Prevent Risk Register
February 2016
Risk 1: / An act of extremism by a member of the SOAS community occurs, or is perceived to occur, on campus / Risk owner: Chair of Board of Trustees and Registrar as School-leadRisk Cause / Risk Consequences / Gross risk / Existing Controls / Sources of Assurance / Early Warning Flags / Current risk / Net risk
What might cause the risk to occur? / What are the possible consequences should the risk occur? / Impact / Likelihood / I
x
L / What existing strategies, processes or controls are in place to manage the risk? / How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk? / What would indicate that the likelihood or the impact of the risk is increasing? / Impact / Likelihood / I
x
L / Impact / Likelihood / I
x
L
Adverse event
Public knowledge of radicalisation
Radical speakers at a campus event / Indoctrination of others as a result of a radical speaker on campus
Members of the SOAS community or the public are offended by a speaker or event on campus
Complaints from the public, staff or students
Negative impact on the student experience
Board of Trustees / Chairman held accountable due to dereliction of duty / a result of an act on campus
Bad publicity for the School, negative effect on student recruitment / 5 / 4 / 20 / Registrar appointed as School lead
Prevent referenced in School Risk Register
Prevent Working Group established
Training plan established for phased roll-out
Room booking procedure in place
Procedure for security-sensitive research in place
Students’ Union risk assessment of events
Maintain links with other HEs concerning Prevent
Clear communication with the SOAS community about the need for compliance
Links between key university staff and external partners, including Local Authority and Police, are in place
A log of incidents is held centrally / No incidents
Sharing of concerns relating to extremism are effectively coordinated and follows required referral routes for identified cases
SOAS benefits from best practice and resources across the sector and statutory assistance to support vulnerable individuals
Pastoral and chaplaincy support provided for all students on an equal basis / Increase in complaints / 5 / 3 / 15 / 4 / 2 / 8
Actions for further control to deliver net risk based on existing environment
Action for Further Control / Action Owner / Due Date / Status update
ICT code of conduct / Library Assistant Director (Information Systems) / March 2016 / Work on ICT code of conduct has started. Draft to be prepared for
Develop a procedure for supporting students vulnerable to exploitation / Head of Student Advice & Wellbeing / March 2016 / Existing procedures to be combined into a single policy document
Prevent Risk Register
February 2016
Risk 2: / An act of extremism occurs by a member of the SOAS community off-campus / Risk owner: Chair of Board of Trustees and Registrar as School-leadRisk Cause / Risk Consequences / Gross risk / Existing Controls / Sources of Assurance / Early Warning Flags / Current risk / Net risk
What might cause the risk to occur? / What are the possible consequences should the risk occur? / Impact / Likelihood / I
x
L / What existing strategies, processes or controls are in place to manage the risk? / How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk? / What would indicate that the likelihood or the impact of the risk is increasing? / Impact / Likelihood / I
x
L / Impact / Likelihood / I
x
L
A national / international incident is linked to SOAS
Radical speakers at an off-campus event / Indoctrination of others as a result of a radical speaker off campus
Members of the SOAS community or the public are offended by a speaker or event off-campus
Complaints from the public, staff or students
Negative impact on the student experience
Board of Trustees / Chairman held accountable due to dereliction of duty / a result of an act off-campus
Bad publicity for the School, negative effect on student recruitment / 5 / 4 / 20 / Registrar appointed as School lead
The Prevent Working Group has been set up to coordinate training, policies etc
Protocols in place for monitoring SOAS’s online presence on social media
Room booking procedure in place
Students’ Union risk assessment of events
Maintain links with other HEs concerning Prevent
Clear communication with the SOAS community about the need for compliance
Links between key university staff and external partners, including Local Authority and Police, are in place
A log of incidents is held centrally / No concerns raised through the press or other channels relating to SOAS / An incident occurs / 5 / 4 / 20 / 5 / 4 / 20
Actions for further control to deliver net risk based on existing environment
Action for Further Control / Action Owner / Due Date / Status update
ICT code of conduct / Library Assistant Director (Information Systems) / March 2016 / Work on ICT code of conduct has started. Draft to be prepared for
Development of policies outlining when the SOAS branding can be used and the responsibilities that come with its use / Director of Marketing, Student Recruitment & Communications / February 2016 / LG to discuss with SR.
Social media policy advising of individual responsibility when communicating online / Director of Marketing, Student Recruitment & Communications / February 2016 / LG to discuss with SR.
Prevent Risk Register
February 2016
Risk 3: / An act of terror by a member of the SOAS community occurs / Risk owner: Chair of Board of Trustees and Registrar as School-leadRisk Cause / Risk Consequences / Gross risk / Existing Controls / Sources of Assurance / Early Warning Flags / Current risk / Net risk
What might cause the risk to occur? / What are the possible consequences should the risk occur? / Impact / Likelihood / I
x
L / What existing strategies, processes or controls are in place to manage the risk? / How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk? / What would indicate that the likelihood or the impact of the risk is increasing? / Impact / Likelihood / I
x
L / Impact / Likelihood / I
x
L
Adverse event
Public knowledge of radicalisation / Injury or death as a result of an act of terror
Complaints from the public, staff or students
Negative impact on the student experience
Board of Trustees / Chairman held accountable due to dereliction of duty / a result of an act on campus
Bad publicity for the School, negative effect on student recruitment / 5 / 1 / 5 / Registrar appointed as School lead
Prevent Working Group established
Training plan established for phased roll-out
Links between key university staff and external partners, including Local Authority and Police, are in place / No incidents
Sharing of concerns relating to extremism are effectively coordinated and follows required referral routes for identified cases
SOAS benefits from best practice and resources across the sector and statutory assistance to support vulnerable individuals
Pastoral and chaplaincy support provided for all students on an equal basis / The School is alerted to the risk / 5 / 1 / 5 / 5 / 1 / 5
Actions for further control to deliver net risk based on existing environment
Action for Further Control / Action Owner / Due Date / Status update
Develop a procedure for supporting students vulnerable to exploitation / Head of Student Advice & Wellbeing / March 2016 / Existing procedures to be combined into a single policy document
Prevent Risk Register
February 2016
Risk 4: / Negative impact on staff and students as a result of implementation of Prevent / Risk owner: Chair of Board of Trustees and Registrar as School-leadRisk Cause / Risk Consequences / Gross risk / Existing Controls / Sources of Assurance / Early Warning Flags / Current risk / Net risk
What might cause the risk to occur? / What are the possible consequences should the risk occur? / Impact / Likelihood / I
x
L / What existing strategies, processes or controls are in place to manage the risk? / How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk? / What would indicate that the likelihood or the impact of the risk is increasing? / Impact / Likelihood / I
x
L / Impact / Likelihood / I
x
L
A visit from the police relating to Prevent
Negative publicity about SOAS in relation to Prevent raising concerns
Concerns about information sharing / Protests and direct action
Negative impact on the wellbeing of certain groups of staff and students who feel targeted by the duty
Board of Trustees / Chairman held accountable due to dereliction of duty / a result of an act on or off-campus
SU non-compliance with the duty / 5 / 2 / 10 / Registrar appointed as School lead
The Prevent Working Group, which is ensuring the duty is complied with in a measured and appropriate way, taking into account the values of SOAS and its community
SU is sent all emails and documentation from the Working Group
Data protection and information sharing policies in place
Clear and open communications
Guidance and support for students with concerns is published on the Student Advice & Wellbeing web pages / Feedback from staff and students
SOAS shares information only when appropriate
SOAS provides returns on exclusion / hate crime e.g. anti-Semitic / racial activity to Prevent point of contact
Pastoral and chaplaincy support provided for all students on an equal basis / Complaints from staff or students
Feedback from the Students’ Union / 5 / 1 / 5 / 5 / 2 / 10
Actions for further control to deliver net risk based on existing environment
Action for Further Control / Action Owner / Due Date / Status update
Chaplaincy service to publicise support and guidance for students with concerns / Head of Student Advice & Wellbeing / May 2016 / LG to meet with UoL Chaplain to discuss this further
Prevent Risk Register
February 2016
Risk 5: / Failure to implement the Prevent guidelines / Risk owner: Chair of Board of Trustees and Registrar as School-leadRisk Cause / Risk Consequences / Gross risk / Existing Controls / Sources of Assurance / Early Warning Flags / Current risk / Net risk
What might cause the risk to occur? / What are the possible consequences should the risk occur? / Impact / Likelihood / I
x
L / What existing strategies, processes or controls are in place to manage the risk? / How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk? / What would indicate that the likelihood or the impact of the risk is increasing? / Impact / Likelihood / I
x
L / Impact / Likelihood / I
x
L
Insufficient attention and oversight results in a failure to adequately and effectively implement the Prevent guidelines / A higher risk that our students are exposed to or put at risk of being drawn into extremism.
A higher risk that one or more students are actually drawn in to extremism.
HEFCE will report serious or consistent concerns to the Department for Business, Innovation and Skills, who may make a referral to the Home Office’s Prevent Oversight Board. Where all options have been exhausted, the Home Secretary has the power to issue directions / 5 / 2 / 10 / Failure to comply with prevent has been escalated to the School’s top level risk register.
Regular reports are provided to the Board of Trustees
A Working Group has been established, led by the Registrar, including representation from the UoL Chaplaincy service, faculty, staff Unions, the Head of Security, Staff Learning & Development Manager, Information Compliance Manager, Head of Student Advice & Wellbeing, Secretary, Assistant Director Information Services
Training plan for staff has been developed and the document ‘Safeguarding Vulnerable Students’ updated and cascaded to all staff
Risk register and actions for further control continually updated
Policies have been updated in light of the Prevent duty guidance, including information sharing, IT acceptable use, research ethics / The School risk register is reviewed on a quarterly basis by Executive Board and by the Audit Committee which is a sub-committee of the Board of Trustees and Chaired by a Trustee
Updates are provided in the monthly Director’s report to the BoT and updates are provides at BoT committee
The Working Group meets monthly and monitors the School’s compliance with the duty and identifies additional actions for further control
Staff are aware of how to deal with concerns about vulnerable students
Completed actions are included as existing controls to be measured and any new actions that are identified are monitored
There are clear routes for escalation and decision-making. Staff are aware of the policies, which can be easily accessed / Concerns are raised about behaviours or events being held
Uncertainty among staff about how to deal with vulnerable students or students demonstrating concerning behaviour
New risks are identified that are not included on the risk register