risk register – corporate risk

of 25

RISK REGISTER - 1 Corporate & Strategic 2015-16

RISK REGISTER – 1 CORPORATE & STRATEGIC

REF Activity Risk/Hazard Description Who is at risk / Risk Category

Risk Score EXISTING CONTROLS Key points

FURTHER ACTIONS if required Key points

RISK OWNER

REVIEW DATES

Impact Likelihood Total Red / Amber/ Green

LAST NEXT

1.1 Democratic Representation & Management

Failure to comply with legislation and/or regulations

Council Financial, Compliance & Legal, Reputation

4 2 8 Amber Councillor’s handbook issued to all Councillors and updated regularly. Standing Orders, Code of Conduct and scheme of delegated functions. Standing orders regularly reviewed. HTC member of NALC & HAPTC. CILCA Qualified Town Clerk. Town Clerk attends professional conferences / seminars. Policies and procedures governed by external and internal influences by nationally recognised bodies and internal regulations. Quality status achieved.

Town Clerk August 2015

August 2016


Failure to provide timely and adequate – notice of Council Agendas and production of Council Minutes

Council Compliance & Legal, Reputation

2 2 4 Green Procedures in place for regular production, distribution and publication of Agendas & Minutes. Monitoring statement maintained.


August 2016


Failure to inform Councillors

Council, Councillors Compliance & Legal, Reputation

3 2 6 Amber Council business widely publicised through Forum (quarterly), notices, press releases, website, civic event etc. Members information bulletin produced on a weekly basis – all staff encouraged to input. Town Clerk holds regular meetings with Town Mayor to discuss Council Business. Town Mayor regularly mixes with staff. Incoming post book and outgoing correspondence record available for Councillors to review.


August 2016

of 25


RISK REGISTER – 1 CORPORATE & STRATEGIC (contd)




RISK OWNER

REVIEW DATES

Impact Likelihood Total Red/ Amber/ Green

LAST NEXT


Devolvement of services – insufficient resources / service failure

Council, Public, Staff Compliance & Legal, Service Delivery & Quality, Reputation

4 2 8 Amber Any decision to take on additional services would need to be risk assessed and made by Members. Resources – staff / finance etc. would need to be reviewed as part of the decision making process.


August 2016

1.2 Financial Management

Failure to agree precept or precept set at inadequate level.

Council

Financial, Compliance & Legal, Service Delivery & Quality, Reputation

4 1 4 Green Council agrees 3 – 5 year medium term financial plan & sets an Annual budget. Maintains adequate reserves. Robustness of budget and level of reserves reviewed during budget process. Responsible Finance Officer (RFO) required to indicate if budget & reserves not adequate during budget process. Finance Manager checks precept received from SADC agrees with precept requested.

RFO / Finance Manager

August 2015

August 2016


Council expenditure significantly exceeding budget.

Council

Financial, Compliance & Legal, Service Delivery & Quality, Reputation

3 2 6 Amber Monthly Income & Expenditure report circulated to service officers for review. Regular budgetary control reviews undertaken by Finance Manager and significant issues reported to Town Clerk (RFO). Action taken to respond to variances. Quarterly profiled budgetary control reports to spending committees. Level of reserves, general and earmarked, reviewed by Council during budget process, Reserves regularly reviewed by Finance Manager / Town Clerk. Level of general and earmarked reserves reported to Council with Annual Return at year end.


August 2015

August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Loss of funds due to error, theft, fraud or misappropriation due to failure to keep proper financial records.

Council Financial, Compliance & Legal, Reputation.

4 2 8 Amber Financial Records: Financial management system (RBS) in place together with office procedures. All cheque payments made via system. Authorised by Town Clerk or Business Services Manager. Cheques must be signed by two Councillors. Stock of cheques held securely in safe & issue controlled. Income received kept securely and banked regularly. Separation of duties in place. Official receipts issued for cash. Official receipts issued for cash. Anti fraud and corruption policy in place. Whistle blowing policy in place. Payroll Records: payroll contract in place – Selima. Staff returns collated by Business Services Manager and draft payslips reviewed for consistency. Payments checked to pay slips by Finance Manager. Standing Orders & Financial Regulations in place. Monthly bank reconciliations. Weekly bank statements checked against expected cash flows. Income and expenditure reviewed against budget regularly and reported periodically to Council via spending committees. Internal Audit review procedures and sample check transactions.


August 2015

August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Insufficient funds for Council due to poor cash management planning.

Council Financial, Service Delivery & Quality, Reputation.

3 2 6 Amber Investments and cashflow monitored regularly by Finance Manager and Town Clerk. Only short term cash investments undertaken which could be liquidated readily (penalties would be payable.


August 2015

August 2016


Expenditure incurred without proper authority.


2 2 4 Green Standing Orders and Financial Regulations in place and subject to periodic review. Expenditure under S137 restricted under legislation and maximum level calculated annually. General Power of competency legislation may to be considered (NB: Town Clerk now trained so requirements met). Financial procedures in place. Payments require authorisation by Town Clerk, purchase orders must be authorised by Town Clerk or Business Service Manager. Internal Audits carried out. Town Clerk qualified.


August 2015

August 2016


Failure to comply with HMRC regulations. Financial penalty.


3 1 3 Green VAT – returns completed quarterly by Finance Manager on line. HMRC issue reminders. Finance system accounts for VAT on purchases and sales.

PAYE / NIC to be provided by Payroll service supplier from April 2010. To be reviewed on a monthly basis and annually by Finance Manager.

Finance Manager and Town Clerk receive periodic updates from HMRC which are reviewed.


August 2015

August 2016


Unable to recover VAT paid out on exempt activities e.g. Park Hall


2 3 6 Amber Annual partial exemption review carried out on budget and at year end by Finance Manager.

Members made aware of impact of large schemes on exempt or partially exempt activities.


August 2015

August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Items not insured or cover too low.

Council, Financial, Reputation

3 2 6 Amber Cover reviewed by Town Clerk & Finance Manager. Insurance property values obtained during 2011. Council decision not to insure war memorial and lower value street furniture. Record of assets reviewed annually. Deeds & legal documents stored in fire proof safe.


August 2015

August 2016


Financial risk to 3rd Party in connection with service provision e.g. through loss of information.

Council & Third Parties Financial, Reputation

3 2 6 Amber See individual service risk assessments. Leases & licences kept in fire proof safe. Insurance in place


August 2015

August 2016


Failure of payroll supplier - Incorrect payment made or incorrect information provided to Pension fund / HMRC.

Staff, Council, Contractor, Financial, Legal & Compliance

2 2 4 Green Payroll supplier selected based on experience and formal contract put in place. Monthly monitoring of performance Payroll supplier is responsible for costs, losses, damages, claims and expenses caused directly by their negligence or breach of contract. Insurance cover in place. Contract can be terminated with 3 months notice if performance unacceptable. Any overpayments to be recouped by Payroll supplier. Underpayment to be adjusted by payroll supplier at next pay period or by means of an advance.


August 2015

August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Failure of payroll supplier – Contractor terminates agreement & provides insufficient staff and payroll records.

Council, Employees, Contractor, Financial, Legal & Compliance

1 2 2 Green 3 months notice must be provided before contract terminated. Copies of any instructions to amend staff details e.g. regradings provided to supplier will be retained by HTC. Details of monthly and year end payment analysis to be provided by the supplier.


August 2015

August 2016


Bank failure or loss of investments causing significant loss of Council funds.


5 1 5 Amber Agreement by Council to ensure funds kept in at least two banking institutions. Investments in line with Council’s approved Annual Treasury Managements & Investment Policy. All investments reported to Council as soon as practical.

Review of banking arrangements took place in 2014.


August 2015

August 2016

1.2a Banking Conveyance of cash / cheques to bank. Injury / death / mugging / theft

Council, Employees Physical, Financial

4 2 8 Amber Money banked regularly to avoid build up of funds. Member of Staff responsible for taking cash to Bank/Post Office MUST be accompanied. Route taken must be visible to CCTV cameras. Larger amounts of Cash are conveyed by vehicle – farmers market monies banked by security firm, Staff advised not to resist if a theft is attempted. The accompanying member of staff ensures their Colleague is safely in the Banking Premise. Lone working Policy in force i.e. time of expected return of Member of Staff from Bank etc. Mobile Phone and/or a Panic Alarm MUST be carried.

Finance Manager

August 2015

August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT

1.3 Statutory & Consultative Bodies

Non compliance with regulations or outside bodies.

Council Finance, Compliance & Legal, Reputation

4 2 8 Amber Regular reviews. Circulars received. Committee reports. Information services – HAPTC & NALC.


August 2016

1.3 Statutory & Consultative Bodies

No knowledge of changes to regulations or new regulations.

Council Finance, Compliance & Legal, Reputation

4 2 8 Amber Regular reviews. Circulars received. Committee reports. Information services – HAPTC & NALC.


August 2016

1.4 Staffing & Employment

Failure to comply with employment law.


3 2 6 Amber All applicants for employment are issued with an application pack. Contracts of employment in place for all staff. HR policies approved by Council are available to all staff. Subscription to National Joint Council for Local Government Service for issue and revision of National Agreement on Pay and Conditions of Service. Subscribe to employment journals – ACAS and Taylor Walton.

Town Clerk September 2015

September 2016


Inadequate staffing resources.

Council Delivery & quality of service

3 2 6 Amber Employment contracts with notice period. Ensure vacancies advertised and filled as soon as possible. Monitor sickness absence. Staff appraisals.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Loss of key staff. Council Delivery & Quality of Service

3 3 9 Amber Organisation structure in place. Employment contracts with notice periods. All stall have job descriptions & work lists. Staff development training relevant to the role undertaken to enable cover. Written office procedures which are regularly updated. Option to use short term vacancy cover from suitably qualified professional via contacts with HAPTC / SLCC.


September 2016


Long term sickness / loss of knowledge & experience

Council, Employees Financial, Service Delivery & Quality,

3 2 6 Amber Organisation structure in place. All stall have job descriptions. Written office procedures which are regularly updated. Option to use short term vacancy cover from suitably qualified professional via contacts with HAPTC / SLCC.


September 2016


Low staff morale / performance / absenteeism.

Council, Employees Financial, Service Delivery & Quality,

2 2 4 Green Job descriptions for all officers and regular staff appraisal scheme. Annual training budget. Regular team meetings. Absence management policy.


September 2016


Bullying & Harassment / Stress / performance / sickness

Council, Employees Financial, Compliance & Legal, Delivery & Quality of Service

2 2 4 Green Annual staff appraisals Regular team meetings Stress management policy in place

Stress management policy requires review. Bullying & harassment policy requires review.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Inadequate training. Council Financial, Legal & Compliance, Delivery & Quality of Service

3 2 6 Amber Staff appraisal identifies training needs. Council sets annual training budget. Staff offered local and national courses and conferences according to job description.


September 2016


Inappropriate gifts to staff or Councillors

Council Compliance & Legal, Reputation

2 2 4 Green All gifts over £25 to be recorded in

Gift register. Members Code of Conduct & signed declarations.


September 2016


Personnel security / injury to staff

Council, Employees Physical, Financial, Compliance & Legal.

3 2 6 Amber Access to office via secure system and open only to Members and Staff only. Information point fitted with panic button direct to security firm. Office not open to public when only one person working. Lone working policy in place.


September 2016


Health & safety. Council, Employees Physical, Financial, Compliance & Legal, Reputation

3 2 6 Amber Working in offices health & safety risk assessments carried out by staff every year.

Staff eye test paid for and frequency of eye tests monitored. Officer trained as first aider.

Desk top health & safety assessment should be carried out. Regular office inspections should be undertaken.


September 2016


Employee qualifications & employment history incorrect / fraud / inappropriate behaviour.

Council, Employees Public Financial, Compliance & Legal, Delivery & Quality of Service

3 1 3 Green All employees subject to standard recruitment process.

References taken before contracts signed.

Anti fraud and corruption strategy in place.

DBS (Disclosure and Baring Service) checks to be carried out if employee to work regularly and closely with young people or vulnerable adults.

Ensure that references covering three years work history are taken for those responsible for financial controls.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT

1.4a Staffing & Employment – Driving & cycling on official business

Use of own motor vehicle - RTA.

Council, Employees Public Physical, Financial, Compliance & Legal,

3 2 6 Amber Annual driving licence check.

Business use insurance and vehicle test certificate checked annually for employees who regularly use their own vehicle.

Insurance in place for employees who occasionally have to use their vehicles on Council business.

Any incidents must be reported immediately to the Town Clerk and a written incident form completed.

Remind staff that they can not use a mobile phone whilst driving.


September 2016


Use of Council Vehicle See service risk assessment (RAF 2.1.6)

September 2015

September 2016


Use of own or HTC bicycle - RTA.

Council, Employees Public Physical, Financial, Compliance & Legal,

3 2 6 Amber Staff who use their own bicycle are responsible for ensuring that it is road worthy and maintained regularly.

Staff must undertake a visual inspection of the Town Council bicycle before setting out and use high visibility vest and bicycle lights provided.

Staff must adhere to the Highway code.

A bicycle usage policy in place.

HTC bicycle to be maintained in line with manufacturers’ guidelines.

Any incidents must be reported immediately to the Town Clerk and a written incident form completed

Town Clerk Septem

ber 2015

September 2016


Traffic & parked vehicles Public, Staff, Council Physical, Financial Legal & Compliance

2 2 4 Green High visibility waistcoat provided for cyclist. Staff advised to use cycle routes and tracks and to take care when passing parked vehicles.

Staff are advised to wear a safety helmet meeting a recognized safety standard (not provided). Staff advised to obtain their own cycle insurance.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Road Surface Public, Staff, Council Physical, Financial

2 2 4 Green Staff using a cycle are advised to monitor the road ahead.


September 2016


Pedestrians Public, Staff, Council Physical, Financial Legal & Compliance

2 2 4 Green Staff using a cycle are advised to take care especially when passing vulnerable pedestrians. Cycle bell fitted.


September 2016


Unsafe Cycle Public, Staff, Council Physical, Financial Legal & Compliance

2 2 4 Green Visual safety check required before use and safety check form to be completed. Staff advised not to use the cycle should they have safety concerns and to report these to the Maintenance Officer. During periods of use the cycle will receive regular maintenance checks by an appropriate officer.


September 2016


Unsafe Cyclist Public, Staff, Council Physical, Financial Legal & Compliance

2 2 4 Green Staff should self certify they are competent prior to using the cycle.


September 2016


Inappropriate Clothing Public, Staff, Council Physical, Financial

2 2 4 Green High visibility waistcoat provided for cyclists. Cycle clips provided. Staff advised not to wear items of clothes that would get caught in moving parts or impede their hearing.

Staff are advised to wear a safety helmet meeting a recognized safety standard (not provided).


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Weather Public, Staff, Council Physical, Financial Legal & Compliance

2 2 4 Green Cycle should not be used during times of poor visibility, including darkness. Lights are provided to be used should conditions deteriorate during use and should be checked by the cyclist prior to leaving the office. Staff advised to make themselves aware of weather forecast prior to using the cycle.


September 2016


Carrying Loads Public, Staff, Council Physical, Financial Legal & Compliance

2 2 4 Green No equipment, bags etc. should be carried which may affect the rider’s balance, get caught up in the cycle wheels or chain, or impede the rider’s ability to control the cycle.


September 2016


Personal Safety Public, Staff, Council Physical, Financial Legal & Compliance

2 2 4 Green Staff advised to avoid confrontation with other road users. Staff should always carry a mobile phone when cycling or driving, but should not use these unless legal and safe to do so.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT

1.5 Information, Website & Social Media

Non compliance under Freedom of Information Act.

Council Financial, Legal & Compliance,

3 2 6 Amber Freedom of Information Policy, procedure and information request log in place. Charging policy and fee notice for large amounts of information.


September 2016


Data protection registration & compliance.

Council, Employees, Councillors, Suppliers & Debtors, Public Financial, Legal & Compliance,

3 2 6 Amber Computer usage policy in place. Staff policy for Data Protection and use of personal data. Employee Data Protection Statement. Annual renewal of registration with Data Protection Agency. Firewall in place on network – managed by Computer provider.


September 2016


Loss of data & information - theft, fire, flood or damage.

Council, Employees, Councillors, Suppliers & Debtors, Public Financial, Legal & Compliance,

4 2 8 Amber Health & Safety Policy in place. All new employees receive training. Legal and important documents are archived and stored in fireproof safe. Insurance in place Fire assessments carried out. Electrical appliances turned off at night. EICR electrical testing & PAT undertaken in 2015. Server back up stored in in the cloud on a secure server. Hardware upgrades carried out regularly. Business Continuity Plan in place. Computers and network managed by computer provider, regular meetings to ensure current level of operation & security working effectively.

Health & Safety Policy to be reviewed. Works arising from the PIR (periodic inspection report) electrical testing still outstanding.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Loss or damage arising from unauthorised use/theft or misappropriation.

Council, Employees, Councillors, Suppliers & Debtors, Public Financial, Legal & Compliance, Delivery & Quality of Service

3 2 6 Amber Alarms in place at the Town Hall which are maintained regularly. Access to offices & Council chamber restricted by security system. Security blind on reception area. Computer usage policy. Signing in book for visitors and contractors. All computer equipment numbered and labelled. Employees have individual login and password access to computers that are regularly changed. Anti virus software provided and regularly updated. Disciplinary and Grievance procedure.


September 2016


Loss of sensitive personal data from Payroll supplier

Council, Employees, Councillors Financial, Legal & Compliance

3 1 3 Green Risk management and computer usage & access policy of payroll supplier reviewed prior to contract agreement. Electronic sensitive data to be transferred between HTC and payroll supplier with password protection. Payroll supplier selected based on experience and formal contract in place. Payroll supplier is responsible for costs, losses, damages, claims and expenses caused directly by their negligence or breach of contract.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Health problems arising from computer use.

Council, Employees, Physical, Financial, Legal & Compliance,

3 2 6 Amber Maintenance agreement with Computer provider. Computers on a three year lease – up to date. Health & Safety Policy (includes display screen regulations). Free eye tests. Health & Safety training for all new staff. Computer usage policy. Appropriate furniture for computer use. Staff encouraged to report any concerns. Health implications considered when making changes to the office layout.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Major ICT failure Council, Employees, Councillors, Suppliers & Debtors, Public Financial, Legal & Compliance, Delivery & Quality of Service

3 2 6 Amber Server backed up in the cloud on secure server. Contract with Computer provider for IT support includes maintenance of the server. Cheeky Munkey provide anti virus software and firewall protection. Safety checks in software packages to ensure that information is not lost and set procedures for shutting down. Upgrades to ensure that hardware is suitable for its requirements and up to date. Network upgrade carried out on network when required. Password protection requiring system administration procedures to only be carried out by Cheeky Munkey.

ICT equipment now aging and risk of failure increasing – review required.


September 2016


Website out of date, incorrect or misleading

Council, Public Legal & Compliance, Delivery & Quality of Service, Reputation

2 2 4 Green Website office procedure. Each officer responsible for relevant web page. Agendas and minutes published without exempt pages. Web pages updated when required. Periodic review of website contents.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Lack of Council ownership of website.


2 2 4 Green Domain name of Harpenden Town Council, and website owned by HTC. Monthly maintenance contract held with web developer. Annual contract held for hosting service with web developer.


September 2016


Inadequate budget provision for website.


3 1 3 Green Budget included in 3-5 medium term financial plan. Annual budget approved by Council.


September 2016


Failure of website or internet provider.


2 2 4 Green Back up of website carried out weekly and stored off site. Service level agreement with IT support to reinstate network/internet. Contract with web developer to maintain functioning website. Auto email response set up to advise public that Park Hall / Town Mayor forms are not available whilst service is being reinstated.


September 2016


Misleading or damaging information provided.


2 2 4 Green Moderators from staff appointed to monitor social media feed. Social media procedure in place to ensure accurate information provided.


September 2016


Laptop and portable media – theft, misappropriation & loss of data.

Council, Public, Councillors, Employees, Suppliers Financial, Legal & Compliance, Delivery & Quality of Service, Reputation

3 2 6 Amber Council has 2 laptops, which are login and password protected, and discourages the use of portable storage media. Removal of the laptop from the Council offices requires approval by the Town Clerk. Any portable media storage to be kept in a locked draw or safe. No portable storage media to be removed from the premises without the approval of the Town Clerk.


September 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT

1.6 Premises & Assets (general)

Theft / Loss of asset Council, Physical, Financial, Legal & Compliance, Delivery & Quality of Service

2 2 4 Green Title to property and land assets recorded with Land Registry. All assets with values over £100 are recorded on list of possessions. Capital assets are recorded on the financial asset register, if appropriate. Buildings have regularly maintained intruder alarms. Insurance cover in place for larger assets. War Memorial not insured. Street furniture not insured. ICT assets have identification numbers.


August 2016


Fire / Flood / Vandalism - Damage to assets.

Council, Physical, Financial, Legal & Compliance, Delivery & Quality of Service

3 2 6 Amber Buildings have regularly maintained intruder and fire alarms. Fire risk assessments in place for Town Hall and Park Hall – subject to annual review. Fire safety training last provided 2012. Access to Town Hall restricted by security coded door. Toilets and Lydekker Park locked every night. Insurance cover in place. CCTV in public areas of town and Town Hall & Park Hall have CCTV to hard disc. Condition survey carried out in 2010 on Town Hall, Park Hall and Leyton Road toilets. Repairs and maintenance budgets in place.

Issues arising from fire risk assessments need to be addressed.


August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Changes in market conditions or legislation - reduction in value of asset / increased costs due.

Council, Environmental, Financial, Legal & Compliance, Delivery & Quality of Service

2 2 4 Green Changes in legislation and environmental regulations monitored. Where appropriate assets conform to current legislation in respect of Health & Safety & Environmental matters.


August 2015


Failure of tenant - Loss of tenant income

Council, Financial, Legal & Compliance,

3 2 6 Amber Payments in respect of leases and licences monitored and debts chased promptly. Contracts in place for long term arrangements. Bad debt and write off policy in place. Negotiations over revised lease arrangements consider tenants position.


August 2016


Assets not recorded properly.

Council, Financial, Legal & Compliance,

2 2 4 Green List of possessions and financial asset register reviewed annually. Insurance reviewed annual. Insurance valuations for property reviewed in 2011.

Annual inspection and documentation review to be undertaken for cottages under licence to HCGC.


August 2016

1.6a Premises & Assets - Land adj to Westfield Recreation Ground

Incorrect or inappropriate professional advice received.

Council, Financial, Compliance & Legal, Reputation

3 2 6 Amber Town Clerk ensures all professional consultants have relevant qualifications and takes up references if appropriate. Town Clerk fully briefs professionals and Councillors. Town Clerk monitors progress and actions.


August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Negative media coverage.

Council, Compliance & Legal Reputation

3 3 9 Amber Council makes democratic decisions to ensure majority agreement. Council takes specialist advice when required. Town Clerk fully briefs Councillors. Press releases in line with approved procedures. All approved by Town Clerk. Public informed via Council media including website & Forum.


August 2016


Inadequate budget provision.

Council, Financial, Service Delivery & Quality

3 2 6 Amber Town Clerk makes recommendations for annual budget setting and 3-5 year medium term strategy.


August 2016


Damage to land. Council, Financial, Service Delivery & Quality

2 1 2 Green Area fenced and monitored regularly by HTC maintenance team. Where appropriate area still maintained as part of Councils ground maintenance contract. Public liability insurance in place.

Town Clerk HTC Maint Team

August 2015

August 2016


Change in market conditions (Westfield).

Council, Financial

3 3 9 Amber

Market conditions to be taken into account if / when disposal likely.


August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Fly postings or tipping on land.

Council, Public Physical, Financial, Compliance & Legal

2 1 2 Green Area is fenced from public and monitored regularly by HTC maintenance team. Area still maintained if required. Items removed if dangerous or unsightly.


August 2015

August 2016


Land not properly secure Unauthorised access.

Council, Public Financial, Compliance & Legal

3 2 6 Amber Areas fenced and monitored regularly by HTC Maintenance Team.

Fences maintained as appropriate.


August 2015

August 2016

1.7 General Public Damage or injury to members of the public.

Council, Employees, Councillors, Public Physical, Financial, Legal & Compliance, Reputation

4 2 8 Amber Heath and safety policy in place. Service risk assessments carried out regularly by service officer and reviewed by Town Clerk. Fire risk assessments undertaken. Events risk assessments undertaken and reviewed by Town Clerk prior to event. Staff risk aware, risk management included on agenda at all team meetings. Public liability insurance in place. Councillors made aware of risk management by adoption of risk management strategy. Council reviews and approves risk register annually.

Health and Safety Policy produced in 2002 should be reviewed. Staff training should be reviewed.


August 2016

1.7 General Public Libel , Slander Council, Employees, Councillors, Public Financial, Legal & Compliance, Reputation

3 2 6 Amber Staff risk aware. Councillors made aware of risk management by adoption of risk management strategy. Code of conduct. Press releases and publications reviewed by Town Clerk before publication.

Staff training should be reviewed.


August 2016


of 25





RISK OWNER

REVIEW DATES


LAST NEXT

1.8 Events – General Events organised on Town Council premises by third parties – injury / damage to property

Public, Councillors Staff, Contractors, Event organiser & staff Physical, Financial, Legal & Compliance, Reputation

3 2 6 Amber The Town Council is responsible for all activities on its property, even if they are organised by a third party. They are required to take reasonable action to ensure these take place safely and could be liable if an incident or injury takes place. Town Council permission must be obtained prior to any event taking place on Town Council owned land. (via Environment Committee or Officer re: Concourse booking). Full written details of the event must be provided to the Council. Including copies of the event plan and insurance cover. The event is recorded on the Town Council calendar and details retained on the appropriate file (e.g.C7 fairs, C22 for special events, C6 for Concourse). An events plan should be submitted to the Safety Advisory Group of St Albans District Council for any event to/in which members of the public are invited by the events organisers. Fair grounds are required to provide proof of equipment safety checks in addition to copies of insurance. Maintenance Officer checks that documents are for rides set up on site. All events must be insured to a minimum of £5 million public liability.

Town Clerk Commons and Greens Officer Events Officer Community Services Officer HTC Maint Team

August 2015

August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT

1.8 Events – General Events organised by the Town Council – injury / property damage / adverse publicity / litigation

Public, Councillors Staff, Contractors Physical, Financial, Legal & Compliance, Reputation

3 2 6 Amber A risk assessment is prepared for all events organised by the Town Council. Fire risk assessment carried out prior to event. Confirmation of insurance cover is obtained from the Town Council’s insurers. Checks are carried out on third party participators as appropriate – DBS / risk assessments / food hygiene / insurance etc. Appropriate first aid facilities are put in place according to size of event. Council staff organise event on site and are easily identifiable. Event organisers contact point identified. Road closures considered and put in place where appropriate managed by suitably qualified staff (minimum NRSWA National Street Work Unit 2).

Town Clerk Commons and Greens Officer Events Officer Community Services Officer Amenity Officer Maint Officer

August 2015

August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT

1.9 Contractors – General

Use of contractors – damage / fire / injury

Public, Councillors Staff, Contractors Physical, Financial, Legal & Compliance, Reputation

3 2 6 Amber Only suitably established and reputable firms are selected. All contractors are reviewed prior to being employed and references taken when appropriate. Electricians and contractors servicing gas appliances or system should be fully qualified and registered. Electricians – NICEIC Gas – Gas Safety Registered Evidence of professional status must be provided, checked regularly by staff and recorded. Contractors handing sanitary waste, clinical waste, herbicides, pesticides etc are appropriately licensed. Work of all contractors is monitored and where appropriate records kept. All contractors are required to complete CONTRACTORS RISK ASSESSMENT form (located in A56b and F4) prior to any works taking place in or around the Town Hall or Park Hall. CRA Form to be checked and signed by authorised HTC staff. Copy for file, copy for contractor. Form to be retained for six years. All contractors encouraged to hold £10 million public liability insurance (minimum of £5 million will be acceptable). Groundwork contractor has public liability insurance cover of £10 million. H TC view insurance certificates every year, to ensure that all contractors have adequate insurance cover.

Contractors risk assessment form to be reviewed.

Information and Park Hall Officer Central Services Officer Commons & Greens Officer

August 2015

August 2016

of 25






RISK OWNER

REVIEW DATES


LAST NEXT


Site injury – injury / death Public, Staff, Contractors 3 2 6 Amber HTC advise all contractors of any known hazards prior to contractors starting work. Asbestos is known to be present under the Town Hall roof tiles and at various allotment sites. It is a legal requirement to show contractors the asbestos register (see A56n) if they ask or if they are expected to carry work out adjacent to asbestos. No work to be allowed to take place in areas where asbestos may exist without specialist advice.


August 2015

August 2016


Site safety - fire Public, Staff, Contractors 3 2 6 Amber HTC to advise all contractors of fire procedures when they start work.


August 2015

August 2016


Site safety – injury / damage

Public, Staff, Contractors 3 2 6 Amber All parties are aware of the necessity to maintain a safe working environment.


August 2015

August 2016

risk register – corporate risk

Documents