Version: 6 – April 2022
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 enables Bootle Parish Council to assess the risks that it faces and to satisfy itself that it has taken adequate steps to minimise them. The Council recognises that some risks can never be eliminated fully, but has in place a strategy providing a structured, systematic and focused approach to managing risk, which:
| Subject | Risk(s) Identified | Risk Level (H/M/L) | Management / Control of Risk | Review / Assess / Revise |
|---|---|---|---|---|
| Business Continuity | Risk of Council not being able to continue its business due to unexpected or tragic circumstances. | L | The Council is not responsible for any vital services. Working documents are now stored online with password-protected access for the Chair and Vice Chair. | Review plan when necessary. |
| Precept | Adequacy of precept; requirements not submitted to CBC; amount not received from CBC. | L / L / L | Once a year the Council receives a budget update report. Based on this, it sets precept requirements for the coming year which are then submitted to CBC. The Clerk/RFO or a designated councillor checks that CBC has received the communication. | Existing procedure adequate. |
| Financial Records | Inadequate records; financial irregularities. | L / L | The Council has Financial Regulations which set out the requirements. | Existing procedure adequate. Review Financial Regulations when necessary. |
| Bank & Banking | Inadequate checks; bank mistakes; loss; charges. | L / L / L / L | Financial Regulations set out requirements for banking, cheques and reconciliation. The Clerk reconciles bank accounts when statements arrive. | Existing procedure adequate. Review Financial Regulations and bank signatory list when necessary, especially after an AGM or election. Monitor bank statements quarterly. |
| Cash | Loss through theft or dishonesty. | L | Financial Regulations set out requirements. Cash is rarely received; there is no petty cash or float. Cash from the toilet donation box is collected and tallied by the Clerk and banked. | Existing procedure adequate. Review Financial Regulations when necessary. Procedures reviewed annually. |
| Reporting and Auditing | Information/communication; compliance. | L / M | A monitoring statement is produced when necessary. The Council audits as required to comply with the Fidelity Guarantee. | Existing communication procedures adequate. The Council annually appoints a councillor to act as auditor for Fidelity compliance. |
| Direct Costs / Overhead Expenses / Debts | Goods not supplied but billed; incorrect invoicing; cheque payable incorrect; unpaid invoices; loss of stock. | L / L / L / L / L | Financial Regulations set out requirements. At each meeting the list of invoices awaiting approval is reported to councillors, considered and approved. The Council maintains no stock apart from a small amount of clerical supplies. | Existing procedure adequate. Review Financial Regulations when necessary. |
| Grants & Support Payable | Power to pay; authorisation of Council to pay. | L | All such expenditure is approved through the Council, minuted and listed. Payments under Section 137 are clearly identified. | Existing procedure adequate. Councillors to request S137 rules if required. A grant-awarding policy has been approved. |
| Grants Received | Receipt of grants. | L | The Council does not currently receive regular grants. One-off grants come with terms and conditions. | Procedure to be developed if regular grants are received. |
| Charges – Rentals Payable | Payment of charges, leases, rentals. | L | The Council has no leasehold property. | Existing procedure adequate. |
| Charges – Rentals Receivable | Receipt of rental; insurance implications. | L / M | The Council has leased the sports field and pavilion to BSSC on a 100-year lease. It also owns two fields which are leased when tenants are available, at agreed rents. Insurance is paid annually. | Existing procedure adequate. Review agreements and fees annually. Ensure rent payments and, where appropriate, copies of insurance documents are received. |
| Best Value Accountability | Work awarded incorrectly; overspend on services. | L / M | The Council seeks more than one quotation where possible for substantial work or goods. Major contracts are subject to formal competitive tender. The Clerk investigates any contract problems, checks quotations/tenders, researches the issue and reports to Council. | Existing procedure adequate. Include when reviewing Financial Regulations. |
| Salaries & Associated Costs | Salary paid incorrectly; wrong hours or rate; false employee; incorrect NI/Tax deductions; unpaid NI/Tax. | L (for each) | The Council authorises all appointments. Salary rates are reviewed annually and applied from 1 April. Salary analysis and payslips are produced quarterly with a schedule of payments to HMRC for Tax and NI; these are inspected and signed off at Council meetings. Calculations are made using an HMRC-approved programme and submitted in the annual return. There is only one employee, the part-time Clerk. | Existing appointment and payment system adequate. |
| Employees | Loss of key personnel; fraud by staff; actions undertaken by staff; health and safety. | L / L / L / L | In the Clerk’s absence, a temporary appointment would be made. Fidelity Guarantee Insurance requirements are adhered to. The Clerk is provided with training, reference books, and access to assistance and legal advice. The Council could function without a Clerk for a short period. | Existing procedures adequate. Purchase revised books as needed. The Council is a member of SLCC. Monitor working conditions, safety and insurance regularly. |
| Councillor Allowances | Councillors overpaid. | Negative | No allowances are paid to parish councillors. | No procedure required. |
| Election Costs | Risk of election costs. | — | Risk is higher in an election year. When an election is due the Clerk obtains cost estimates from the Borough Council for a full and an uncontested election. As elections are a democratic process, the risk cannot be reduced. | Existing procedure adequate. Council to hold adequate reserves in an election year. |
| VAT | Reclaiming/charging. | L | The Council is registered for VAT. VAT is reclaimed once, after the end of each financial year (31 March), by the RFO/Clerk. | Existing procedure adequate. |
| Annual Return | Failure to submit within time limits. | L | The Annual Return is agreed at a Council meeting and signed by the Chairman and RFO/Clerk. It must be submitted by the deadline set by the Audit Office. | Existing procedure adequate. |
| Legal Powers | Illegal activity or payments. | L | All activities and payments are resolved and minuted at full Council meetings, ensuring they fall within the Council’s powers. | As per Financial Regulations. |
| Minutes, Agendas, Notices, Statutory Documents | Accuracy and legality; business conduct. | L / L | Minutes and agendas are produced by the Clerk in accordance with legal requirements. Minutes are approved and signed at the next meeting and displayed as required. The Chair manages the conduct of meetings. | Existing procedures adequate. Provide guidance/training to Chair if required. Members to adhere to the Code of Conduct. |
| Members’ Interests | Conflict of interest; Register of Members’ Interests. | L / M | Declarations of interest are a standing agenda item. Councillors review their Register of Members’ Interests regularly. | Existing procedures adequate. Members are responsible for updating their register. |
| Insurance | Adequacy; cost; compliance; Fidelity Guarantee. | L / L / L / M | An annual review of all insurance arrangements is carried out before renewal, including employers’ and public liability. Compliance and Fidelity requirements are checked. | Existing procedures adequate. Review insurance provision and compliance annually. |
| Data Protection | Policy provision. | L | The Council holds names, addresses and interests of members. It is registered with the Information Commissioner’s Office and is working towards full compliance with current Data Protection Regulations. A Privacy Policy is in place. | Ongoing compliance. |
| Freedom of Information | Policy provision; significant workload from requests. | L/M | The Clerk is aware that substantial requests may require considerable work. The Council may charge a fee if work exceeds 15 hours, although applicants may resubmit in smaller sections to avoid a fee. | Monitor and report any impact of FOI requests. |
| Subject | Risk(s) Identified | Risk Level (H/M/L) | Management / Control of Risk | Review / Assess / Revise |
|---|---|---|---|---|
| Assets | Loss or damage; risk or damage to third parties or property. | L / L | An annual review of assets is undertaken for insurance purposes. | Existing procedures adequate. |
| Toilet Block and Office Space | Slips, trips, falls; damage to fixtures and fittings; infection. | L / L | Non-slip floors are fitted. Cleaning is undertaken outside opening hours. Toilets operate on limited opening hours. A Covid cleaning regime is in place, with PPE provided for the cleaner. | Existing procedures adequate. |
| Maintenance | Poor performance of assets or amenities; loss of income or performance; risk to third parties. | L / L / L | The Council’s assets are listed on the Asset Register, which is reviewed and updated annually. Conditions are continually monitored and periodic maintenance carried out. | Existing procedures adequate. Ensure inspections are carried out regularly. |
| Notice Boards | Risk of damage or injury to third parties; roadside safety. | L / L | The Council has three notice boards, all with appropriate permissions. The Chair inspects them regularly and arranges repairs as required. | Existing procedures adequate. |
| Street Furniture (seats, planters, street lights) | Risk or damage to third parties. | L | Bootle in Bloom volunteers regularly inspect public seats and planters and report issues to the Council. Four footway lights are covered by a maintenance contract with an external qualified body. | Existing procedures adequate. |
| Meeting Locations | Adequacy; health and safety. | L / M | Meetings are held in the Community Room at Bootle Fire Station, which is considered adequate and safe for the Clerk, councillors and public. | Existing locations adequate. |
| Council Records – Paper | Loss through theft, fire or damage. | L / M / L | Records are stored at the Clerk’s home in filing cabinets (recent records in a metal cabinet). Earlier records have been forwarded to Whitehaven Records Office. Deeds and leases are copied and stored off-site. | Damage (other than fire) or theft is considered unlikely; provision adequate. Storage to be monitored with a view to sending more historical items to Local Archives. |
| Council Records – Electronic | Loss through theft, fire, damage or corruption. | L/M | Electronic records are stored on the Clerk’s computer. Files are automatically backed up to Google Cloud and to two external hard drives. Agendas, minutes and prescribed documents are published on the website bootleparishcouncil.co.uk. | Existing backup arrangements adequate. |
This Risk Register and Risk Assessment was approved by Bootle Parish Council at its meeting on [date to be inserted]. Amendments to the previous risk assessment are identified in red type in the original document.
Signed: ____________________________ Chairman
Clerk’s email: theclerk@bootleparishcouncil.co.uk