Fundraising Risk Assessment Template for England and Wales

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Fundraising Risk Assessment Template

I need a Fundraising Risk Assessment Template for our charity's upcoming street collection and sponsored run events in March 2025, focusing particularly on volunteer safety and public liability aspects for both indoor and outdoor activities.

Document background

The Fundraising Risk Assessment Template is designed to help organizations in England and Wales conduct thorough risk assessments of their fundraising activities. It addresses the growing complexity of fundraising operations and the need for robust risk management in accordance with the Charities Act 2011 and related regulations. The template covers various aspects including physical safety, financial controls, data protection, and regulatory compliance, providing a systematic approach to identifying and managing potential risks in fundraising activities.

Suggested Sections

1. Risk Assessment Details: Basic information including date, assessor name, organization details, and specific fundraising activity being assessed

2. Hazard Identification: Comprehensive listing of potential risks across financial, reputational, operational, legal and compliance categories

3. Risk Evaluation Matrix: Structured assessment framework for evaluating likelihood and impact of identified risks using a 5x5 matrix

4. Control Measures: Detailed description of existing and proposed measures to mitigate identified risks, including responsible parties

5. Compliance Requirements: Checklist of relevant regulatory and legal requirements under the Charities Act, Data Protection Act, and Fundraising Code

Optional Sections

1. Event-Specific Risks: Additional risk considerations for physical fundraising events, including venue safety, crowd management, and public liability

2. Digital Fundraising Risks: Specific considerations for online fundraising including cybersecurity, payment processing, and data protection measures

3. Volunteer Management Risks: Risk assessment specific to volunteer recruitment, training, supervision, and safety considerations

4. Financial Controls Assessment: Detailed assessment of money handling procedures, anti-fraud measures, and financial accountability processes

Suggested Schedules

1. Risk Assessment Matrix Template: Standardized template for scoring and evaluating risks with probability and impact scales

2. Incident Reporting Forms: Standard forms for recording any incidents, near-misses, or risk events that occur during fundraising activities

3. Regulatory Compliance Checklist: Comprehensive checklist ensuring compliance with all relevant legislation and regulatory requirements

4. Emergency Response Procedures: Detailed procedures and contact information for handling various types of emergencies during fundraising activities

5. Risk Control Action Plan: Template for documenting specific actions, timelines, and responsibilities for implementing risk control measures

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Charities and Non-profits
Education
Religious Organizations
Community Groups

Relevant Teams

Fundraising
Compliance
Legal
Finance
Operations

Relevant Roles

Fundraising Director
Compliance Officer
Events Manager
Risk Manager
Charity CEO

Industries

Charities Act 2011: Primary legislation governing charity operations and fundraising activities in England and Wales, including requirements for registration, reporting, and trustee responsibilities

Charities (Protection and Social Investment) Act 2016: Additional legislation strengthening the Charity Commission's powers and introducing new requirements for fundraising agreements and practices

Data Protection Act 2018 (UK GDPR): Legislation governing the collection, processing, and storage of personal data from donors and supporters

Privacy and Electronic Communications Regulations (PECR): Regulations covering electronic communications, including email marketing and telephone fundraising

Gambling Act 2005: Legislation governing charitable gambling activities such as raffles, lotteries, and prize draws

Consumer Rights Act 2015: Legislation protecting donor rights and governing fundraising transactions and agreements

Equality Act 2010: Legislation ensuring non-discrimination in fundraising activities and equal access to giving opportunities

Fundraising Regulator's Code of Fundraising Practice: Key regulatory framework setting standards for fundraising activities and ethical practices

Payment Services Regulations 2017: Regulations governing the handling and processing of donations and financial transactions

Health and Safety at Work Act 1974: Legislation ensuring safety standards for fundraising events and activities involving staff and volunteers

House to House Collections Act 1939: Specific legislation governing door-to-door fundraising activities and required permits

Money Laundering Regulations 2017: Regulations requiring due diligence on large donations and prevention of money laundering through charitable giving

Proceeds of Crime Act 2002: Legislation preventing the acceptance of donations from illegal activities and requiring reporting of suspicious transactions

Financial Services and Markets Act 2000: Legislation governing financial aspects of fundraising, including investment and financial promotions

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