St Dominic Savio PTA Serious Incident Reporting Policy 

This policy covers serious incident reporting to the charity regulator, the Charity Commission, as it is related to  St Dominic Savio PTA. It is relevant to all within the association and is endorsed by the committee of St Dominic  Savio PTA. It does not cover or replace obligations to report incidents to statutory authorities such as the police,  health and safety executive or licensing authority that ST Dominic Savio PTA may have. However, incidents that  are reported to the statutory authorities may also need to be reported to the Charity Commission, for example  if the charity is subjected to an investigation by a statutory authority or if it deems itself to be at fault and there  is potential reputational damage to the charity as a result. 

Introduction 

  1. The purpose of this policy is to ensure that St Dominic Savio PTA (the “Charity”) are able to identify serious  incidents, escalate them as appropriate and report them internally so that the Trustees can exercise  oversight and consider whether to make a serious incident report to the Charity Commission for England and  Wales (the “Commission”) among other potential actions.  
  2. In particular, this policy sets out how the Charity seeks to ensure compliance with the Serious Incident  Reporting requirements of the Commission, which are set out in guidance available on its website.  
  3. This policy applies to all those working on behalf of St Dominic Savio PTA including trustees, volunteers,  parents, St Dominic Savio staff and contractors. Failure to adhere appropriately to the policy will be treated  seriously.  
  4. Although St Dominic Savio PTA Trustees may delegate the responsibility for making reports of serious  incidents to someone else within the Charity, the Trustees remain ultimately responsible for ensuring that  the Charity reports any serious incidents in a timely manner. 

The Duty to Report a Serious Incident  

  1. Although there is no statutory requirement under charity law for charities to report serious incidents as they  occur, registered charities with an income over £25,000 per annum must confirm in their annual return that  there have been no serious incidents or other matters that Trustees should have reported to the Commission  but have not done so. The Commission also considers that, as a matter of good practice, all charities  regardless of size or income should report serious incidents to the Commission promptly.  
  2. By adopting such a policy, it demonstrates to the Commission that St Dominic Savio PTA has the appropriate  processes in place to manage risk and take appropriate action. Failure to report a serious incident that  subsequently comes to light could prompt or add to the seriousness of regulatory action by the Commission,  particularly if further abuse or damage has arisen following the initial incident.  
  3. Reputational damage can also be reduced if the Charity can show that any serious incident has been handled  appropriately. 
  4. In responding to this obligation, St Dominic Savio PTA appoints a Trustee to take the lead on serious incidents  and the subsequent reporting on behalf of the Trustees. Appointing a Lead Trustee in this way, ensures that  there is a central point for issues and concerns. 

What is a Serious Incident? 

  1. The Commission defines a serious incident as an adverse event, whether actual or alleged, which results in  or risks significant: 
  • harm to a charity’s beneficiaries, staff, volunteers or others who come into contact with the charity  through its work. 
  • loss of a charity’s money or assets. 
  • damage to a charity’s property. 
  • harm to a charity’s work or reputation. 
  1. “Significant” is in the context of the Charity, taking account of its people, operations, finances and/or  reputation.  
  2. The serious incident review guidance identifies the following main categories of reportable incidents:  a. protecting people and safeguarding incidents. Incidents that have resulted in or risk significant harm  to beneficiaries and other people who come into contact with the charity through its work (this includes  incidents of abuse or mistreatment (actual or alleged) and a breach of procedures or policies which has  put people who come into contact with the charity at risk, including failure to carry out checks that  would have identified that a person is disqualified in law from holding their position within the charity  (e.g. under safeguarding legislation, from working with children or adults) 
  3. financial crimes: fraud, theft, cyber-crime and money laundering  
  4. large donations from an unknown or unverifiable source, or suspicious financial activity using the  charity’s funds 
  5. other significant financial loss 
  6. links to terrorism or extremism, including ‘proscribed’ organisations, individuals subject to an asset  freeze, or kidnapping of staff 
  7. and other significant incidents, such as:  
  • a Trustee being disqualified from holding that position  
  • something has happened to force the charity into insolvency or to dissolve 
  • forced withdrawal of banking services and difficulties securing an alternative account 
  • the charity is subject to a police investigation or a significant investigation by another agency/  regulator (the serious incident review guidance states that a charity does not need to report  routine regulatory inspections unless they resulted in significant adverse findings that place  the future of the charity in doubt, are likely to damage the charity’s reputation or public  confidence in the charity, or relate to any of the other categories of serious incidents)  
  • major governance problems, such as mass resignation of Trustees, or other events, leaving the  charity unable to operate  
  • the charity’s Trustees are the subject of criminal proceedings, in connection with the charity  or their role in it  
  • there has been a significant data breach or loss within the charity.
  1. The Commission recommends that any incident or matter that could get into the public domain or be  reported in the media is reported to it as soon as possible (even if initially on an interim basis) so that the  Commission can prepare its own public response and be in a position to say that it is already liaising with  the Charity in relation to it.  
  2. The serious incident review guidance provides more detail regarding the type of matters that should be  reported and also includes a table of examples of matters that usually should or should not be reported.  This Policy and the serious incident review guidance are not exhaustive, and matters may still constitute  serious incidents if they do not fall within any of the categories identified above. If there is doubt as to  whether something constitutes a serious incident, the Chair or a Trustee of St Dominic Savio PTA should be  contacted. 

Internal Reporting  

  1. General members, parents, St Dominic Savio Primary School staff or volunteers should not seek to make a  serious incident report to the Commission themselves on behalf of St Dominic Savio PTA. Instead they  should report their concerns in accordance with the relevant policy, or via the Chair or a Trustee so that  appropriate action can be taken.  
  2. The following policies relate to contexts in which serious incidents may arise:  
  • Financial Control and Expenses Policy 
  • Bullying and Harassment Policy 
  • Safeguarding Policy  
  • Complaints Policy  
  • Social Media Policy  
  • Conflict of Interest Policy 
  • Privacy Policy 
  1. Everyone should follow the relevant policy and report serious incidents as documented in that policy. In  the unlikely event that a serious incident is not covered by one of the above-listed policies, the incident  should be reported to the Chair.  
  2. Where an incident relates to the Chair, the incident or allegation should be reported to another Trustee or  St Dominic Savio School’s Headteacher. 
  3. The Trustee receiving the report will discuss the matter with the Chair/Headteacher to determine next  steps. In most circumstances the report will be shared with all Trustees for them to consider whether a  serious incident report is required. However, there may be circumstances where this is not appropriate, in  which case the Chair, Headteacher or nominated Trustee will decide how to deal with the matter, taking  account of any relevant policies and procedures and taking advice as appropriate. Consideration will also  be given to taking steps to address particular issues e.g. anonymising the report before sharing it. 

Reporting to the Commission 

  1. The Trustees (who have been made aware of the incident) will respond to serious incidents promptly and  ensure that all appropriate steps have been made or are in process. The Trustees will also attempt to  prevent or minimise any further harm, loss or damage.  
  2. Assessing whether a reportable serious incident has occurred is a matter for the Trustees to determine,  having reviewed and considered the serious incident review guidance and any related Commission  documents or other relevant guidance. They may seek advice from professional advisers. 
  3. The Trustees will report serious incidents to the Commission promptly. The urgency of reporting will  depend on factors including the nature and seriousness of the incident, the potential impact on the Charity  and whether it is likely that there will be media coverage of the incident.  
  4. The Trustees will liaise with relevant members to gather the appropriate information required to report  the matter to the Commission. The Trustees may also decide to delegate the responsibility for reporting  the incident to another Trustee however, any delegation should be clear about the scope of the report.  
  5. It may be appropriate for an initial report to be made to the Commission covering those facts that are  known and then provide further updates to the Commission following internal investigation, or as matters  develop.  
  6. The serious incident report should be filed by emailing RSI@charitycommission.gsi.gov.uk or such other  address or method of reporting as the Commission requires. 
  7. The following information should be included in the report: 
  • the individual submitting the report and their connection to St Dominic Savio PTA  • the authority they have to report on behalf of the Trustees  
  • who within the Board of Trustees is aware of the incident, for example all Trustees, some of them or  only the nominated Trustee  
  • what happened and when St Dominic Savio PTA first became aware of it (it is not necessary to provide  names of individuals involved in the initial report)  
  • the effect of the incident on the Charity or its beneficiaries or both  
  • the action being taken to deal with the incident and prevent resulting risks and future occurrences  • whether and when it was reported to the police or another regulator/statutory or other agency  (including official reference numbers) any action taken, whether any guidance was offered and the  extent to which the guidance has been followed 
  • media/donor/patron/public relations handling plans that have been or will be prepared by St Dominic  Savio PTA, if any  
  • insurance coverage, if any, and notification to and/or correspondence with the insurers where relevant  • any other review or investigation that will take place as a result of the incident or allegation, including  in respect of governance arrangements, contracts with third parties or policies and procedures  • specifying whether the information is confidential and/or may risk identification individuals if disclosed  externally. 

Other Actions to Take 

  1. Where appropriate, St Dominic Savio PTA will prepare a communication plan covering what it will say to  staff, volunteers, beneficiaries, members, supporters, patrons, the public and the media.  
  2. The Trustees will review what happened and identify and take steps to prevent it from happening again – this may include strengthening internal controls and procedures and/or seeking appropriate help from  professional advisers.  
  3. Consideration must also be given to whether a serious incident should be reported to St Dominic Savio  PTA’s insurers in accordance with any relevant insurance policy.  
  4. In addition to making a serious incident report to the Commission, where appropriate the Trustees will also  inform or make reports to other relevant regulators or agencies. St Dominic Savio PTA should report: • crime, or suspected crime, to the police and obtain a crime reference number  
  • any incidents of harm or risk of harm to children or vulnerable adults (including any concerns, suspicions  or allegations) to the relevant local authority and obtain a reference number 
  • incidents of fraud and cyber-crime that take place in connection with the Charity to Action Fraud and  obtain a crime reference number 
  • any serious data breaches to the Information Commissioner’s Office 
  • and any incidents relating to possible terrorist financing offences to police or the National Crime Agency  (NCA) and obtain a reference number. 
  1. Where there is actual or suspected criminal activity, or other serious incident that has occurred in another  country, St Dominic Savio PTA will ensure that it is made aware of the requirements of local law and  regulation, including in respect of reporting. In this instance St Dominic Savio PTA will follow Commission guidelines in this regard.  

St Dominic Savio PTA must carefully consider and have due regard to any and all advice given by statutory or  other bodies in relation to its handling of the incident or allegation. It must be carefully and securely  documented and explained to the Commission in the serious incident report made. 

What Happens Next 

  1. The Commission will acknowledge receipt of the report. It is understood that it will assess the risk and look  at how the Foundation is dealing with the incident, and may take steps to verify the details, for example  and where relevant, by contacting the police. The Commission may also follow up if it:  • needs more information about the incident  
  • considers St Dominic Savio PTA needs regulatory advice and guidance  
  • has to use its legal powers to protect the Charity and/or the people who come into contact with the  Charity through its work 
  • decides to request updates on future development; needs to monitor the Charity’s progress in dealing  with it.  
  1. In very serious cases the Commission may take steps to exercise its enforcement powers, for example,  opening a statutory inquiry into the Charity. 

Data Protection and Confidentiality 

  1. When Trustees report serious incidents, some of the information provided may be of a sensitive nature.  The Commission is obliged to handle this responsibly and with care, and only for the purposes of carrying  out its statutory functions.  
  2. As a public authority and a ‘controller’, the Commission is subject to the Freedom of Information Act 2000,  the Data Protection Act 2018, and the General Data Protection Regulation (EU) 2016/679 (and any other  law and related guidance as may subsequently be in force).  
  3. The Commission does not routinely guarantee that information provided will be kept confidential. This is  because information sharing is often necessary for the Commission to further its statutory functions and  objectives and, in some cases, it is required by law to share information (e.g. to other relevant public  authorities). Despite this, all serious incident reports should be marked as confidential. In addition:  
  • any personal data should be removed to the greatest extent possible and, if appropriate, the risk of  identification of individuals (though unnamed) should be highlighted 
  • any particularly sensitive information in the report should be identified  
  • any specific exemptions from disclosure (such as an exemption under the Freedom of Information Act)  should be specifically referred to and relied upon
  • and the report should contain a request that it is not disclosed to third parties and that the Commission  notifies the Charity if it receives a request to disclose information to third parties (e.g. the media or  individuals). 

Learning from Serious Incidents 

  1. Trustees should consider whether St Dominic Savio PTA has taken appropriate steps to respond to a serious  incident and ensure that sufficient controls and procedures are put in place to mitigate and manage any  future risks to the Charity and its beneficiaries, and to prevent similar incidents from occurring in the future. 

Review of this Policy 

This policy will be subject to review by the Board of Trustees every 2 years; upon the Commission issuing updated  guidance in relation to serious incident reporting, whichever occurs first, or as otherwise appropriate.