E. ANNEXES - KEY STATISTICS FROM THE COMMISSION’S COMPLIANCE WORK - 2010-11
Contents
Back to main report
Annex 1 - Compliance performance headlines and impacts 2010-11
Performance headlines
|
2010 - 11
|
2009 - 10
|
2008 - 09
|
2007- 08
|
| Number of new Assessment cases opened |
1845
|
|
1504
|
988
|
| Number of Assessment cases closed |
1912
|
|
848
|
799
|
| Number of new Investigations opened5 |
144
|
180
|
168
|
170
|
| Total number of Investigations closed |
167
|
121
|
188
|
200
|
| Number of Statutory Inquiries opened |
3
|
9
|
19
|
19
|
| Number of Statutory Inquiries closed |
9
|
15
|
21
|
29
|
| Average duration of closed Statutory Inquiries (days) |
519
|
395
|
358
|
414
|
| Number of Statutory Inquiries closed which had significant involvement from other regulators |
0
|
2
|
5
|
5
|
| Average duration of closed Statutory Inquiries involving other regulators (days) |
N/A
|
703
|
457
|
351
|
| Number of Statutory Inquiry Reports published |
13
|
15
|
23
|
42
|
| Percentage of Statutory Inquiry Reports published within 3 month target |
|
80%
|
74%
|
31%
|
| Number of Regulatory Case Reports |
|
5
|
4
|
-
|
| Number of new Regulatory Compliance Cases opened |
141
|
171
|
149
|
153
|
| Number of Regulatory Compliance Cases closed |
|
106
|
167
|
171
|
| Average duration of closed Regulatory Compliance Cases (days) |
172
|
162
|
158
|
149
|
| Number of active Investigations at year end |
119
|
140
|
77
|
104
|
| Number of new monitoring cases opened |
276
|
306
|
211
|
-
|
| Number of monitoring cases closed |
297
|
141
|
81
|
-
|
| Number of monitoring visits |
21
|
20
|
14
|
-
|
| Number of Compliance accounts scrutinies carried out |
277
|
236
|
320
|
-
|
Performance Impacts
|
2010-11
|
2009-10
|
2008-09
|
2007-08
|
| Charity assets directly protected in our investigation work |
£8m
|
£29m
|
£47m
|
£16m
|
| Charity income directly overseen through either Statutory Inquiry or Regulatory Compliance Cases |
£900m
|
£521m
|
£461m
|
£106m
|
| Number of cases where Commission action protected vulnerable beneficiaries |
49
|
20
|
30
|
9
|
| Number of cases protecting the reputation of individual charities |
71
|
50
|
70
|
38
|
| Number of cases protecting the reputation of the sector |
49
|
35
|
41
|
27
|
| Number of cases dealing with issues arising from conflicts of interest |
20
|
19
|
21
|
26
|
| Number of cases where advice and guidance provided to ensure the charity’s governance improved |
59
|
43
|
47
|
61
|
| Number of cases involving concerns about fundraisers |
11
|
8
|
11
|
9
|
| Number of cases where an internal dispute was resolved and the charity is properly functioning again |
10
|
11
|
21
|
11
|
| Charity no longer operating or applying funds outside its trusts 9 |
8
|
-
|
-
|
-
|
| Useful and effective advice and guidance given |
91
|
-
|
-
|
-
|
| Charity is now complying with the legal requirements |
2
|
-
|
-
|
-
|
| Greater transparency in the charity's operations and published reports and accounts |
3
|
-
|
-
|
-
|
| Moribund charity is now functioning |
0
|
-
|
-
|
-
|
| Charity's relationships with third parties is now properly managed in the best interests of the charity |
1
|
-
|
-
|
-
|
| Direct charitable expenditure has increased or targets are in place to increase this expenditure |
0
|
-
|
-
|
-
|
| Number of occasions where Commission’s statutory compliance powers were used, including extensive use of information gathering powers |
208
|
514
|
707
|
490
|
These impacts relate to investigation cases closed during the year.
Key Performance Indicators ('KPIs')
We report on the performance of our investigations and related regulatory work using the Commission’s KPI 4:
Improve the effectiveness of investigations and related regulatory work into charities by improving detection, investigation and prevention and with clear reported outcomes.
KPI 4 is divided into three areas:
- Detection
- Investigation, Sanction and Redress
- Prevention and Deterrence
Detection
|
Target
|
Achievement
|
| 4a Complete 90% of compliance assessments correctly in 30 working days |
90%
|
86%
|
| 4b Carry out a minimum of 20 compliance visits annually to charities which are subject to monitoring and identified following a risk assessment |
20
|
21
|
Investigation, Sanction and Redress
|
Target
|
Achievement
|
| 4c Complete all regulatory compliance cases (excluding statutory inquiries) within an average of six months |
183 days
|
172 days
|
| 4d Ensure 90% of all investigations result in at least one of the specified beneficial impacts which protect charities from mismanagement, misconduct or abuse |
90%
|
94%
|
Prevention and Deterrence
|
Target
|
Achievement
|
| 4e Publish 90% of reports on the results of investigations within three months of the end of the substantive investigation process |
90%
|
|
| 4f Publish an annual report on the 'Themes and Lessons from the Charity Commission's Compliance Work' which includes the duration of each statutory inquiry, the impact of investigations, the use of sanctions (including legal powers of remedy and protection), and the operation of our compliance work |
Publish report before end of third quarter of financial year.
|
Published 22 September 2010
|
Annex 2 - Published statutory inquiry reports 2010-11
This table highlights key issues of concern in these investigation cases; notes the use of Charity Commission powers; and records the overall duration of investigations.
Annex 2.1 - Published statutory inquiry reports - the type and frequency of issues of concern
Note that most statutory inquiries involve more than one issue.
Baseline: 13 cases
Annex 2.2 - Trusteeship and governance issues in statutory inquiries
Baseline: 13 cases
Annex 2.3 Published statutory inquiry reports - the frequency of use of different Charity Commission powers
Note that more than one power is used in most cases.
Baseline: 13 cases
Annex 3 - Regulatory Case Reports (RCRs) 2010-11
We publish RCRs on our investigations where there is significant public interest in the issues involved and the outcome, and where there are lessons that other charities can learn from. The criteria we apply when deciding whether to publish a report is set out on our website. We also published RCRs in respect of significant cases which were handled by our Charity Services Division. These are marked with an asterisk below.
Annex 4 - Regulatory compliance cases 2010-11 - the type and frequency of issues of concern
Note that most cases involve more than one issue.
Baseline: 158 cases
Annex 5 - Investigations 2010-11 - the number of charities by income band
Sector-wide information: the number of charities generally in each income band
Annex 6 - Use of Commission powers in all compliance cases 2010-11
All Statutory Inquiry and Regulatory Compliance Cases - breakdown of the number of individual Orders or Directions under the Charities Act 1993
|
2010 - 11
|
2009 - 2010
|
2008 - 09
|
2007-08
|
| S8 (3) - (a) Furnish information/answers |
0
|
11
|
9
|
40
|
| S8 (3) - (b) Furnish copies/documents |
2
|
4
|
3
|
25
|
| S8 (3) - (c) Attend and give evidence |
0
|
11
|
7
|
5
|
| S9 (1) - (a) Furnish information |
18
|
94
|
75
|
50
|
| S9 (1) - (b) Furnish copies/documents |
140
|
288
|
543
|
246
|
| S18(1) - (i) Suspend trustee, officer, etc. |
1
|
1
|
1
|
7
|
| S18(1) - (ii) Appoint additional trustee |
0
|
1
|
1
|
3
|
| S18(1) - (iii) Vest property in the Official Custodian for Charities |
0
|
22
|
1
|
0
|
| S18(1) - (iv) Not to part with property |
4
|
12
|
11
|
18
|
| S18(1) - (v) Not to make payment |
1
|
0
|
0
|
0
|
| S18(1) - (vi) Restrict transactions |
5
|
7
|
0
|
10
|
| S18(1) - (vii) Appoint Interim Managers |
1
|
2
|
2
|
2
|
| S18(2) - (i) Remove trustee, officer, etc. |
0
|
0
|
1
|
6
|
| S18(2) - (ii) Establish a scheme |
0
|
0
|
1
|
0
|
| S18(5) Appoint trustee(s) |
3
|
11
|
11
|
9
|
| S19 (a) Specific Direction to protect charity |
4
|
7
|
4
|
0
|
| S26 Regulatory consent |
8
|
9
|
9
|
8
|
| Others (including Discharge Orders) |
21
|
34
|
28
|
61
|
| TOTAL Orders/Directions issued in period |
208
|
514
|
707
|
490
|
Annex 7 Analysis of all completed assessment cases 2010-11
Annex 7.1 Causes of serious concern dealt with by our Compliance function
Baseline: 1912 completed assessment cases.
Annex 7.2 Sources of serious concern - external sources
Baseline: 1466 cases
Annex 7.3 Sources of concern - identified proactively by the Commission
Baseline: 446 cases
Annex 7.4 Outcomes of assessments
Baseline: 1912 cases
Annex 8 - Reported concerns about charities 2010-11
Annex 8.1 - Reports of Serious Incidents
The following chart shows the principal issue only.
Baseline 849 12
Annex 8.2 - Whistleblowing reports
There were 35 whistleblowing reports received by the Commission in the year (53 last year), the vast majority of which were dealt with by the Assessment Unit. The key issues in these reports were as follows, showing the principal issue only.
Baseline: 35 reports
Annex 8.3 - Concerns about charities identified or reported from other external sources (other than RSI/whistleblowing)
Baseline: 1212 reports
Back to main report
Footnotes
3. 931 of these related to work checking the eligibility of individuals to act as trustees.
4. 940 of these related to work checking the eligibility of individuals to act as trustees.
5. ie the total number of statutory inquiries and regulatory compliance cases.
6. This year, Regulatory Case Reports were also included within the target to publish all reports within three months of the end of the substantive investigation.
7. These relate to investigation cases only. See Annex 3.
8. There were also 2 regulatory compliance cases closed which had significant involvement from other regulators.
9. The indicators in italics were introduced for 2010-11.
10. We published 13 statutory inquiry reports, and 8 regulatory case reports which related to investigations (see Annexes 2 and 3). Delays in publishing reports were mainly due to the need to coordinate with other regulators/agencies, including the police, where we were handling sensitive issues, or where we have been actively engaging with charities to resolve issues and reach agreement. It is also essential that we follow due process and are fair to those who are the subject of our reports, which may sometimes result in a delay in publication
11. The case duration shown in this column is the total period from the opening of a statutory inquiry to the date on which the substantive inquiry was closed, disregarding any delay which may have been related to the work of other regulators or legal proceedings or other external factors.
12. The figures here show individual reports. Some charities reported RSIs in batches, so some “completed assessment cases” (Annexes 7.1 and 7.2) were in fact concerned with multiple reports by individual charities.
Top of page