Research and information management strategy Using research and managing information to ensure delivery of the Commission s objectives

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1 Research and information management strategy Using research and managing information to ensure delivery of the Commission s objectives 1

2 1. Introduction This strategy sets out a range of research and information management objectives, each flowing directly from a corporate objective of the Charity Commission for Northern Ireland (the Commission). The purpose of the strategy is to use research and information management as tools to achieve, measure and evaluate progress against the Commission s objectives and support the delivery if its regulatory functions. The strategy will build on what we are already doing in terms of gathering and processing information, ensure that we are using information collected through CRM and existing databases, baseline information against which to measure progress in coming years, and allow us to make best use of that information, both internally and externally. It will also help to highlight gaps in our knowledge that need to be addressed whether through internal data analysis and desk research or through commissioning external research. Finally, we are committed to making the data we hold open and available to other stakeholders for research purposes, enabling its use and application in further ways. In developing this strategy, the terms research and information management have been given broad definitions, and encompass a range of features including the effective use of data held by the Commission, programme evaluation, impact measurement, and thematic studies as well as the procurement of independent external research. The strategy will be implemented through annual research action plans which will set out key activities, deliverables and timeframes. The development of the strategy was informed through internal consultation with staff, liaison with colleagues at the Charity Commission for England and Wales (CCEW) and the Office of the Scottish Charity Regulator (OSCR), and the review of existing strategies for comparable organisations Why do we need a research and information management strategy? A research and information management strategy is required to enhance the work of the Commission and support it in achieving its objectives and regulatory functions. The strategy provides a mechanism for providing accurate and timely information to inform evidence-based policy and decision-making, and targeted and effective communications, in pursuit of the Commission s objectives. The publication of relevant and meaningful research also provides an opportunity to 2

3 establish the Commission as a key source of information on the Northern Ireland charity sector. For example, through analysing information held on CRM we can identify and highlight the scale, scope and contribution of the charitable sector in Northern Ireland. Once the register is fully populated, this will be possible for a 100% sample of charities. This puts the Commission in a unique position to advance trust and confidence in the sector, a core objective set out in the Charities Act. The strategy is therefore designed to promote the collation, evaluation and dissemination of information that: adds value or insight to the Commission in the achievement of its objectives provides evidence to inform the Commission as to whether it is achieving its objectives and whether activities are having the intended impact supports the Commission in regulating the sector effectively enhances the knowledge of stakeholders, including charities, donors, beneficiaries and the general public, regarding the legal obligations of the charity sector in Northern Ireland. Additionally, as the Commission is compelling a range of information from charities, it is important that that information is used responsibly and visibly; reuse and analysis of information given to us in the course of operations is an efficient way of promoting the benefits of charity regulation, encouraging compliance by charities, and cementing awareness of the Commission and register of charities amongst stakeholders Structure The research strategy is set out in five main sections with three appendices: Research and information management objectives Implementation Resources Stakeholders Evaluation Appendix 1: Research objectives and strategies Appendix 2: Internal information management Appendix 3: Rolling action plan template The strategy is necessarily high level, with implementation set out in more detail, on an annual basis, in rolling action plans. This will allow for a degree of flexibility to adapt to emerging trends or issues, and to undertake supporting analysis work on an ad hoc basis when the need is identified by a team within the Commission. Additionally, this will enable prioritisation of objectives and 3

4 strategies as the work of the Commission and the regulatory environment evolve. The strategy has been developed against the framework of the Commission s core objectives, aligning with the corporate and business plans and the communications strategy What we are doing currently Research and information management are already built into the work of the Commission to support the achievement of its strategic objectives, informing planning and activity on an ongoing basis: Evaluation We use reporting and information to evaluate the effectiveness of programmes and activities, implementing changes as necessary and using lessons learned to inform development. Information management We regularly use information to report against corporate and business plan targets. This helps to ensure real time knowledge and understanding of progress, and to identify challenges or gaps in achievement against targets and potential solutions. Feedback surveys and questionnaires We use feedback forms at events, and an online post-registration survey, to capture information from stakeholders on their experience of interacting with the Commission, and their awareness of key areas such as the public benefit requirement. Thematic reports We use information gathered through the implementation of programmes to report on findings and produce guidance or lessons learned for stakeholders. Commissioned research We have commissioned research into attitudes towards charity regulation in Northern Ireland, awareness of the Commission and levels of giving at Christmas (together with the other UK charity regulators). Consultation Consultation with stakeholders provides valuable information and insight to inform the development of programmes, priorities and guidance. Through the adoption and implementation of a research strategy, these activities can be carried out in a more joined up and strategic way ensuring best use of information gathered and the timely identification and filling of gaps in knowledge. 4

5 2. Charity Commission for Northern Ireland objectives and research objectives The research strategy is directly aligned with the Commission s core objectives as the independent regulator of charities in Northern Ireland. The research and information management objectives flow from each core objective and designed to support their achievement: Public confidence objective: to increase public trust and confidence in charities. Research and information management: Through analysis of information gathered through operations, and commissioning of external data, we hope to identify the factors that influence trust and confidence in charities, determine the role the Commission has to play in promoting trust and confidence, and monitor levels of trust and confidence in charities over time. Without understanding how levels of trust and confidence change, and the factors that determine this change, we will be unable to determine whether we are achieving against this objective. A significant amount of information will be gathered through analysing registration data on CRM and information collected through the annual monitoring return. Addition research may need to be commissioned to gather the perceptions of members of the public and other stakeholders. Both CCEW and OSCR procure external, independent research in this field on a biannual basis. Going forward, we will be able to benchmark levels of trust and confidence in Northern Ireland charities against other jurisdictions. Public benefit objective: to promote awareness and understanding of the operation of the public benefit requirement. Research and information management: Through the implementation of the registration programme, we know that the most challenging aspect of the registration process is the public benefit requirement, and yet it is fundamental to what makes an organisation a charity. We must be able to monitor levels of awareness and understanding of the public benefit requirement, and identify factors that increase understanding and awareness. Otherwise, we will be unable to determine the impact of ongoing efforts to promote awareness and understanding. We are currently gathering information at registration workshops and through a post-registration survey; additional work with stakeholders may be required as part of an omnibus survey. Compliance objective: to promote compliance by charity trustees with their legal obligations in exercising control and management of the administration of their charities. Research and information management: In order to meet this objective of promoting compliance with legal obligations, it is essential for 5

6 the Commission to understand the range of factors that can positively promote compliance and then, on an ongoing basis, to monitor levels of non-compliance to determine whether interventions are working. This will also contribute to the achievement of the public trust and confidence objective. This will be delivered through analysis of information gathered as part of the investigations and monitoring and compliance programmes. Additionally, external work with stakeholders such as the legal community, funders and members of the public to identify awareness of legal obligations may be required. Charitable resources objective: to promote the effective use of charitable resources. Research and information management: The Commission is tasked with promoting the effective use of charitable resources. To do this, we must have an understanding of what the indicators are of charitable resources being used effectively. Additionally, we will need to understand what factors impact on the use of resources and be able to monitor the effective use of resources. This will enable us to see whether there is a change over time, and determine whether the Commission is achieving against this objective. Internal analysis of information gathered through the annual monitoring return will be undertaken. Additionally, through working with the communications officer, we will track the impact of activities such as good governance work and the publication of guidance, on future use of charitable resources. External work with stakeholders may be required to gather insight and perception on indicators of effective use of charitable resources. Accountability objective: to enhance the accountability of charities to donors, beneficiaries and the public. Research and information management: In order to determine the effectiveness of the Commission in enhancing accountability of charities to stakeholders, we must be able to identify what information stakeholders require and analyse their use of information provided. This will enable the Commission to provide access to information in a meaningful way that is accessible to stakeholders, and is produced efficiently using resources strategically. Otherwise, we may expend resources producing information in a content or format that does nothing to enhance the accountability of charities to donors, beneficiaries and the public. Delivery objective: to manage the Commission as an effective and efficient non departmental public body. Research and information management: The Commission must be able to report on and evidence its effectiveness and efficiency as a non departmental public body and as the independent regulator of charities in Northern Ireland. Information management is key to this, enabling the Commission to report progress against key indicators of efficiency and effectiveness, benchmarking over time and against similar organisations. 6

7 3. Implementation Implementation of the strategy will be programmed into annual action plans and managed through the dedicated research and consultation project team. Research methods used to implement the strategy will include: Monitoring: collecting and recording information to check progress against plans and enable evaluation, for example using the postregistration online survey to capture the views of stakeholders on the registration process and chart change over time Evaluation: using information to help to understand the performance of the Commission, a project, or a programme, for example, using information gathered through feedback from stakeholders answering a post-programme survey, to review a programme, measure its impact, and improve the outcomes it achieves Engagement: engaging with stakeholders, either through a dedicated research exercise, or through ongoing implementation of a programme, to identify perceptions and priorities Effective data management: using internal analysis of the data gathered through the general operation of programmes to enhance knowledge in other areas and to identify patterns and trends Specific data collection: gathering data specifically for research purposes, including commissioning independent research, using surveys and questionnaires, and undertaking quantitative and qualitative analyses Collaboration: collaborating with external stakeholders on research products, sharing data and learning Internal generation: using an internal policy and research log as a means for staff to raise questions and priorities for research. Research panel: convene a panel twice a year to discuss charitable sector research priorities bringing together a cross section of stakeholders in Northern Ireland: academics, funders, sector representatives, legal/accountancy professionals Tools Specific tools that may be employed will include: Analysis of CRM / internal database information for specific programmes Analysis of logs, for example general enquiries log Work with academics and PhD researchers (Science Shop at QUB) Departmental evaluation of the work of the Commission Online questionnaires and website pop-up surveys Longitudinal diary or case studies 7

8 Omnibus survey Commissioning of independent external research MLA perception and reputation research Open data sharing Convening and participating in research panels. 8

9 4. Resources Many of the research objectives identified can be achieved through internal gathering, analysis and reporting of data. The key resource here is staff time. There are, however, some objectives that cannot be achieved without the commissioning of an external product or service. Within the context of a still challenging economic climate and the need for fiscal responsibility, it is essential that we make the necessary investment in high quality, targeted and useful research to support the achievement of the Commission s objectives and enable us to measure the impact we are having. Indicative costs for key products or services are set out in the table below. A full budget will be included in all annual action plans. These costs are indicative and the budget for annual plans will be realistic based on contemporary budget constraints. The research and information management strategy does not require an all or nothing approach, rather, a range of implementation options have been identified for each objective. Some costs have been calculated based on previous experience, for example the 2011 inclusion of questions in the Northern Ireland Statistics and Research Agency (NISRA) omnibus survey. Other costs, particularly the commissioning of significant independent research from external agencies, have been extrapolated based on comparable information shared by the Charity Commission for England and Wales (CCEW) and the Office of the Scottish Charity Regulator (OSCR). Product / service Stakeholder survey, commissioned from an independent external agency Omnibus survey, external data capture, in-house analysis Giving at Christmas survey, jointly with CCEW and OSCR MLA perception and reputation survey Surveymonkey facility for questionnaires and surveys Hosting of panels and attendance at conferences Frequency Commissioning cost (+VAT) Biannual 20,000-25,000 Biannual 4,500 Annual 500 Triannual (year 3 of strategy) 2,500-6,000 Annual 250 Annual 1,000 Average equivalent cost per annum: 17, Likely to reflect alternate year on year spending, years a and c: 10,500, years b and d: 24,250 9

10 5. Stakeholders A range of stakeholders have been identified. In some cases, these groups and individuals are the audience for research we publish. In other cases, they are a key source of information. A number are potential partners or collaborators on research projects. Charity beneficiaries, charity donors, members of the public, media, politicians Academics, researchers, Third Sector Research Forum, research and data sharing panels, private research agencies Charities, staff, volunteers, trustees, helper groups, umbrella bodies, good governance group Legal and accountancy professional bodies, Fundraising Standards Board, Charity law Association CCEW, OSCR, Charities Regulatory Authority (Ireland), HMRC, Equality Commission, government departments, Office of the Attorney General, other regulators Board and staff of the Commission 10

11 6. Evaluation of the strategy Progress against the objectives set out in the research strategy will be monitored and reported on an ongoing basis with quarterly reports submitted to SMT. These reports will contain details of outputs and outcomes achieved. On an annual basis, the strategy will be evaluated for indicators of success, allowing learning to inform and be built in to the strategy. Key performance indicators will be charted against objectives. The research strategy will be a living document that is reviewed and expanded in future years. The diagram below illustrates the continual process by which research objectives inform strategies which are implemented, reported on and subsequently evaluated, informing the further review of objectives and identification of new objectives. Objectives Evaluation Strategies Reporting Implementation 11

12 Appendix 1: Research objectives and strategies This strategy sets out a range of research objectives, each flowing directly from a corporate objective of the Commission. The research objectives are presented in the table on the following page. For each objective, a number of strategies for achievement of the objective are set out, along with options for implementation. On an annual basis, strategies will be prioritised based on a number of factors including available resources, environment and stakeholder needs. During each year, it is likely that a range of strategies will be implemented, programmed into the annual action plan. 12

13 Corporate objective 1: Increased public trust and confidence in charities 1.1 Research objectives Identify factors influencing trust and confidence in charities and chart their impact Strategies How we will achieve these Priority 1. Identify the information stakeholders need in order to put their trust in a charity, or in the sector, by conducting research with stakeholders asking them about influencing factors for example: a. Impact of register of charities b. Existence of a charity regulator c. Personal experience d. Well known name e. Attendance at an event or roadshow f. Negative impact of public scandals g. Charity s use of resources 2. Identify indicators and proxy indicators of trust and confidence that can be used to monitor levels of trust, for example, levels of giving, number of volunteers, support for beneficiaries, impact reports for funders. 3. Chart spikes, troughs and trends in levels of trust against the influencing factors using, for example, communications, google alerts, publication of investigations, roadshows or other events. 4. Communicate these factors to charities so that they can enhance their trustworthiness and use these factors to inform our own communications and reports. 1. Omnibus survey 2. Commission perception research 3. Calendar of key events or developments populated using google alerts, roadshows, publications of guidance (eg NICVA 2014 individual giving) kept up to date with communications officer 4. Annual trust and confidence report published 5. Review of external research eg individual giving commenced Q1 2015/16

14 1.2 Determine the role of the Commission in promoting trust and confidence in charities 1. Conduct research with stakeholders to determine levels of trust in the Commission as a regulator, probe the extent to which the Commission is an influencing factor in determining trust in charities / the sector, and identify what stakeholders expect from the Commission. 2. Identify perceptions of the Commission s visibility and accessibility through feedback at events, roadshows and on reports or guidance published. 1. Omnibus survey 2. Commission perception research 3. Feedback: add an additional question to feedback forms 4. Pop up surveys on website guidance/report pages 5. Collate information for annual internal reports 6. Include information in annual trust and confidence report commenced Q3 2015/ Monitor levels of trust and confidence in charities in Northern Ireland 1. Consider what trust in a charity means to stakeholders; to have an impact, to be financially responsible for example. 2. Baseline trust and confidence in charities based on measurement of the indicators identified and stakeholder perception. 3. Establish a monitoring technique to measure levels of trust over time; spikes, troughs and trends: a trust index encompassing awareness of charities, confidence in the register. 4. Benchmarking and comparison with levels of trust and confidence in charities in England and Wales. 1. Omnibus survey 2. Commission perception research 3. MLA research (other stakeholders) 4. Preliminary / desk research what do we mean 5. Commission external research. 6. Periodical surveys; once we have identified indicators, can we then measure them quarterly; if we are contacting individuals, can we ask who would be willing to be contacted again? 7. Longitudinal research. 8. Annual trust and confidence report published 9. Christmas Giving Survey, joint with CCEW and OSCR commenced Q3 2015/ Use analysis of the register of charities as 1. Building on information gathered through objectives 1.2 and 1.3, analyse information on the register of charities 1. Profiles / thematic reports on registered charities (activities, benefits, compliance, beneficiaries, commenced by Q1

15 a tool to enhance trust and confidence in charities and present it so as to address factors identified as influencing trust and confidence in charities (will link to research strategies to advance corporate objective 5 promoting accountability of charities). 2. Identify users of the register of charities, what they are using it for, and whether they are getting what they want / need out of it. 3. Research awareness of the register of charities amongst stakeholders. income levels) 2. Pop up surveys on the register of charities website page what looking for? Did you find it? 3. Omnibus survey 4. Commission perception research 5. Measuring academic / other use or register data 2015/16

16 Objective 2: Better awareness and understanding of the operation of the public benefit requirement Research objectives Identify factors that impact on awareness and understanding of the public benefit requirement Monitor levels of awareness and understanding of the public benefit requirement Strategies How we will achieve these Priority 1. Identify key factors through research with charities including post-registration survey and follow-up research querying where and how they learned about the public benefit requirement. 2. Gather feedback on public benefit guidance, identify who is using the guidance, and whether there are any gaps that need to be filled. Chart spikes, troughs and trends in levels of trust against the influencing factors using, for example, communications, google alerts, publication of new guidance, roadshows or other events. 1. Identify indicators of awareness and understanding 2. Baseline charity awareness and understanding at point of registration using a post-registration survey, feedback from registration workshops and internal indicators such as how often registration applications include poor public benefit statements. 3. Monitor changes in awareness and understanding over time 4. Research awareness and understanding amongst other key stakeholders 1. Annual analysis: year one analysis in December 2014 a. Registration workshops b. Post-registration survey c. Casework officer reports 2. Omnibus / stakeholder research 3. Post-registration survey analysis Pop up survey question on public benefit and registration page of website 1. Annual analysis: year one analysis in December 2014 a. Registration workshops b. Post-registration survey c. Casework officer reports 2. Omnibus / stakeholder research 3. Post-registration survey analysis 4. Focus group or questionnaire to legal profession commenced by Q1 2015/16 commenced by Q1 2015/16

17 a. Legal profession b. Members of the public 2.3 Enhance the Commission s understanding of public benefit 1. Identify gaps in own knowledge and use research to fill those gaps 2. Share findings/guidance internally and consider publishing those findings to raise levels of understanding amongst the sector. 1. Analysis of data generated internally: analyse registration issues log and general enquiries log on a regular basis, programming gaps to be filled into the policy development plan. 2. Policy and research log to be used as a tool to record internal requests for guidance, research, questions to be answered. commenced by Q1 2015/16

18 3.1 Objective 3: Enhanced compliance by charity trustees with their legal obligations in exercising control and management of the administration of their charities Research objectives Identify factors that impact on compliance with legal obligations Strategies How we will achieve these Priority 1. Research with stakeholders to probe factors that impact on compliance with legal obligations, for example: a. Awareness of legal obligations b. Existence of charity regulation c. Guidance d. Roadshows or events e. Training f. Professional support g. Helper groups h. Other trustees i. Nature of organisation: whether it is a new charity, the income level, size of the charity, the type of governing document. 2. Chart spikes, troughs and trends in levels of non-compliance against these factors using, for example, communications, google alerts, publication of new guidance, roadshows or other events. 3. Identify characteristics of compliant / non-compliant organisations. 4. Probe understanding and awareness of guidance through feedback, identifying and addressing gaps, and targeting promotion. 5. Conduct research with the legal 1. Calendar of key events or developments populated using google alerts, roadshows, publications of guidance kept up to date with communications officer 2. Pop up survey question on relevant pages of website 3. Address gaps through producing or revising guidance and using relevant channels to promote that guidance 4. Identify legal sector consultees using internal consultation database, the Law Society of Northern Ireland and the Charity Law Association. Use a combination of focus groups and ed surveys. 5. Plan follow up guidance or training with the Law Society to address gaps. commenced Q1 2016/17

19 profession to identify awareness of charity legal obligations, how legal professionals gain their understanding, how they promote compliance in turn. 3.2 Monitor levels of noncompliance and chart trends over time 1. Identify and analyse sources of information on non-compliance to start to identify trends, patterns and regulatory risks. 2. Baseline and chart over time the number and nature of: a. Monitoring and compliance activities b. Investigations c. Referrals from registration/casework d. Organisations not applying at registration when called forward e. Poor quality registration applications that have to be resubmitted f. Number of times particular powers need to be used by the Commission as an indicator of non-compliance. 1. Internal analysis reports compiled, shared internally and published externally on an annual basis 2. Analysis of investigations log 3. Thematic reports to be produced annually, for example, monitoring activities undertaken, accounts compliance by smaller charities. commenced Q1 2016/ Monitor perception amongst other stakeholders (members of the public, 1. Conduct research with stakeholders raising a concern about a charity, identifying whether members of the public have the information they need, on what legal obligations charities must comply with, in order for them to flag 1. Stakeholder research through focus groups or online questionnaires 2. Pop up survey questions on the concerns page of the website 3. Questionnaire ed to commenced Q2 2016/17

20 other statutory organisations, funders) regarding charity legal obligations concerns 2. Conduct research with other stakeholders, eg funders, into their understanding and perception of legal obligations charities must comply with, how they might identify noncompliance, and what they would do if they have concerns. 3. Work with developing governance group regarding evaluation of the code of good governance and associated learning. individuals who have previously submitted a concern to the Commission. 4. Analysis used internally to plan guidance and communications.

21 Objective 4: More effective use of charitable resources Research objectives Define what effective use of resources looks like in a charity Identify indicators of effective use of charitable resources Strategies How we will achieve these Priority 1. Identify the hallmarks of a charity that uses its resources effectively. 1. Analyse the register of charities including annual monitoring return submissions to identify indicators of effective use of charitable resources considering income, payments, activities, mergers, closures, reserves. 2. Analyse queries received and logged on the general enquiries log and concerns log. 3. Profile the use of resources, highlighting effective use through thematic reports. 4. Use research with stakeholders to identify potential themes for reports or guidance, for example: a. Charities providing public services b. Mergers and collaboration c. Modernisation d. Fundraising e. Sources of income f. Payment of salaries g. Charities procuring legal or 1. Internal staff session to agree hallmarks, desk research of academic and other articles on effective use of resources 1. Conduct annual analysis of data held on the register and gathered through annual monitoring 2. Stakeholder research, questionnaires to charities 3. Public surveys capturing perception of indicators, for example, charity CEO salaries, expenditure on administration. commenced Q1 2016/17 commenced Q1 2016/17

22 accountancy services h. Perceptions regarding the use of charitable resources i. Organisations regulated by more than one regulator j. Charity reserves k. Pensions Identify factors which promote the effective use of charitable resources Monitor the effective use of charitable resources 1. Conduct research with stakeholders to identify barriers, enablers and challenges regarding the use of charitable resources for example: a. Existence of register of charities and a charity regulator b. Guidance and resources such as toolkits c. Impact reporting for funders d. Helper groups e. Good governance guide f. Training 2. Analyse feedback on existing guidance to identify gaps Conduct an analysis of: a. Resource related general enquiries b. Investigations related to the use of charitable resources c. Monitoring and compliance activities related to the use of charitable resources 1. Stakeholder research, questionnaire to charities 1. Pop up survey questions on relevant guidance pages of the website 2. Annual internal analysis report, identifying guidance priorities, informing risk and profiling indicators, and where to target communications 3. Calendar of key events or developments populated using google alerts, roadshows, publications of guidance kept up to date with commenced Q3 2016/17 commenced Q3 2016/17

23 d. Use of resources and staff and volunteer numbers gathered through the annual monitoring return 3. Chart spikes, troughs and trends in the use of charitable resources using, for example, communications, google alerts, publication of new guidance, roadshows or other events. communications officer

24 5.1 Objective 5: Enhanced accountability of charities to donors, beneficiaries and the public Information mamagement objective Identify stakeholder views regarding information they want to access and what they do with this information Strategies How we will achieve these Priority 1. Use research with stakeholders to identify: a. Information stakeholders wish to see on charities to hold them to account b. Whether we can link accountability with levels of trust (link to research objectives flowing from corporate objective one) c. What impact accountability has on stakeholders, for example, do stakeholders withdraw support from a charity if they do not have the information to hold it to account. 1. Research with stakeholders through questionnaire, use helper groups to disseminate information: note importance of not creating expectations that cannot be met; recognise that different stakeholders may have different expectations. Important to consider why stakeholders want certain information. Q3 2015/ Monitor perceptions of accountability amongst donors, beneficiaries and the public 1. Baseline and monitor perceptions of charity accountability through research with key stakeholders, for example, beneficiaries, donors and members of the public. 2. Chart spikes, troughs and trends in perceptions of accountability, for example, communications, google alerts, publication of new guidance, roadshows or other 1. Research with stakeholders through questionnaire, use helper groups to disseminate information 2. Calendar of key events or developments populated using google alerts, roadshows, publications of guidance kept up to date with communications officer commenced Q3 2015/16

25 5.3 Analyse use of the register of charities events. 1. Conduct research with visitors to the online register of charities, probing their reason for visiting, whether they got the information they needed, whether they would like to see any additional information. 2. Conduct research with stakeholders to identify general awareness of the register of charities, and what they would use it for. 1. Pop up survey questions on online register of charities page 2. Omnibus survey, stakeholder research commenced Q1 2015/ Provide open, transparent and accessible information collated from the registration process 1. Compile and publish regular information promoting accountability including: a. Profiles of the register b. Thematic reports 2. Make information available to other stakeholders for research purposes for example academic researchers or charity umbrella groups. 1. Internal analysis reports compiled, shared internally and published externally on an annual basis 2. Open data available on request, with all personal information removed 3. Liaison with other organisations that hold relevant information and data, eg NI Assembly, NISRA Ongoing 2015/ / /18

26 6.1 Objective 6: Commission is managed as an effective an efficient non-departmental public body Research objectives Identify indicators of efficiency and effectiveness Strategies How we will achieve these Priority 1. Establish definitions of efficiency and effectiveness and mechanisms for reporting achievement against them 2. Use internal analysis to determine key indicators including, but not limited to: a. Meeting of targets, for example, number of registration applications processed b. Service standards being met c. How stakeholders are using resources provided d. Number of reviews of our decisions successfully overturned e. Complaints received f. Stakeholder satisfaction and feedback g. Accessibility and equality obligations h. Applicants using correct forms i. Improved quality of applications j. Number of times enforcement powers are used, for example, calling for 1. Internal staff session to agree key indicators of efficiency and effectiveness 2. Use critical friends / helper groups as key stakeholders to test indicators of efficiency and effectiveness 3. Information used to inform annual reporting commenced Q1 2015/16

27 documents, and identification of patterns and connections through use of those powers. 3. Test with stakeholders whether these are the appropriate indicators against which they would measure the Commission s effectiveness and efficiency Monitor and chart levels of efficiency and effectiveness over time and perceptions of the Commission s efficiency and effectiveness Identify factors that impact on the efficiency and effectiveness of the Commission 1. Collate and publish performance management information on a monthly basis. 2. Share information internally, with Board and consider publishing on the website. 3. Establish stakeholder views on overall impact of the Commission, measuring and tracking opinion. 1. Undertake lessons learned sessions and reviews post implementation of significant programmes or policies, capturing team insights into factors such as proportionality of approach which may influence efficiency and effectiveness. 2. Capture views of staff annually. 3. Determine impact of helper groups, events and guidance on the efficiency and effectiveness of the Commission. 1. Collate information from other teams and share with SMT monthly, agree schedule for sharing with Board and publication using template at appendix 1 2. Stakeholder survey to monitor perceptions and identify views on priorities for the Commission 1. Annual anonymous staff survey, results collated and analysed 2. Analysis of lessons learned captured through programme/project team issues logs 3. Analysis of feedback forms 4. Post project evaluation of business cases to be a fully established process 5. Analysis of quality reviews (issues identified, number cleared with no follow up action required) commenced Q1 2015/16 commenced Q1 2015/16

28 6.4 Identify the extent to which the Commission is accessible to stakeholders, testing our decision making processes and evaluating progress against our equality obligations 1. Complete a profile of applications and decisions, for example registrations, organisations under investigation, organisations refused consent or turned down for registration, to identify any groups that are under or over represented and work with representatives from those groups to address issues. 2. Capture the views of stakeholders on the Commission s approach and decision making. 1. Internal analysis of information to create demographic profiles 2. Stakeholder satisfaction survey sent to all individuals who have interacted with the Commission commenced Q2 2015/16

29 Draft commencement timeline:

30 Appendix 2: Charity Commission for Northern Ireland Internal Management Information Quarter /15 These statistics reflect activities and outcomes which are appropriate to indicate volumes or trends when reported on a monthly basis. Patterns, outcomes and qualitative assessments are reported in our Annual Report and through individual studies. The collation of this data is centrally coordinated, facilitated by effective recording of information gathered by relevant departments. Where N/A is stated this indicates either a new performance indicator where no previous comparator is available or a change in the way the indicator has been calculated making it no longer accurate to compare with previous figures. Gaps in information reflect where methods of calculation are to be agreed with relevant programme managers. Measures and KPIs will be inserted so that information can benchmarked. The intention is that this can be used to ensure information management is consistent, and shared with IT to build into CRM reporting. Information can also be shared consistently with the other charity regulators.

31 Figure Unit April 14 May 14 June 14 Figures to June 2014 Comparison with same period 2013/14 (to June 2013) What does this show? Registration information 1 Charities on the online register 2 New applications for charitable status received Number N/A Number N/A 3 Applications for registration returned as incomplete % N/A N/A N/A N/A N/A 4 Applications for registration turned down 5 Charities registered with religious designation Number N/A Number N/A The number of registered charities in Northern Ireland. Will not include charities that appear on the register but have ceased to exist. The number of applications received each month for entry onto the register of charities. The percentage of applications received each month that are returned to applicants prior to assessment due to being incomplete or of very poor quality. The number of applications refused charitable status. The number of charities granted designated religious status with their registration.

32 Figure Unit April 14 May 14 June 14 6 Closure of a registered charity Figures to June 2014 Comparison with same period 2013/14 (to June 2013) Number N/A What does this show? The number of registered charities Casework information 7 Applications for a scheme Number N/A 8 Applications for a Section 96 consent for a charitable company 9 Notifications of a charity merger Number N/A Number N/A N/A N/A N/A N/A The number of applications received for a scheme to reorganise a charity. The number of applications received from charitable companies for consent to make changes to their purposes or governance. The number of notifications received for entry onto the register of charity mergers. 10 Concerns received about charities Compliance information Number N/A N/A N/A N/A N/A The number of concerns received each month. This includes concerns raised by the public, referrals from other regulators, and internally generated concerns. Not all concerns received result in the opening of an inquiry.

33 Figure Unit April 14 May 14 June Inquiries opened 12 Inquiries closed 13 Inquiries ongoing Figures to June 2014 Comparison with same period 2013/14 (to June 2013) Number N/A N/A N/A N/A N/A Number N/A N/A N/A N/A N/A Number N/A N/A N/A N/A N/A What does this show? The number of inquiries into charities opened each month. The number of inquiries into charities closed each month; outcomes include statutory inquiry reports, regulatory guidance or advice. The number of inquiries in progress each month. 14 Annual monitoring returns submitted to the Commission 15 Annual monitoring return submitted in time 16 Annual monitoring returns submitted outside the deadline 17 Annual monitoring returns currently outstanding Annual reporting Number N/A N/A N/A N/A N/A % N/A N/A N/A N/A N/A % N/A N/A N/A N/A N/A Number N/A N/A N/A N/A N/A The number of annual monitoring returns received each month. The percentage of charities that have submitted returns, where the return was on time. The percentage of charities that have submitted returns, where the return was late. This is one measure of charities compliance with their legal obligations.

34 Figure Unit April 14 May 14 June 14 Figures to June 2014 Comparison with same period 2013/14 (to June 2013) What does this show? 18 Telephone enquiries received by the Commission 19 Registration decisions made by the Commission 20 Casework decisions made by the Commission 21 Registration applications processed within 3 months of receipt of all necessary information 22 Casework applications processed within 3 months of receipt of all necessary information 23 Reviews of the Commission s decisions Charity Commission for Northern Ireland performance Number N/A N/A N/A N/A N/A Number N/A N/A N/A N/A N/A Number N/A N/A N/A N/A N/A % N/A N/A N/A N/A N/A % N/A N/A N/A N/A N/A Number N/A N/A N/A N/A N/A An indication of the number of enquiries received and answered by the Commission. The number of positive and negative registration determinations given each month. The number of casework consents and refusals given each month. How quickly the Commission is able to process registration applications once all necessary information is received. How quickly the Commission is able to process casework applications once all necessary information is received. The number of challenges to decisions made by the Commission, indicating

35 Figure Unit April 14 May 14 June 14 requested 24 Complaints received about the Commission Figures to June 2014 Comparison with same period 2013/14 (to June 2013) Number N/A N/A N/A N/A N/A What does this show? disagreement with the Commission s decision. An indication of dissatisfaction with the service of the Commission.

36 Appendix 3: One year rolling action plan template An annual action plan will be agreed with SMT by the end of quarter three of the previous year. This will allow time to ensure appropriate allocation of resources. Progress against the plan will be reported to SMT on a quarterly basis. We propose to review annual action plans with NISRA and colleagues within the Department for Social Development to ensure our approach is joined up and strategic, and to identify potential opportunities to share work and create efficiencies. Below is a sample template of the progress monitoring and reporting sheet: Objective Action Resources Lead Outputs 1.1 Identify factors influencing trust and confidence in charities and chart their impact 1.2 Identify factors influencing trust and confidence in charities and Create a calendar of key events and developments to be populated and maintained across the year Commission research capturing information from members of Excel spreadsheet staff time, managed through research project team Staff time to draft and evaluate tender, and post data capture Comms officer Policy devpt manager Excel spreadsheet calendar Data set recording levels of trust and confidence at four points Outcome to be achieved Changes in trust and confidence can be mapped against events or developments to identify possible correlation Can chart changes in levels of trust and confidence across the Progress Q1: Spreadshee t created Q2: Spreadshee t reviewed at weekly team meetings Q3: Spreadshee t up to date Q1: Tender exercise completed, supplier appointed. Q2: First Completion Completed for year Budget N/A Ongoing 22K +VAT

37 chart their impact the public on levels of trust in charities, measured at four points across the year. Tender for suppliers, agree question set and timings for data capture. analysis. Costs for independent research agency to carry out data capture. across the year year which can be mapped to the calendar of key events and developments data capture completed. Q3: Second data capture completed, analysis of first data capture carried out.

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