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Reporting Serious Incidents to the Charity Commission

Reporting Serious Incidents to the Charity Commission. NEW CHURCH OF ENGLAND GUIDANCE February 2019. Reporting Serious Incidents. Background – Reporting Serious Incidents to the Charity Commission What is a Serious Incident?

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Reporting Serious Incidents to the Charity Commission

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  1. Reporting Serious Incidents to the Charity Commission NEW CHURCH OF ENGLAND GUIDANCE February 2019

  2. Reporting Serious Incidents • Background – Reporting Serious Incidents to the Charity Commission • What is a Serious Incident? • What happens when you report a Serious Incident to the Charity Commission? • Sending Serious Incident Reports to the NST • New Church of England Guidance and reporting Templates • DBFs reporting on behalf of PCCs • Next Steps • Review • Questions

  3. Background: Reporting Serious Incidents to the Charity Commission (1) • All charities are required to report Serious Incidents to the Charity Commission: • 2014 Guidance • Updated in September 2017 • Further Updated in October 2018 • No statutory requirement to report Serious Incidents BUT a compulsory declaration in the Charity Commission’s Annual Return confirms there are no Serious Incidents that occurred during the previous financial year that should have been reported but were not. • NOTE: Offence under s.60 Charities Act 2011 to provide false or misleading information to the Charity Commission.

  4. Background: Reporting Serious Incidents to the Charity Commission (2) • Early 2018: Series of Serious Incident charity scandals in the media. • Charity Commission undertook an internal audit of all SIRs received by it: • Only 1.5% of charities had reported a Serious Incident (majority safeguarding related) • Reports demonstrated a lack of understanding as to the threshold for reporting • Many reports were late and did not include sufficient information - incomplete reports led to the Commission going back to charities for more information to satisfy itself the trustees were acting properly • Concerned by charities NOT reporting – reporting demonstrates that your charity is identifying and managing incidents appropriately.

  5. What is a Serious Incident? A Serious Incident is an adverse event, whether actual or alleged, which results in or risks significant harm to the charity’s beneficiaries, employees, office holders, volunteers or to others who come into contact with the charity through its work, loss of the charity’s money or assets, damage to the charity’s property or harm to the charity’s work or reputation. • What is considered to be “significant” is a matter for the trustees to determine, depending on the context of the charity, taking into account its operations, staff, finances and reputation.

  6. Serious Incidents: Safeguarding (1) • Beneficiaries of your charity (adults or children) have been, or are alleged to have been, abused or mistreated while under the care of the charity, or by someone connected with the charity, for example a trustee of the PCC or DBF, a member of the clergy, a Church Officer, employee or volunteer. • A person who comes into contact with the charity through its work (including a Church Officer, an employee or a volunteer) has been abused or mistreated (alleged or actual) and the abuse or mistreatment is connected with the activities of the charity (for example, it occurred during a religious service, a home visit by clergy or a pastoral visitor or at an activity or event run by the PCC or DBF).

  7. Serious Incidents: Safeguarding (2) • There has been a breach of the House of Bishops’ guidance or other safeguarding procedures or policies at the charity which has put beneficiaries, and other persons who come into contact with the charity through its work, at significant risk of harm, including failure to report safeguarding concerns to statutory agencies or to carry out relevant vetting checks which would have identified that a person is disqualified in law, under safeguarding legislation, from working with children, young people or adults. • Alleged or actual incidents in the workplace which have resulted in or risk significant harm to trustees, employees, office holders or volunteers and are considered to be “serious” in the context of the charity. An incident should always be reported where the level of harm to the victims and/or the likely damage to the reputation of or public trust in the charity is particularly high. For example: allegations of serious sexual abuse of and by a staff member, office holder or volunteer; abuse by a senior member of staff or office holder or if a widespread culture of bullying, abuse or sexual harassment is uncovered.

  8. Serious Incidents: Other • fraud • cyber-crime • theft • significant financial loss • data protection breach • links to terrorism or extremism • unverifiable or suspicious donations • trustee is disqualified from acting as a trustee • charity is subject to an investigation by the police or another agency or regulator • major governance event renders the charity unable to operate, e.g. mass resignations of staff • insolvency • incidents involving partner charities / organisations that materially affect the charity or its reputation, staff, finances or operations

  9. What happens when you report a Serious Incident to the Charity Commission? • The Charity Commission does NOT investigate incidents reported to it – it seeks to satisfy itself that your charity’s governance is fit for purpose i.e. your charity is identifying, managing and learning from any Serious Incidents reported, appropriately. • When the Charity Commission receives a report it considers whether: • the charity is managing the incident responsibly - are the trustees complying with their duties and identifying and managing any risks appropriately, in order to keep people and its charitable assets safe? • regulatory advice or guidance is needed (and/or in a small number of cases, whether intervention is needed). • there are any risks to other charities requiring the Commission to act (e.g. if the alleged perpetrator is also a trustee of other charities). • Providing the information requested in the templates reduces the likelihood the Commission will need to ask for further information.

  10. Sending Serious Incident Reports to the NST • Once you have sent the report to the Charity Commission, you must email it to rsi.nst@churchofengland.org straight away • Bulk reports sent to the Charity Commission should be sent on to the NST immediately (i.e. by end of July/January) • Reports are logged and triaged by the NST • Key information placed in a database to enable trends/patterns of concern to be identified by the NST and learning/steps taken to address issues of concern e.g. updating Safeguarding Guidance, rolling out or updating training on specific topics or in specific dioceses.

  11. New Church of England Guidance and Reporting Templates (1) New bespoke CofE guidance and templates aim to make it easier to comply with your existing obligation to report Serious Incidents by providing CofE relevant guidance on what is and what is not a Serious Incident and when and how to report it to the Charity Commission • Separate Guidance and Templates for safeguarding and other Serious Incidents • Approved by the Charity Commission • Safeguarding guidance and templates approved by NSSG (HoB Guidance) • Safeguarding Serious Incidents “bulk reporting” option • Serious Incident Reports will be used to create a central CofE record of Safeguarding Serious Incidents by the NST

  12. New Church of England Guidance and Reporting Templates (2) • All relevant documents are available to download for DBFs, PCCs and Religious Communities from the Parish Resources website: https://www.parishresources.org.uk/pccs/trusteeship/serious-incident-reporting/ • Guidance and Templates (in word format) for reporting safeguarding and non-safeguarding Serious Incidents • A closer look at the Template Report (see separate document) • Explanatory Notes for PCCs, DBFs and Religious Communities • Example template delegations for DBFs, PCCs and Religious Communities (in word format).

  13. Safeguarding Serious Incidents: DBFs reporting on behalf of PCCs • DSA/DS prepare and submit safeguarding Serious Incident Reports for PCCs, pursuant to the terms of / parameters in the delegation by the PCC’s trustees (e.g. key decisions on which they are required to report back to the PCC’s trustees) • Dovetails with the management of safeguarding serious incidents – as the PCC must inform the DSA, who then manages the incident for the PCC • Requirement to report to the Charity Commission is only triggered by PCC informing the DSA • Aim is to improve quality and quantity of safeguarding reporting, as DSA will generally be best-placed person to prepare the report • Option to bulk report

  14. Next Steps (1)Safeguarding serious incidents • Pass delegation resolutions (for reporting both safeguarding and non-safeguarding serious incidents). • Familiarise yourself with the safeguarding Serious Incident Reporting Guidance – NOTE the wider definition under the Charity Commission’s new guidance as to what is considered to be a safeguarding serious incident. • Ensure relevant staff and trustees know what a safeguarding Serious Incident is and who to inform if they think one may have occurred. • Ensure all office holders, staff, trustees and volunteers are appropriately trained on your safeguarding policies and check that procedures are being followed. • Consider whether any incidents have taken place during the previous financial year that have not been reported to the Charity Commission but should be – and report.

  15. Next Steps (2)Non-safeguarding serious incidents • Familiarise yourself with the non-safeguarding Serious Incident Reporting Guidance – most are likely to be finance or IT related. • Ensure staff and trustees know what a non-safeguarding Serious Incident is and who to inform if they think one may have occurred. • Consider whether any incidents have taken place during the previous financial year that have not been reported to the Charity Commission but should be – and report if required. • Ensure you have policies in place in key areas, including: • financial controls (anti-theft/fraud) • data protection • suspicious donations • If such policies are in place, consider whether: • they need updating • staff / trustees / volunteers have been trained on them

  16. Review: August/Sept 2019 • Feedback on aspects of the Guidance that are/are not working well and suggestions made as to clarifications needed and/or changes to improve processes. • NB: Guidance which reflects Charity Commission’s Guidance (what must be reported to the Charity Commission as a serious incident) cannot be altered. • Following the review, any proposed revisions to the Guidance would need to be approved by the Charity Commission and the NSSG.

  17. Reporting Serious Incidents to the Charity Commission Questions

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