely repairs | Ongoing | |
| 27 | Sports Hall | Implications of non-maintenance | Medium | Working with Trustees to report issues, timely repairs, opportunities taken to improve building stock | Ongoing | |
| 28 | Pavilion and bowling green | Implications of non-maintenance | Medium | Working with users to report issues, timely interventions, opportunities taken to upgrade facilities | Ongoing | |
| 29 | Land and green spaces | Visual and non-maintenance | Low | Mowing contract in place and monitored. Consideration given to use of sites, including Dell and old goods yard | Ongoing |
End
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