Scottish Charity Regulator Annual Corporate Governance Review November 2017

Transcription

1 Scottish Charity Regulator Annual Corporate Governance Review November 2017

2 1. Background A high level review of governance arrangements is carried out by the Audit Committee annually. This review is referred to in the Audit Committee s annual report to the Board; and by the Accountable Officer in the Governance Statement section of our Annual Report and Accounts. It also forms part of the evidence submitted to and considered by external audit. As previously, the review has been structured around the six core principles as detailed in The Good Governance Standard for Public Services report and is structured to provide evidence in respect of each. OSCR Governance Review 2017 Governance Principle 1. Good Governance means focusing on the organisation s purpose and on outcomes for citizens and service users. We published a Corporate Plan in April, which sets out our vision, together with a series of strategic objectives for the period. Our Business Plan and Operational Plan detail the specific pieces of work we will carry out to deliver the strategic goals, together with timescales for delivery. We publish an annual highlights summary showing our progress against business plan milestones. Our board consider how best to monitor, evaluate and communicate the impact and effectiveness of what we do, as part of their ongoing business. Our move to a more targeted, risk based approach to regulation is embedded in our revised processes and structures. Monthly performance statistics are published on our website. Our Annual Review document summarises our overall performance in an easily digestible format. We provide quarterly information to the Scottish Information Commissioner about requests we have handled under the Freedom of Information (Scotland) Act We Seek input and feedback from customer stakeholders in respect of Guidance, operational and policy changes through consultation events and written consultation documents. Our Board and staff hold post-board Strategic Sessions at which an external speaker presents and takes questions on a topic of relevance to the sector and/or OSCR as regulator. We are committed to digital delivery, and almost all charities complete annual returns online. We are developing an online status application to improve the services we offer stakeholders. Our involvement in the development of fundraising procedures and the fundraising appeal panel for Scotland have helped us address work with others to address citizen and user concerns about fundraising.

3 2. Good Governance means performing effectively in clearly defined functions and rolls Our Board provide us with a clear strategic overview, and review their effectiveness annually. Our Board consider performance and financial information relating to our operational activities at each of their meetings. All members have a responsibility for ensuring robust analysis of this information. Board Members are appointed using the Public Appointments System, and are subject to an annual performance appraisal by the Chair. Our Audit Committee provides an annual report of activity to the Board, as well as feedback from each of their meetings and discussions, to the Board. External Audit carry out a review of aspects of corporate governance as part of their annual audit work, and the internal audit will also consider certain aspects of governance relating to decision making. All staff have workplans, targets and learning plans which are monitored regularly in accordance with the Scottish Government Performance Management framework. Our Framework Agreement with the Scottish Government includes reporting, accountability and service delivery arrangements. The Agreement is subject to a review schedule. We have Strategic Agreements in place with other key partners which outline how we will work effectively together, and these are subject to a review schedule. 3. Good Governance means promoting values for the whole organisation and demonstrating the values of good governance through behaviour. Our Board Members follow the Standards Commission Code of Conduct. Member Registers of Interest are regularly updated (every 6 months routinely) and published on our website. All staff complete a Registers of Interest form and renew it annually. Staff sign an ICT Code of Conduct annually Most of the information we collect about charities, is available for re-use in accordance with our open data practice. A copy of our Register of charities is available for download from our website. All our staff receive Equality and Diversity training. All staff and board members undertake online Information security training appropriate to their position. We use the Public Service Information Framework (PSIF) model to identify concerns and develop a corporate improvement plan for all staff. Minutes from Board meetings are published on our website.

4 4. Good governance means taking informed, transparent decisions and managing risk. We have a clear schedule of Delegated Authority between the Board and staff We have clear procedures in respect of decision making, quality assurance and review processes. We have a corporate Risk Register which is regularly reviewed and updated by our SMT, Audit Committee and Board. Our risk register informs the internal and external audit remits. Our internal Auditors review key systems and processes on an annual basis. We have a Business Continuity Plan which is tested periodically. Management Accounts are prepared each month, and financial returns are made to the Scottish Government on a monthly and quarterly basis. A number of staff have received accredited Project Management training and follow a structured consistent approach to project work. Our Audit Committee considers cyber resilience periodically, with a view to maximising information and system security and minimising the risk and/or impact of cyber threats. 5. Good governance means developing the capacity and capability of the governing body to be effective. Board members and staff are subject to an annual performance management appraisal. Staff developmental needs are considered on a monthly basis; and Board members review learning requirements annually. Board members and staff attend Strategic awareness raising sessions on a variety of topics, after most Board meetings. A skills audit of Board members has taken place, and is used to inform the appointment of new members. Each staff member has a Personal Learning Plan, and an annual Corporate learning plan is developed and delivered. Board members participate in Member training events, coordinated by the Delivery Bodies Group. A 'Horizon scanning' discussion takes place at the start of each Board meeting, to identify key issues affecting charities and OSCR, and consider how to respond. Our staff participate in the annual Civil Service survey, and an Improvement Plan is developed in response to the feedback/results.

5 6. Good governance means engaging stakeholders and making accountability real. We consult with stakeholders in respect of guidance and policy development, and implement external user groups as appropriate eg. targeted regulation; change of legal form guidance. We develop an annual Engagement Strategy which details how we will work with stakeholders throughout the year. We hold Meet the Regulator Events throughout Scotland and are active participants in Trustees Week. We conduct stakeholder surveys every two years, and use the results to inform our activities as reflected in our annual business and operational plans. A survey will be conducted early in Our Annual Report and Accounts is laid before the Scottish Parliament, and published on our website. We communicate with Stakeholders using social media, and have several thousand followers on Twitter. We have a whistleblowing policy for staff. We have undertaken a Digital Maturity Assessment to inform the expansion of web based, customer service delivery. As part of our consideration of service complaints, we identify whether there are procedural changes which could be introduced to improve service and prevent the issue from recurring.