(May 2009)

What is a serious incident?

A serious incident is one which has resulted or could result in a significant loss of funds or a significant risk to a charity’s property, work, beneficiaries or reputation. Our Guidance details those issues that we consider to be serious or significant. In addition we have identified several ‘zero tolerance’ issues which we would always regard as serious incidents which should be reported to us.

If in doubt, trustees should always err on the side of caution and report them to us.

How should trustees report a serious incident?

Reports can be sent by letter, email or telephone: details are available on our website. We have a dedicated email address specifically for serious incident reporting. It is rsi@charitycommission.gsi.gov.uk

Must all Charities report serious incidents?

As a matter of best practice we recommend that trustees of all charities report any serious incidents to the Commission. However, all charities with an income over £10,000 must submit an Annual Return to the Commission. As part of this Return, for charities with an annual income over £25,000, trustees must make a declaration that there are no serious incidents or other matters which they should have brought to the Commission's attention and have not done so already. It is, of course, sufficient for one trustee to make the report to us on behalf of the trustee body as a whole.

What if it is just an allegation or suspicion?

If trustees have reasonable grounds to believe or suspect that a serious incident has happened, then they should report it to us.

What if the alleged incident took place before the organisation was a charity, or before the current trustees were on the board?

Historic incidents should also be reported to the Commission as soon as the allegation is made. Such incidents will need to be dealt with by the trustees as they could still present a risk to the charity.

Why should trustees report serious incidents?

By reporting serious incidents trustees are demonstrating that they are aware of a serious issue for the charity and that they are acting responsibly in their duty to govern an effective and well run charity.

Reporting serious incidents also ensures that the Commission can provide assistance, where appropriate, at the earliest opportunity when an issue has arisen in a charity.

If a serious incident has already been reported to the police/another regulator should it still be reported to the Commission?

Yes. Also, if a charity or an individual connected to the charity is being investigated, for whatever reason, by the police or another agency then this should also be reported to us.

Will information that has been reported be held in confidence by the Commission?

We respect confidences as far as we are able. We give proper consideration to an individual’s rights under data protection and human rights legislation. However, there may be certain instances where we cannot guarantee confidentiality and we may have obligations under the Freedom of Information Act.

Will the Commission release the information under FOI?

As a public authority, the Freedom of Information Act applies to the Commission. However, there are a range of exemptions which may apply to the kind of information provided as a serious incident which would mean that we would not disclose it.

Will the Commission report the serious incident to the police/another regulator?

Where there is evidence or there are reasonable grounds to believe that criminality has taken place, we have a duty to report this to the police.

Where we receive information that is relevant to a public body, we will release information only that is relevant for the discharge of their statutory functions and when we consider it necessary and in the public interest to do so.

How does the Commission decide what actions to take in response to a serious incident?

Our approach to issues of serious concern takes into account:

• the seriousness and scale of the problem and the level of risk it poses to the charity and to its assets, beneficiaries, integrity and reputation;
• the level of risk to the public and to the reputation of the charity sector in general.

We immediately assess all Serious Incident reports objectively using our Risk and Proportionality Framework to decide the most proportionate and effective response.

Further information on how we handle serious incident reports can be found in our Guidance.

Who deals with a Serious Incident Report in the Commission?

After an initial evaluation, if we decide that further action is required, the case will be referred to the appropriate area of the Commission to take forward. If we consider that further investigation in necessary or a serious regulatory concern has been identified then our Compliance Division will deal with the matter.

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