OG117 B1 - Regulating charities - Assessment of cases

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OPERATIONAL GUIDANCE

HOW THE COMMISSION DEALS WITH INVESTIGATIONS WORK

PRE INVESTIGATION ASSESSMENT

OG 117 B1 - 10 January 2012

Purpose

This guidance sets out how we assess the risks where we are considering a statutory inquiry

Contents


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1. The purpose of pre investigation assessment
	To ensure that we exercise our discretion and apply our criteria consistently and fairly before we open an inquiry we undertake a pre investigation assessment. The pre investigation assessment examines in greater detail causes for concern that appear to be the most serious and may meet the threshold for inquiry.
	These allegations and causes for concern in a case will be examined to:
	determine the level of risk; decide on whether a statutory inquiry should be opened; indicate the type of intervention required if a statutory inquiry is not appropriate.
	The issues and concerns where we are most likely to open an inquiry are set out in OG117 D1. The criteria and modifying factors for making our decision to open an inquiry are set out in the Commission's Risk Framework.
	The pre investigation assessment process may involve gathering of further evidence or information and liaison with other government departments or agencies in connection with regulatory issues.

2. Outcomes of the pre investigation assessment process
	Outcomes of this assessment process include:
	the case will be referred to an Investigations team to carry out a statutory inquiry;
	resolving regulatory issues within the Assessment Team where the issues are judged sufficiently serious to be addressed within Investigations and Enforcement but it is not appropriate or proportionate to open a statutory inquiry;
	referral for formal monitoring within Investigations and Enforcement, where:
		there is a regulatory issue and further action is required but, because of a request by another agency, it cannot be conducted now; the regulatory issue is resolved but the matter should be referred for a period of formal monitoring to ensure continued compliance; the regulatory issue is in the process of being resolved but further follow up actions are required of the charity to address the issue.
	referral to Operations Units in circumstances where other regulatory issues are identified in line with the Risk Framework.
	The assessment details and recommendations must be recorded and placed on file.