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University Reportable Incidents Policy

Overview

As a large, complex organisation, significant incidents or events will occasionally occur at the University which require referral to senior members of the organisation, including the executive management, senior committees such as the Audit Committee, Board of Governors and external bodies.  Such incidents or events will normally be connected to University activities, either on campus or off-site, or connected with a student or partner body of the University.  They may come to light via an internal or external review or inspection process which gives rise to concerns or questions about the internal control environment. Such occurrences may or may not be untoward or adverse in their own right, but are sufficiently outside the mainstream of events to merit reporting within an agreed framework.

The Reportable Incidents Policy is a key component of the University’s Assurance Policy; it supports the timely and relevant escalation of significant incidents and events, in the assurance that they will be dealt with responsibly in the right place, at the appropriate time, and at the correct level of accountability.  The purpose of this Policy is to:

i. clarify different types of incidents and the terminology used by the University to describe them; 
ii. provide guidance on the types of incidents and events which need to be brought to Executive management and/or Governor attention;
iii. clarify the escalation process and timescales surrounding escalation to ensure prompt and informative reporting, investigation (if appropriate) and closure of the incident. 

The Policy does not provide a definitive route map or clear series of stages for every potential incident which may arise during the course of University business. Whilst the potential seriousness of a limited number of known or likely incidents will be clear-cut, with a reporting route prescribed under regulation or authority, the majority of incidents cannot be neatly situated into a specific area of responsibility or chain of reporting. Professional judgment and assessment at the appropriate management level is therefore a key principle of the Policy.

It should also be emphasised that the majority of incidents which occur in the course of University business are minor, localised and contained in their impact and are normally resolved through local management action, with minimal impact on health and safety, service delivery, finances, or reputation. Whilst this Policy comments on low-level occurrences, the principal focus of this Policy is on incidents which are more serious in nature.

To view the full University Reportable Incidents Policy, please click here (pdf)

To view a Flowchart for reporting, please click here (pdf) 

To view Appendix A to the Reportable Incidents Policy, please click here (pdf)

To view Appendix B to the Reportable Incidents Policy, please click here (pdf)

Contact:

Queries relating to Reportable Incidents should be referred to:

Adam Dawkins, Head of Governance, extension 4335

or 

Susan O’Donnell, Risk Manager, extension 4222  


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