risk assessment – Derby Community Accountancy Service

To achieve our purpose and fulfil our statutory functions, we are risk-led in our regulation, which means:

being proactive in identifying risks and intervening, where possible, to prevent harm before it occurs
addressing harm effectively where it occurs
focusing our resources effectively on the highest risks

How we identify risks

We identify risks from a wide range of sources including, but not limited to:

information charities include in their annual return and accounts
serious incident reports from trustees
reporting by auditors and independent examiners
reports of serious wrongdoing in charities from employees and volunteers, including whistleblowing
complaints from the public or public sources
our engagement with charities
our work with other bodies, departments and agencies
concerns raised in the media and by members of parliament

We place an emphasis on being proactive and identifying risks as soon as possible. To achieve this we:

identify trends to get a better understanding of the evolving threats and risks to the ability of charity to thrive and inspire trust and confidence
analyse the data, information and knowledge that we gather from the sources mentioned above
use our awareness of changes to the environment in which charities are operating and the main challenges facing the charity sector

How we respond to risks

Our approach is underlined by our general functions as set out above, which include:

determining whether institutions are charities
encouraging and facilitating the better administration of charities
identifying and investigating apparent misconduct or mismanagement in the administration of charities and taking corresponding remedial or protective action

We will prioritise our casework resources towards addressing the highest risks, those which have the potential to cause the highest level of harm to public trust and confidence, or which may affect trustees’ ability to comply with their duties.

The level and nature of some risks will be such that it would not be proportionate to use our resources to undertake direct regulatory action or engagement with the charity. However, this does not mean that we do not want to be notified of these risks. Whilst we may not take regulatory action, we may still contact a charity’s trustees to alert them to the concerns raised with us. We may keep such information in our records and reassess our response if further information comes to light. We will also use the information to inform our wider understanding of risks. This may result in actions that deal with risk in a thematic way, for example publishing a report of our overall findings or issuing a regulatory alert to all or a relevant category of charities.

There will be some limited cases where the level and nature of risk identified means that another regulator or agency is better placed to respond, for example serious criminal matters. In such cases, we will work with the other regulator or agency to ensure the appropriate response.

An increased level of Commission involvement with a charity or on an issue does not necessarily mean that something has already gone wrong. It may simply mean that a risk requires a greater regulatory involvement or scrutiny.

Since the nature and level of a risk may change during the course of a particular case, we may need to periodically review our response.

You can read more here

The government has published guidance on managing the risk of COVID-19 in the workplace as people begin to return to work, using these 5 key points. This sets out practical steps for businesses focused on 5 key points, which should be implemented as soon as it is practical:

1. Work from home, if you can

All reasonable steps should be taken by employers to help people work from home. But for those who cannot work from home and whose workplace has not been told to close, our message is clear: you should go to work. Staff should speak to their employer about when their workplace will open.

2. Carry out a COVID-19 risk assessment, in consultation with workers or trade unions

This guidance operates within current health and safety employment and equalities legislation and employers will need to carry out COVID-19 risk assessments in consultation with their workers or trade unions, to establish what guidelines to put in place. If possible, employers should publish the results of their risk assessments on their website and we expect all businesses with over 50 employees to do so.

Employers should re-design workspaces to maintain 2 metre distances between people by staggering start times, creating one way walk-throughs, opening more entrances and exits, or changing seating layouts in break rooms.

4. Where people cannot be 2 metres apart, manage transmission risk

Employers should look into putting barriers in shared spaces, creating workplace shift patterns or fixed teams minimising the number of people in 5contact with one another, or ensuring colleagues are facing away from each other.

5. Reinforcing cleaning processes

Workplaces should be cleaned more frequently, paying close attention to high-contact objects like door handles and keyboards. Employers should provide handwashing facilities or hand sanitisers at entry and exit points.

A downloadable notice is included in the documents, which employers should display in their workplaces to show their employees, customers and other visitors to their workplace, that they have followed this guidance

You can find and download the notice here