Risk Management Scheme


Risk Description Measures TakenRecommendations/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, bins and fencing etc.,  
Staff RoSPA trained and defibrillator supplier trained.
Agreed delegated expenditure to Clerk (RFO) to commission emergency equipment repairs
Annual check on level of cover in place Clerk (RFO)
Review of insurance by council to be completed at the same time as reviewing the asset register
Logged system of complaints received and action taken   
Play equipment and defibrillators checked by councillors on a weekly basis and faults reported to Clerk (RFO) and suppliers  
Annual RoSPA inspection of Play Equipment  
Protection of Council properties furniture and equipment     Property Damage Insurance   
All Risks Insurance   
Up to date Asset Register       
Regular Maintenance of equipment / Annual PAT Testing of electrical small appliance
Annual check on insurance values Clerk (RFO)  
Asset Register (Year end)   
Use of professional technician, use of reputable insurance provider, and testing carried out annually by qualified technician   
Insolvency of insurance companyUse of one of recognised companies providing specialist cover for Local CouncilsFree 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 and Village Orderly – i-phones provided   
Diagram & instructions given re safety procedures re use of supplied equipment


Risk Description Measures TakenRecommendations/Controls
Damage to and safety of seats, bins and fencing etc.,Regular maintenance by Bath & North East Somerset Council and West Harptree Parish CouncilCouncillors 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.   
Sounder on burglar alarm active.
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 ConductCode 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 requirementsRegular scrutiny of financial records and approval of pending expenditure  
Records kept in accordance with Accounts and Audit Regulations
RFO/Clerk professionally qualified with CiLCA qualification or working towards CiLCA qualification
Financial regulations adopted and reviewed annually   
Detailed specification for soliciting an Annual Internal Auditor (see appendix for checks)
Annual External Audit  
Officer training
Ensuring all requirements met under employment law and Inland Revenue regulations  Fair pay for staff   Unfair dismissal claimsRegular 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  
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 ArrangementsRegular 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 servicesReserve in the budgetLevel agreed as part of annual budget process (Auditors recommend 3 to 6 months expenditure held in general reserve)
Ensuring all requirements are met under Customs and Excise regulations (VAT)Regular returns to HMRCTake up training opportunities in VAT and other taxation issues as available  
Reading literature to keep up to date
Ensuring adequacy of annual precept and controlApproval of budget by full Council and regular budget monitoring statementsRegular budget monitoring 
Ensuring all business activities are within legal powers applicable to local councilCouncillor and staff trainingProvide adequate training budget  
Internal audit / External audit
RFO/Clerk professionally qualified with CiLCA qualification or working towards CiLCA qualification
Complying with restrictions on borrowingBorrowing approval authorised by Council in line with current restrictionsReference to Local Council Administration Book (Charles Arnold Baker)  
Guidance from National Association of Local Councils and ALCA
RFO/Clerk professionally qualified with CiLCA qualification or working towards CiLCA qualification
Ensuring proper use of funds granted to local community groups under specific powers or under 137Identification of items paid under Section 137 and reported in the minutes and as a separate column in the Annual AccountsNALC 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 applicationsConsultation documents presented to next appropriate Committee/Council meeting to formulate responseAction so agreed minuted
Breach of ConfidentialityProcedures 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 minutesMinutes 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 TakenRecommendations/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 and Freedom of Information Publication Scheme
Notice of Appointment confirmation signed and returned to Auditors
Document control – correspondence, postage, storage and filing, etc Original deed documents stored with  SolicitorDocuments 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  


Risk DescriptionMeasures Taken Recommendations/Controls
Changes to legislation and proceduresProvide effective training for Staff and CouncillorsProvide adequate budget for staff and Councillor training by NALC / SLCC
Supplies and Services provided to the CouncilContract 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

Appendix: 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

Revision History

Nov 2022, suggested updates for approval:

  • Out of date references removed regarding village orderly.
  • Requirements to store documents in metal cabinets removed. (Metal cabinets not available)
  • Updated: Play equipment and defibrillators checked by “councillors” (and not VO) on a weekly basis.
  • Use of “one of the largest companies” providing specialist cover for Local Councils changed to “recognised companies”not “largest”
  • To Note: Insurance of the Village Hall owned by Parish Council could be specified in document.
  • To Note: Scheme of delegation specified in previous and current versions requires a scheme of delegation policy to be approved.
  • To Note: requirement for backup on a separate hard disk requires a separate hard disk to be provided in order to implement policy.

July 2023

  • Insurance Sections: Review of insurance by council to be completed at the same time as reviewing the asset register