Risk Assessment Version 10 – April 2026
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 the Parish Council to assess the risks that it faces and 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 focuses approach to managing risk, which:
| Subject | Risk(s) /Identified | 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 | Review plan when necessary |
| Precept | Adequacy of precept Requirements not submitted to Cumberland Unitary Authority Amount not received from CUA |
L L L |
Once a year the Council receives a budget up-date report. Based upon this it sets the precept requirements for the coming year which are then submitted to Cumberland Unitary Authority
The Clerk/RFO or designated Councillor would check CUA has received 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 the 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 the statements arrive |
Existing procedure adequate. Review the Financial Regulations when necessary and bank signatory list when necessary, especially after an AGM and an election. Monitor the 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 held.
Cash from toilet donation box and book box collected and tallied by Clerk and banked |
Existing procedure adequate. Review the Financial Regulations when necessary.
Reviewed annually as to procedures |
| Reporting and Auditing | Information/communication Compliance |
L M |
A monitoring statement is produced when necessary
The Council audits as necessary to comply with Fidelity Guarantee |
Existing communication procedures adequate. Council annually to appoint a Councillor 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 Council meeting the list of invoices awaiting approval is reported to Councillors and considered. The Council maintains no stock of any kind, other than the small amount of clerical supplies sufficient for the Clerk’s duties. |
Existing procedure adequate. Review the Financial Regulations when necessary. |
| Grants & Support Payable | Power to Pay Authorisation of Council to Pay |
L | All such expenditure goes through the required Council process of approval, minuted and listed accordingly if a payment is made using the S137 power of expenditure. | Existing procedure adequate. Parish Councillors request a S137 rules if required. A grant awarding policy has been approved by the Council. |
| Grants Received | Receipts of Grants | L | The Parish Council does not presently receive any regular grants. One-off grants would come with terms and conditions to be satisfied. | Procedure would need to be formed, if required. |
| Charges – Rentals Payable | Payments of charges, leases, rentals | L | The Council has no leasehold property | Existing procedure adequate. |
| Charges – Rentals Receivable | Receipt of rental Insurance implication |
L M |
The council has leased the sports field and Pavilion to BSSC on a 100 year lease
The Council also owns 2 fields which are leased out when tenants are available at rents determined at the time. Insurance paid annually Council rents office space at church view offices under short term lease |
Existing procedure adequate. Review agreement and fees annually. Ensure payment and copy of insurance document received if appropriate. Agreements in place for rental of Church View office and ground to BDSSA – to be reviewed on changes to agreement law circumstances |
| Best Value | Accountability Work awarded incorrectly Overspend on services |
L M |
Parish Council practice would be to seek, if possible, more than one quotation for any substantial work required to be undertaken or goods. For major contract services, formal competitive tenders would be sought. If a problem is encountered with a contract the Clerk would investigate the situation, check the quotation/tender, research the problem and report to Council. | Existing procedure adequate. Include when reviewing Financial Regulations. |
| Salaries & Assoc. Costs | Salary paid incorrectly Wrong hours paid Wrong rate paid False employee Wrong deductions of NI or Tax Unpaid NI or Tax contributions to the Inland Revenue |
L L L L L L |
The Parish Council authorises the appointment of all employees through full council meeting
Salary rates are assessed annually by the full council and applied on 1 April each year. Salary analysis and slips are produced by the Clerk monthly together with a schedule of payments to the Inland Revenue (for Tax & NI). These are inspected at the Council meetings and signed off. The Tax and NI payments are worked out using an Inland Revenue computer programme updated annually. All Tax & NI payments are submitted in the Inland Revenue Annual Return. There are no employees other than a part-time Clerk. |
Existing appointment and payment system is 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.
The requirements of the Fidelity Guarantee Insurance to be adhered to with regards to fraud. The Clerk should be provided with relevant training, reference books, access to assistance and legal advice required to undertake the role. Note: The Council could function without a Clerk for a short period. |
Existing procedure adequate.
Purchase revised books |
| Councillor Allowances | Councillors overpaid | Negative | No allowances are allocated to Parish councillors | No procedure required |
| Election Costs | Risk of an election cost | Risk is higher in an election year. When an election is due the Clerk will obtain an estimate of costs from the Unitary Council for a full election and an uncontested election. There are no measures, which can be adopted to minimise the risk of having a contested election, as this is a democratic process and should not be stifled. | Existing procedure adequate Council to have adequate reserves in an election year to cope with the potential cost |
|
| VAT | Re-claiming/charging | L | The Council is registered for VAT. The Vat is reclaimed once only, after the end of each Financial Year 31st March. This is the responsibility of the RFO/Clerk | Existing procedure adequate. |
| Annual Return | Submit within time limits | L | The annual return must be agreed at a Council meeting and duly signed by the Chairman and RFO/Clerk. The return must be submitted by the time given by the Audit Office to avoid penalty. | Existing procedure adequate. |
| Legal Powers | Illegal activity or payments | L | All activity and payments within the powers of the Parish Council to be resolved and minuted at a Full Parish Council Meeting. | As Financial Regulations |
| Minutes/Agendas/Notices/Statutory Documents | Accuracy and legality Business Conduct |
L L |
Minutes and agenda are produced in the prescribed method by the Clerk and adhere to the legal requirements. Minutes are approved and signed at the next Council meeting. Minutes and agenda are displayed according to the legal requirements. The Chair should manage business conducted at Council meetings. |
Existing procedure adequate. Guidance/training to Chair should be given (if required). Members to adhere to Code of Conduct. |
| Members Interests | Conflict of interest Register of Members Interest |
L M |
Although not a requirement, the declaring of interests by members at a meeting should be an obvious process to remind Councillors of their duty and should remain on the agenda.
Councillors should review their register of Members Interest Forms regularly. |
Existing procedure adequate. Members take responsibility to update their Register. |
| Insurance | Adequacy Cost Compliance Fidelity Guarantee |
L L L M |
An annual review is undertaken (before the time of the policy renewal) of all insurance arrangements in place.
Employers and Employee liability insurance is a necessity and must be paid for. Ensure compliance measures are in place. Ensure Fidelity checks are in place. |
Existing procedure adequate. Review insurance provision annually. Review of compliance. |
| Data Protection Policy | Provision | L | The Council only keeps the names, addresses and interests of members
The Council is now registered with the Information Commissioners Office and is working towards compliance with the new Data Protection Regulations which come into force on 25 May 2018 A Privacy Policy is now in place. |
|
| Freedom of Information Policy | Provision | L/M | The Clerk is aware that if a substantial request arrives that this may require considerable additional work. The Council is able to request a fee if the work will take more than 15-hours, but the applicant also has the right to re-submit the request broken down into sections, thus negating the payment of a fee. | Monitor and report any impacts of requests made under the Freedom of Information Act. |
| Subject | Risk(s) /Identified | H/M/L | Management/Control of Risk | Review/Assess/Revise |
|---|---|---|---|---|
| Assets | Loss or damage Risk/damage to third party(ies)/property |
L L |
An annual review of assets is undertaken for insurance purposes | Existing procedure adequate |
| Toilet block and office space | Slips/trips/falls Damage to fixture and fittings infection |
L L |
Floors of non slip type. All cleaning undertaken outside of normal usage. Toilets are on limited opening hours and cleaning is undertaken outside these hours Covid cleaning regime in place. 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 has a number of assets which are recorded on the Register of Assets and reviewed and updated annually The condition of which is under constant review and periodic maintenance. | Existing procedure adequate. Ensure inspections are carried out regularly. |
| Notice Boards | Risk/Damage/Injury to third parties Road side safety |
L L |
The Parish Council have three notice boards. All locations have approval by relevant parties. These are inspected regularly by a councillor and necessary repairs are attended to after requirements brought to the attention of the Parish Council. | Existing procedure adequate. |
| Street Furniture Seats Planters Street lights |
Risk/damage to third parties | L | The Parish Council has a number of public seats and planters around the Parish. The volunteers of Bootle in Bloom inspect these regularly and necessary repairs are attended to after requirements brought to the Parish Council’s attention.
4 footway lights are the subject of a maintenance contract with an external qualified body |
Existing procedure adequate. |
| Meeting Locations | Adequacy Health & Safety |
L M |
The Parish Council meetings are held in the Bootle Evangelical meeting room The premises and the facilities are considered to be adequate for the Clerk, Councillors and Public who attend from Health and Safety and comfort aspects. | Existing locations adequate. |
| Council Records – paper | Loss through theft, Fire, Damage |
L M L |
The Parish Council records are stored at the home of the Clerk. Records include historical correspondence, minute books and copies, leases for land or property, records such as personnel, insurance, salaries etc. Recent materials are in a metal filing cabinet (not fire proof) and older more historical records in separate filing cabinet. Earlier records have been passed to Whitehaven records office | Damage (apart from fire) and theft is unlikely and so provision adequate. Deeds/leases copied and deposited off-site. To monitor storage problem with a view to sending historical items to the Local Archives Department. |
| Council Records – electronic | Loss through: Theft, fire damage, corruption of computer |
L/M | The Parish Council’s electronic records are stored on the Clerk’s computer. Back ups of the files are taken at regular intervals. | Agendas and Minutes and other prescribed documents are published on the website bootleparishcouncil.co.uk
The Clerk also backs up to 2 external hard drives |
| Community Woodland | Slip/trips/Falls | L | Footpath constructed of suitable materials. Inspection regime in place to ensure maintenance issues raised Money accrued annually towards maintenance costs |
Review annually |
| Safe travel from Bootle Village to Bootle Station via foot | Pedestrians coming into contact with moving vehicles,
Vehicles not seeing pedestrians because of poor visibility because of landscape of road or poor lighting Road incidents due to speeding vehicles avoiding pedestrians |
H
H H |
The road is narrow with few spaces for pedestrians to move out of the way of vehicles. Speed limit is National speed limit.
A route has been identified using existing PROW;s, a route through the Wellbank estate and a section of road where a footpath could be installed linking the Wellbank Estate to the existing PROW |
Highways approve the route. LDNP will maintain the existing PROW And adapt stiles to gates Permanent footpath now installed and maintained by Cumberland Highways linking Wellbank to PROW Seek a review of speed limit |
Amendments to the previous risk assessment are identified in red type
Approved by Bootle Parish Council at its meeting on . April 2026 Signed: …………………………… Chairman