Risk Assessment Version: 8 – April 2024
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 has been produced to enable 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 is aware that although some risks can never be eliminated fully, it has in place a strategy that provides 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 an unexpected or tragic circumstance. | L | The Council is not responsible for any vital services. Working documents are stored online with password-protected access for the Chair and Vice Chair. | Review plan when necessary. |
| Precept | Adequacy of precept; requirements not submitted to Cumberland Unitary Authority (CUA); amount not received from CUA. | 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 Cumberland Unitary Authority. The Clerk/RFO or a designated Councillor checks that CUA 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 | The Council has Financial Regulations which set out the requirements for banking, cheques and reconciliation of accounts. The Clerk reconciles the bank accounts when statements arrive. | Existing procedure adequate. Review Financial Regulations and bank signatory list when necessary, especially after an AGM or an election. Monitor bank statements quarterly. |
| Cash | Loss through theft or dishonesty. | L | The Council has Financial Regulations which set out the requirements. Cash is very 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 conducts audits as necessary to comply with the Fidelity Guarantee. | Existing communication procedures adequate. 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 | The Council has Financial Regulations which set out the requirements. At each meeting the list of invoices awaiting approval is reported to Councillors, considered and approved. The Council holds no stock other than a small amount of clerical supplies sufficient for the Clerk’s duties. | Existing procedure adequate. Review Financial Regulations when necessary. |
| Grants & Support Payable | Power to pay; authorisation to pay. | L | All such expenditure is approved through the Council, minuted and listed accordingly. Where used, Section 137 expenditure is clearly identified. | Existing procedure adequate. Councillors may request S137 rules if required. A grant awarding policy has been approved. |
| Grants Received | Receipt of grants. | L | The Council does not presently receive regular grants. One-off grants would come with terms and conditions to be satisfied. | Procedure to be formed if regular grants are received. |
| Charges – Rentals Payable | Payment of charges, leases, rentals. | L | The Council has no leasehold property for which it pays rent. | 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. The Council also owns two fields which are leased when tenants are available, at rents determined at the time. Insurance is paid annually. The Council rents office space at Church View under a short-term lease agreement, and has agreements in place for rental of Church View office and ground to BDSSA. | Existing procedure adequate. Review agreements and fees annually. Ensure rent payments and, where appropriate, copies of insurance documents are received. Agreements to be reviewed on changes to law or circumstances. |
| Best Value Accountability | Work awarded incorrectly; overspend on services. | L / M | The Council seeks, where possible, more than one quotation for substantial work or goods. For major contracts, formal competitive tenders are sought. If a problem occurs with a contract, the Clerk investigates, 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 paid; wrong rate paid; false employee; incorrect NI/Tax deductions; unpaid NI/Tax. | L for all | The Council authorises appointments at full Council meetings. Salary rates are assessed annually by the Council and applied from 1 April. Salary analysis and payslips are produced quarterly by the Clerk, together with a schedule of payments to HMRC for Tax and NI; these are inspected at Council meetings and signed off. Tax and NI are calculated using an HMRC-approved program 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 absence of the Clerk, a temporary appointment would be made. Fidelity Guarantee Insurance requirements are observed. The Clerk is provided with training, reference books, access to assistance and legal advice as needed. The Council could function without a Clerk for a short period. | Existing procedure adequate. Purchase revised books when needed. Council is a member of SLCC. Monitor working conditions, safety requirements and insurance regularly. |
| Councillor Allowances | Councillors overpaid. | Negative | No allowances are allocated 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 Unitary Council for a full and an uncontested election. As elections are a democratic process, the risk of a contested election cannot be reduced. | Existing procedure adequate. Council to maintain adequate reserves in an election year to meet potential costs. |
| VAT | Reclaiming / charging. | L | The Council is registered for VAT. VAT is reclaimed once each financial year (after 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 is submitted by the deadline set by the Audit Office to avoid penalties. | Existing procedure adequate. |
| Legal Powers | Illegal activity or payments. | L | All activities and payments are resolved and minuted at full Council meetings to ensure they are within the Council’s legal 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 business conducted at Council meetings. | Existing procedure adequate. Provide guidance/training to the Chair if required. Members to adhere to the Code of Conduct. |
| Members’ Interests | Conflict of interest; Register of Members’ Interests. | L / M | Declaration of interests is a standard agenda item to remind Councillors of their duty. Councillors review their Register of Members’ Interests regularly. | Existing procedure adequate. Members are responsible for updating their Register. |
| Insurance | Adequacy; cost; compliance; Fidelity Guarantee. | L / L / L / M | An annual pre-renewal review of all insurance arrangements is undertaken. Employers’ and public liability insurance is mandatory. Compliance and Fidelity requirements are checked. | Existing procedure adequate. Review insurance provision and compliance annually. |
| Data Protection | Policy provision. | L | The Council holds only the names, addresses and interests of members. It is registered with the Information Commissioner’s Office and is working to maintain compliance with current Data Protection Regulations. A Privacy Policy is in place. | Ongoing compliance. |
| Freedom of Information | Policy provision; potential 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 re-submit requests in smaller sections to avoid a fee. | Monitor and report any impact of Freedom of Information requests. |
| Subject | Risk(s) Identified | Risk Level (H/M/L) | Management / Control of Risk | Review / Assess / Revise |
|---|---|---|---|---|
| Assets | Loss or damage; risk/damage to third parties or property. | L / L | An annual review of assets is undertaken for insurance purposes. | Existing procedure adequate. |
| Toilet Block and Office Space | Slips, trips and falls; damage to fixtures and fittings; infection. | L / L | Floors are non-slip. All cleaning is undertaken outside normal opening hours. Toilets operate on limited opening hours, and a Covid cleaning regime remains in place with PPE provided for the cleaner. | Existing procedure 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 recorded on the Asset Register, which is reviewed and updated annually. Their condition is under constant review and periodic maintenance is carried out. | Existing procedure 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 in approved locations. The Chair inspects them regularly and arranges repairs as required. | Existing procedure adequate. |
| Street Furniture (Seats, Planters, Street Lights) | Risk/damage to third parties. | L | The Council has public seats and planters around the parish. Volunteers of Bootle in Bloom inspect them regularly and report issues to the Council. Four footway lights are covered by a maintenance contract with an external qualified body. | Existing procedure adequate. |
| Meeting Locations | Adequacy; health and safety. | L / M | Meetings are held in the Community Room at Bootle Fire Station or at Bootle Evangelical meeting room. Premises and facilities are considered adequate and safe for the Clerk, Councillors and public. | Existing locations adequate. |
| Council Records – Paper | Loss through theft; fire; damage. | L / M / L | Records are stored at the Clerk’s home in filing cabinets (recent materials in a metal cabinet, older records in another). Earlier records have been deposited at Whitehaven Records Office. Deeds and leases are copied and stored off-site. | Damage (other than by 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 of computer. | 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. |
| Community Woodland | Slips, trips and falls. | L | Footpaths are constructed of suitable materials. An inspection regime is in place to ensure maintenance issues are raised. Money is accrued annually towards maintenance costs. | Review annually. |
Amendments to the previous risk assessment are identified in red type in the original document. This Risk Register and Risk Assessment was approved by Bootle Parish Council at its meeting on 10 April 2024.
Signed: ____________________________ Chairman
Clerk’s email: theclerk@bootleparishcouncil.co.uk