Reporting Serious Incidents

(May 2009)

What is a serious incident?

An incident that has taken place in a charity is considered as serious if it has resulted or could result in a significant loss of funds or a significant risk to the charity’s property, work, beneficiaries or reputation.

When should trustees report a serious incident?

Trustees should report serious incidents to the Commission as soon as they become aware of them.

As a matter of best practice we recommend that trustees of all charities report any serious incidents to the Commission.

However, for charities with an income over £25,000 the trustees must, as part of the Annual Return, sign a declaration that there are no serious incidents that they should have brought to our attention but have not. If they are unable to make this declaration then the Annual Return will not be complete and they will have defaulted on their legal requirements.

How should trustees report a serious incident?

Trustees should report serious incidents to the Commission as soon as they are aware of them. This report can be made in one of the following ways:

• By contacting Charity Commission Direct in writing at PO Box 1227, Liverpool, L69 3UG;
• By calling 0845 300 0218;
• By email at RSI@charitycommission.gsi.gov.uk

When trustees report a serious incident to the Commission they should provide as much information as possible to help us decide what, if any, action is appropriate.

What further guidance on serious incidents is available?

We have revised our Guidance for trustees on reporting serious incidents. This clarifies:

• our approach to issues of serious concern;
• what we consider to be serious or significant;
• the actions trustees should take and the legal requirements placed upon them;
• what our response may be.

If, having read the Guidance you have any queries, then please contact us. You can also obtain additional information in our Frequently Asked Questions.

What will be the Commission’s response to a serious incident report?

Our response will depend on the particular circumstances of the incident and the charity’s (or its trustees’) ability to resolve it without our intervention. As a modern regulator, our overall approach focuses on providing support and guidance and promoting best practice as well as ensuring that charities comply with their legal obligations. Our concern is always to protect the charity and promote public confidence and trust in the sector.

The reporting of serious incidents does not replace any of the existing means by which people can report concerns about charities to the Charity Commission which should be sent to Charity Commission Direct. For additional information, please refer to our publication CC47 - Complaints About Charities .