A2: Charity Regulation: What's new in 2019?
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With a redrafted Code of Fundraising Practice, new guidance from the Charity Commission and the continuing impact of GDPR, the regulatory environment for charities is constantly changing. At a time of particular uncertainty, this session will help charities keep abreast of new developments. The session will: provide a full explanation of key policy and regulatory changes which are relevant to charities, including what they mean for you and your organisation help you think about how to deal with changes and respond to the challenges.
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A2: Charity Regulation: What's new in 2019?
- 1. A2: CHARITY REGULATION: WHAT’S NEW IN 2019? CHAIR: ANNE HEAL – TRUSTEE, NCVO SPEAKERS: JANE HOBSON – HEAD OF GUIDANCE AND PRACTICE, CHARITY COMMISSON GERALD OPPENHEIM – CHIEF EXECUTIVE, FUNDRAISING REGULATOR VICTORIA HORDERN – HEAD OF DATA PRIVACY, BATES WELLS BRAITHWAITE Headline sponsor: Lead sponsor: Dinner sponsors: Drinks sponsor:
- 2. JANE HOBSON HEAD OF GUIDANCE AND PRACTICE, CHARITY COMMISSON
- 3. Charity Commission: regulatory update Jane Hobson Head of Guidance & Practice NCVO Annual Conference 1 April 2019
- 5. @ChtyCommission • Domestic violence or domestic abuse: 631 charities, combined income: £458.3m • Air ambulance, mountain rescue, lifeboats, ambulance: 387 charities, combined income: £589m • Homelessness: 380 charities, combined income: £435.7m • Human trafficking: 62 charities, combined income: £25.4m The vital role of charity
- 7. Our purpose @ChtyCommissionCharity Commission: Strategy 2018-2023
- 8. • Holding charities to account • Dealing with wrongdoing and harm • Informing public choice • Giving charities the understanding and tools they need to succeed • Keeping charity relevant for today’s world @ChtyCommission Our strategic priorities
- 9. Safeguarding and protecting people @ChtyCommission Put people first: ‘Safeguarding should be a priority for all charities, not just those working with groups traditionally considered at risk.’
- 10. Listening to feedback from groups and direct engagement with charities Working with agencies and partners – linking OSCR/CCNI, help from police and law enforcement on what/how to report on overseas incidents, DFID, Home Office, DBS and DCMS Online Guidance – improving existing safeguarding guidance format and accessibility, planning new strands of guidance/tools as requested by charities RSIs – guidance clarifications, direct engagement with charities that make, or wish to make multiple or bulk reports, exploring digital solutions Whistleblowing – improving our approach Charity Commission actions @ChtyCommission
- 12. @ChtyCommission Domestic charity safeguarding: activities • Guidance and reporting • Behaviours and leadership • Ethical principles • Making good decisions at the right time • Accessible training
- 13. Roles and requirements @ChtyCommission Protect people Stop a repeat – improve Report and deal with incidents and risks Charities Regulators Hold charity to account Acting to protect public trust Framework protections and guidance support Charity Commission: Safeguarding and protecting people for charities and trustees
- 16. NCVO Conference 2019: CHARITY REGULATION: WHAT’S NEW IN 2019? Gerald Oppenheim, CEO Fundraising Regulator
- 17. What we will cover Give insight from our work to help your organisation to understand: • Our role as a regulator • What’s happening with the Code of Fundraising Practice • Learn from our complaints work
- 18. Who we are • Independent regulator of charitable fundraising in England, Wales and Northern Ireland • Standards in the Fundraising Code • Complaints about fundraising • Fundraising Preference Service
- 19. Levy and Registration • Levy paid by charities spending over £100,000 per year • Organisations spending less are encouraged to register with us • Those that pay are shown on the FR Public Register and can use the logo on their marketing material • Some changes to levy fees coming in Sept 2019
- 20. The Code of Fundraising Practice • The standards expected of fundraisers across the UK. • Key part of maintaining public trust and confidence in the charity sector. • Demonstrates that charities hold themselves accountable and that they will handle complaints appropriately. • The means by which the Fundraising Regulator considers complaints against charitable organisations which fundraise.
- 21. Recent consultation • Focussed on the style, presentation, clarity and accessibility of the Code. • Not intended to make fundamental changes to the standards within the Code, except where: • an unnecessary repetition or contradiction of a rule elsewhere in the Code, • the meaning is unclear; or • inaccurate in relation to UK law.
- 22. Consultation: what we heard • 114 responses • Broad support for proposals • More we can do on issues like: • using ‘you’ in the code and who the Code applies to; • the scope of some rules; • legal referencing and the use of asterisks; and • the rule referencing system (GR, FM and WO) • Revised following responses
- 23. Consultation: next steps • Comprehensive legal review • Plain English • Standards Committee and Board • PDF launched in Summer • Three to four month familiarisation period • Comes in to effect Autumn 2019, alongside website
- 24. Our complaints process • Complaints are an opportunity for charities to learn • Encourage ‘local resolution’ • Look at complaints against the Code of Fundraising Practice – has there been a breach? • Make recommendations for improvement • External Review process
- 25. Overview of our complaints work • Between 1 April 2017 - 31 August 2018, we received over 1,500 complaints. • We closed 78 investigations, with others ongoing. • Of which, we upheld 81% of complaints
- 26. What we can investigate If a fundraising organisation has: • made misleading or excessive requests for donations. • been disrespectful or treated members of public unfairly when seeking donations. • not been transparent or open about the relationship with a third party • failed to respect a donor’s wishes • not dealt appropriately with a complaint made by a member of the public
- 27. What we cannot investigate If a fundraising organisation has: • Allegations of serious or sustained misconduct • Allegations of fraud or criminal activity. • Employment or contractual matters • Already been brought to the attention of the police. • Or where legal action is being taken.
- 28. Investigations • Published 25 investigation summaries on our website • Anonymous • Set out key learning • Complaints received from March 2019, all charities will be named once investigations close
- 29. Compliance In the event that an organisation does not comply with our recommendations, actions we may: • refer the case to the relevant statutory regulator, for example, the Charity Commission or the Information Commissioner; • remove the charity from our directory and suspend the use of our badge.
- 30. Complaints Report 2017/18 • Key themes from complaints we received and investigated • Complaints from charities spending the most on fundraising • How this can help you fundraise better
- 31. Complaints in the sector April 2017-March 2018 • Door-to-door fundraising – behaviour of the fundraiser (31%) and time of the day (24%) • Addressed mail – frequency of communication (34%) and campaign content (13%) • Clothing collection – 38% of complaints about bags not being collected
- 32. Misleading information in fundraising • Over 25 breaches of the Code were upheld across 18 investigations • Exaggerating facts, not allowing informed decisions to be made • Information not well presented, properly cited, donors felt misled • Key learning: handle all information carefully • Consider statistics, facts and portrayal
- 33. Manage supporter data effectively • 15 investigations (19%) • Using information from supporters or how information was managed • Inadequate action from charities to remove people from their databases when asked • Read across to Fundraising Preference Service • Key learning: charities need better systems to make sure they action requests to be removed from the database
- 34. Monitoring third parties • Many examples of non-compliance • Use your contract wisely • Is your contractor registered with us? • Key learning: Need systems to manage third parties – monitor and make sure they are compliant.
- 35. Better complaint handling • Most frequent code breach type • Common breaches relate to inadequate response to concerns • Important for small charities – need procedures • Key learning: Bad handling of complaints leads to more work, more complaints and further escalation…
- 36. How to improve complaint handling? • Increase understanding of what a complaint is… • Have an effective complaints process / procedures • Respond in a timely way • Investigate thoroughly with transparent decisions • Learn from complaints and show your supporters this • Consult our complaints handling guidance
- 37. Fundraising Preference Service • Free to use service that allows members of the public to control the communications they receive • Charities can access suppression requests via the Charity Portal • Not accessing requests is a breach of the Code and potentially the DPA 2018 • From 1st March, naming charities which do not access and refer to ICO
- 38. Summary – what’s new? • Levy 4: Sept 2019 - most recent accounts and two new bands • From 1 March: naming organisations we investigate • New Code: Summer and Autumn 2019 • Complaints Report • Review of the Fundraising Regulator • From 1 March: naming charities that do not act on FPS suppressions
- 39. Thank you! enquiries@fundraisingregulator.org.uk 0300 999 3407 www.fundraisingregulator.org.uk
- 40. VICTORIA HORDERN HEAD OF DATA PRIVACY, BATES WELLS BRAITHWAITE
- 41. 1 April 2019 GDPR: (nearly) 1 year old NCVO Annual Conference Victoria Hordern, Head of Data Privacy
- 42. How healthy (& happy) is the nearly 1 year old GDPR?
- 43. Encouragement or Enforcement under GDPR
- 44. Let’s talk about fines under GDPR • Austria: organisation fined 4,800 Euros for illegal video surveillance • Portugal: hospital fined 400,000 Euros for insufficient access controls to patient data • Germany: Social media company fined 20,000 Euros for failure to ensure data security • France: Google fined 50m Euros for failures around transparency and consent NB. As of early March 2019, 200K complaints received by DPAs and 56m Euros of fines issued. But, leaving Google aside, that’s a fine of around 30 Euros/ complaint….
- 45. What has the ICO been up to?
- 46. Fines/ Enforcement Action from the ICO (I) May 2018 • Bible Society - £100,000 • Yahoo! - £250,000 • Gloucester Police - £80,000 • BT - £77,000 • Aggregate IQ – enforcement notice • Noble Design & Build – Prosecuted and Fined • Independent Inquiry into Child Sexual Abuse - £200,000 • Emma’s Diary - £140,000 • Everything DM Limited - £60,000 • Equifax - £500,000 • Nurse prosecuted - access to patient data
- 47. Fines/ Enforcement Action from the ICO (II) • Enforcement action against those failing to pay the data protection fee • BUPA - £175,000 • Manchester firm - £150,000 • Heathrow Airport - £120,000 • Facebook - £500,000 • Motor Industry Employee – 6 month prison sentence • Uber - £385,000 • GP surgery secretary – prosecuted and fined
- 48. Fines/ Enforcement Action from the ICO (III) March 2019 • Former headmaster prosecuted for unlawfully accessing data • Tax Returned Limited - £200,000 • SCL Elections - £15,000 for failing to comply • Leave.eu and Eldon Insurance - £120,000 • Housing developer – failure to comply with access request • Council officer fined for emailing CVs of rival job applicants to his partner • Raid on businesses for spam calls – Bham and Brighton • Vote Leave - £40,000
- 49. What is coming up? • ICO Age Appropriate Design Code – Draft due for publication in April – Consultation – Final version – before end of the year • Revised ICO Cookie guidance • Continuing to provide GDPR/ DPA guidance • E-Privacy Regulation – 2020? • CJEU decisions on use of consent for cookies; controller/ processor; validity of SCC • More guidance from EDPB
- 50. Victoria Hordern Head of Data Privacy Bates Wells v.hordern@bwbllp.com 00 44 20 7551 7951
Notas del editor
- A little bit about the Fundraising Regulator first. We launched in July 2016 after the Cross-Party review of fundraising found the previous system of regulation to be ineffective. We maintain and improve the Fundraising Code, which applies to all fundraisers in the UK. We handle complaints from the public about fundraising, and investigate when we think charities have breached the Code. We operate the Fundraising Preference Service, which lets the public stop communications from charities they no longer want to hear from. [Include here any areas you wish to highlight around our mission and values. Direct people to our website to learn more “about us”. ]
- Funded by those organisations who spend over £100,000 per year on Fundraising (pay between £150 and £15,000) Organisations who spend less than that are encouraged to Register with us for £50 per year, (more for commercial fundraising agencies). Those that pay levy or register are shown on the FR Public Register and can use the logo on their marketing material Small changes to
- A reminder about our complaints process
- To give you an idea of the scale of our complaints work, here’s some basic figures. Between 1 April 2017 - 31 August 2018, we received over 1,500 complaints. We receive numerous complaints on any given day. Our first job is to identify if they are ready for investigation or within our remit. 40% were out remit 44% were not ready for us to consider or what we term as ‘premature’ From the remaining complaints, we closed 78 investigations, with others ongoing. We upheld 81% of complaints, identifying at least one breach of the Code.
- We investigate complaints where there is a possible breach of the code. These are often broadly identified in number of high level ways as set out in the slide. We need to make sure there is clear reason for complaint and it relates directly to fundraising activity. If a member of the public believes the fundraising organisation has made misleading or excessive requests for donations. If a member of the public believes a fundraising organisation has been disrespectful or treated them unfairly when seeking donations. If a fundraising organisation is not transparent or open about the relationship it has with a third party, for example, a fundraising agency working on its behalf. If a fundraising organisation has failed to respect a donor’s wishes, for example, if a donor has asked to be contacted only in a certain way. If a fundraising organisation has not dealt appropriately with a complaint made by a member of the public about fundraising.
- Complaints about allegations of serious or sustained misconduct by those in management and control of a charity. Complaints that an organisation is claiming to be a charity when it is not, including allegations of fraud or criminal activity. Complaints about employment or contractual matters, either from a member of the public, an employee or third party agency. Complaints that have already been brought to the attention of, and are being investigated by, the police. Complaints where legal action is being taken.
- Encourage people to review these published decisions, they offer learning and insight for all types of organisation.
- Summary of key themes (3 in this presentation) from complaints we have received and investigated. Data about complaints that charities who spent the most on fundraising have received. Published on 28th March! First thing you can do when back in the office is look at our complaint report which underpins much of this presentation. The complaints report offers insight into both: The complaints we have received – this is new and we will do this annually. The complaints that charities have reported themselves. Great learning and insight into common complaints and breaches of the code Now for some other themes from our complaints work which will help you to avoid complaints…
- Let take a look at what the sector is telling us about the complaints they receive… The data provided by the charities which spend the most on fundraising (levy bands 1 – 4) but this is useful to all Top complaints types were: Door-to-door fundraising – behaviour of the fundraiser (31%) and time of day (24%) Addressed mail - the frequency of communication (34%) and campaign content (13%). These reasons are echoed in online and email communications. Clothing collection - 38% of complaints received on this topic related to bags not being collected. Some complaints focused on the householder not wanting receive clothing bags. Of the 52 complaints we received from people in wales: 24 were out of remit 24 were referred back to the charity to resolve 2 were investigated 2 received other regulatory action* We will gather data in same way for 2018/19 and 2019/20 to provide comparable dataset. *The remit of the Fundraising Regulator extends to all charitable fundraising. This means that on occasion we will take action against organisations that are not charities or fundraising agencies. For example, when a team at a supermarket branch take part fundraising activity and do not follow our code of fundraising practice, we will regulate this activity and ensure the supermarket via the head office acts in accordance with the Code.
- Now for some insight from our complaints work In some cases information was not well presented or cited properly so donors felt misled. This is an important area. Members of the public often bring charities to our attention when they feel they are being misled or information is being used to manipulate/mislead them. It can be difficult to judge this one and sometimes we find they have not directly misled or intended to mislead the member of the public. But in many cases we find more could have been done by the charity to ensure the information and data is better presented. Key learning – handle all information carefully – consider statistics, facts and portrayal when developing fundraising campaigns.
- It is more important than ever to deal with people’s data well (just think GDPR!). This is an ongoing task for charities, ensuring that they look after people’s data. A common complaint is an obvious one – people not being removed from support databases when requested. If people want to be removed from marketing and supporter databases, they must be. At the Fundraising Regulator, we receive multiple complaints about this not being done. Even small charities must have systems in place and person(s) responsible for making sure databases are kept up to date. This reads across to Refer to good guidance – ICO and on our website 15 investigations (19%) related to how the fundraising organisation used the information they obtained from the supporter or how they managed that information. A common theme was the inadequate action from charities to remove member of the public from their supporter database. Key learning - We noted in our investigations, instances where members of the public were reassured they would be removed and then were not – charities need better systems to ensure that they action requests.
- Though you may be confident in your own systems and teams, don’t forget contractors working on your behalf – whether it is a marketing agency, a fundraising agency or company to collect charity bags. A third party fundraiser can be an organisation or individual authorised by a charitable organisation to ask for donations on its behalf. They may be paid, professional fundraisers or commercial partners if they are fundraising. Monitoring third parties is an area where we have found repeated breaches of the Code by charities of varying sizes. The importance of the ability of charities to oversee and monitor third parties engaged in fundraising on their behalf should not be underestimated. Charities must be aware of the risks involved in allowing a third party to fundraise on their behalf, particularly, if that organisation is acting as a commercial participator (which is a company that, as a regular part of its everyday business, engages in a promotional venture a charity will benefit from). Highlights the how it is very important to manage lists and monitor contractors working on your behalf. This is an important area for the public and reflected in the complaints that the charities have received themselves.
- Section 3 – How to better handle complaints A cross cutting theme in our complaints work is handling complaints themselves. Most frequently identified breach of the Code - complaint handling In most cases the breaches relate to a charity not providing a full response to the concerns raised or a failure to demonstrate learning from a complaint In some cases had the original complaint been better dealt with that we would likely not have received a complaint at all We have seen that charities can have a tendency to be defensive when responding to complaints Demonstrates a need for improvement across the sector (both large and small charities) Important for small charities – represent 27% of complaints from organisations outside the levy. In the cases of some smaller charities it seems the failure to properly deal with a complaint is linked to resource, however, we have seen examples of poor complaint handling in larger charities as well No matter what you’re size, you need procedures to protect your organisation AND keep your supporters!
- Last year, we published complaints handling guidance which set out some clear recommendations about what to do: Ensure that all your staff understand what a complaint is and how to recognise one – definition “A complaint may be generally defined as an expression of dissatisfaction, however made, about actions taken or a lack of action.“ Have an effective complaints process and procedures… Complaints procedures should be simple and clear. They should be easily accessible to members of the public and individuals Provide accurate information about the scope of complaints that the organisation can consider and what complainants can and cannot expect In the event that organisations are unable to resolve the complaint, the complaints procedures should clearly signpost individuals to the Fundraising Regulator or the Scottish Fundraising Standards Panel. Respond in a timely way and ensure that you communicate effectively with the complainants regarding where you are up to. Investigating a complaint fairly and thoroughly – acknowledge receipt, set out the next steps and process, make sure someone not involved in complaint investigates, set out evidence and what you have heard clearly. Reach a decision and be open about it – be clear about what you have decided, set out the learning and detail what your organisation intends to do a result.
- A reminder about our FPS which sets out to help the public. Launched 6th July 2017 Online and telephone Free to use service that allows members of the public to control the communications they receive from specific chosen charities Charities can access suppression requests via the Charity Portal Cost covered through Fundraising Levy Not accessing is a breach of code Big change is that we are now naming charities which do not respond or access the service.