Code of Fundraising Practice Effective October 2019 About the Fundraising Regulator

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We are the independent regulator of all fundraising carried out by or on behalf of charitable, philanthropic and benevolent organisations in England, Wales and Northern Ireland. We also regulate fundraising in Scotland carried out by charities registered in England, Wales and Northern Ireland. Our role includes maintaining and developing the UK-wide Code of Fundraising Practice and investigating complaints from members of the public about fundraising practice if these cannot be resolved by the charities themselves.

Effective October 2019 Contents

Introduction 7

Part 1: 10

Standards which apply to all fundraising

1. Behaviour when fundraising 11 1.1. General behaviour 11 1.2. Asking for support 11 1.3. Informing donors and treating people fairly 11

2. Responsibilities of charitable institutions and those who govern them 13 2.1. General duties 14 2.2. Risk assessment 15 2.3. Accepting, refusing and returning donations 16 2.4. Complaints and concerns about fundraising 17 2.5. Paying fundraisers 18 2.6. Solicitation statements for paid employees, officers and trustees of charitable institutions and connected companies 19 2.7. Using funds 20 2.8. Accounting and reporting 22

3. Processing personal data (information) 23 3.1. General requirements for personal data 24 3.2. Storing and maintaining personal data 25 3.3. Sharing and selling personal data 27 3.4. Case studies 28 3.5. Direct marketing 28 3.6. Requests from people to access their personal data 32 4. Processing donations 33 4.1. Cash 33 4.2. Tills 34 4.3. Floats 34 4.4. Receipts 35 4.5. Cheques 35 4.6. Charity cheques and vouchers 35 4.7. Card transactions 36 4.8. Direct debits 36 4.9. Gift Aid 37

Part 2: 38

Standards which apply to working with others

5. Volunteers 39 5.1. Standards that apply to all volunteers 39 5.2. Specific considerations when working with on-behalf-of volunteers 40 5.3. Specific considerations when working with in-aid-of volunteers 40

6. Fundraising involving children 41 6.1. Responsibilities relating to fundraising involving children 41 6.2. Children and data protection 43

7. Professional fundraisers, commercial participators and partners 44 7.1. Due diligence and conflicts of interest 44 7.2. Contracts and agreements 45 7.3. Monitoring that fundraisers are meeting the code 49 7.4. Solicitation (disclosure) statements for paid third-party fundraisers and commercial participators 52 7.5. Fees and payment 56 7.6. Confidentiality 56 7.7. Company law and tax 57 Part 3: 58

Standards which apply to specific fundraising methods

8. Collecting money or other property 59 8.1. Behaviour when collecting money or other property 59 8.2. Licences and permission 60 8.3. Exemptions 62 8.4. Further standards that apply to particular locations and activities 62 8.5. Static collections 67

9. Fundraising communications and advertisements 68 9.1. General standards 68 9.2. References in documents 70 9.3. Fundraising by mail 73 9.4. Fundraising by telephone 74

10. Digital 77 10.1. Digital media 77 10.2. Online fundraising platforms 78 10.3. Messages to mobile devices 81 10.4. Bulk email 82

11. Events 82 11.1. Venues, locations and equipment 82 11.2. Risk assessment and insurance 83 11.3. Licences and permission 83 11.4. People taking part in a fundraising event 84 11.5. Promoting an event 85 11.6. Cancelling an event and contingency plans 86 11.7. On the day 86 11.8. Financial procedures 87 11.9. After the event 87 11.10. Events organised by third parties 87 11.11. Events involving travel 88 12. Lotteries, prize competitions and free draws 89 12.1. Lotteries – general responsibilities 91 12.2. Role of the promoter 92 12.3. Considerations other than the Gambling Act 92 12.4. The draw 93 12.5. Procedure after the draw 93 12.6. Prize competitions and free draws 94

13. Grant-making bodies (including trusts and foundations) 95 13.1. Statutory funding 95 13.2. Preparation and procedures 95 13.3. After applications have been accepted or rejected 95 13.4. Reporting 96

14. Payroll giving and post-tax salary donations 96 14.1. Professional fundraisers and payroll giving 97 14.2. Pre-tax payroll giving 97 14.3. Promoting committed giving in the workplace 98

15. Legacies 98 15.1. Legacies – general responsibilities 98 15.2. Written communications asking for legacies 99 15.3. Communicating in person 99 15.4. Involvement of charitable institutions in making a will 100 15.5. Fundraisers’ relationships with potential testators 100 15.6. Paying for wills with charity funds 101 15.7. After a legacy has been made 101

Glossary 103 Introduction

Introduction The following four values support all standards in the code. The Code of Fundraising Practice (the code) sets out the responsibilities Legal: All fundraising must meet the that apply to fundraising carried out by requirements of the law. charitable institutions and third-party Open: Fundraisers must be open fundraisers in the UK. The terms ‘charitable with the public about their processes institution’ and ‘third-party fundraiser’ are and must be willing to explain (where explained below. For the purposes of the appropriate) if they are asked for code, fundraising means to ask for money more information. or other property for charitable, benevolent or philanthropic purposes, and it covers a Honest: Fundraisers must act with wide range of fundraising methods. integrity and must not mislead the public about the cause they are fundraising for The code was initially developed by or the way a donation will be used. fundraisers through the work of the Institute of Fundraising (IoF) and the Respectful: Fundraisers must Public Fundraising Association (PFRA). demonstrate respect whenever they have We have been responsible for the code contact with any member of the public. since 7 July 2016.

The code aims to: The code and the law • promote a consistent, high standard The code includes standards that of fundraising; reflect the law, but it is not designed • make sure charitable institutions, their to be a legal handbook. We have governing bodies and fundraisers know revised the code to make it as clear what is expected of them; and understandable as possible for everyone. But fundraising law is • set out the standards we use when complex and comes from many considering complaints; sources. Laws and regulations also • provide a benchmark for organisations change over time and new methods and fundraisers to assess their practices of fundraising are developed. against so they can identify necessary training and monitor and set policy You are responsible for making sure priorities for their fundraising; and that you get the advice you need to meet the requirements you have to • develop a culture of honesty, openness meet by law. If there is a difference and respect between fundraisers and between the code and the relevant the public. legislation or regulations, you must follow the law rather than the code.

Effective October 2019 Introduction

Applying the code The code also applies to other Each standard uses the term ‘you’ organisations that carry out fundraising (and ‘your’). To make it easy to use, we and online fundraising platforms. have set out who we mean by ‘you’ at You must make sure you meet the the beginning of each section, and the standards in the code and must be code includes a glossary of terms. Unless able to justify the decisions you make. we say otherwise at the beginning of You must make your staff and volunteers a section, ‘you’ (and ‘your’) means aware of the standards and adequately the following. train and monitor them if the standards • A charitable institution which are relevant to their responsibilities. asks for money or other property for charitable, benevolent or philanthropic We use ‘must’ and ‘must not’ for all purposes. ‘Charitable institution’ means of the standards in the code. charities (registered or unregistered) • Standards where must and must not and voluntary organisations established are in bold text indicate a standard for purposes which may not be strictly based on a strict legal requirement charitable, but which are benevolent (for example, a piece of law or case law). or philanthropic. This includes ‘exempt’ • Standards where must and must charities, such as charitable higher not are not in bold text, indicate education institutions. (Exempt charities a regulatory standard that is not are those which are not required to based on a strict legal requirement. be directly regulated by the Charity Commission for England and Wales All of the standards are equal, and trust because they are regulated by and confidence in fundraising could be another body or authority.) undermined if they are not met. The code • A third-party fundraiser which also highlights other industry codes of asks for money or other property for practice and standards that apply charitable, benevolent or philanthropic to fundraising. It is designed to add purposes. ‘Third-party fundraiser’ means to these rather than replace them. an organisation or person a charitable institution has authorised to ask for donations on its behalf. This may be a volunteer, professional fundraiser or commercial partner if they are fundraising.

Effective October 2019 Introduction

Commitment to the code In Scotland, complaints about By registering with us, charitable Scottish-registered charities are dealt institutions, third-party fundraisers and with by the Scottish Fundraising online fundraising platforms agree to meet Standards Panel. the code. In doing so, they support the system of voluntary regulation to make We and the Scottish Fundraising sure that all fundraising organisations Standards Panel follow a ‘lead’ regulator work in line with the code’s values. model in considering complaints. Organisations who register also commit This means that when a complaint to the Fundraising Promise. The promise is made, either we or the Scottish sets out the commitment that those who Fundraising Standards Panel will register with us make to donors and the consider it, depending on which public to meet the standards in the code. country the charity is primarily We consider complaints about meeting registered in. There is more the standards in the code. information in our Memorandum of Understanding which you can read on our website at: Investigating complaints www.fundraisingregulator.org.uk. We may investigate: • complaints from the public about fundraising, if these cannot be resolved by the charities themselves; or • fundraising that has caused or could cause significant public concern.

When considering complaints we will use the version of the code that was in effect at the time of the incident. Our complaints process provides more information about how we investigate complaints.

Effective October 2019 Part 1: Standards which apply to all fundraising

The way charitable institutions and third-party fundraisers ask for support affects people’s trust and confidence in fundraising.

This section sets out the behaviour we expect from all fundraisers. It includes treating people fairly and with respect, explaining your cause in a way which does not mislead people, and being sensitive to people who may be in vulnerable circumstances.

Effective October 2019 Part 1 – Standards which apply to all fundraising

1. Behaviour when 1.3. Informing donors and treating fundraising people fairly 1.3.1 You and the fundraising materials In this section, ‘you’ means you use must not mislead anyone, a charitable institution or or be likely to mislead anyone, either third-party fundraiser. by leaving out information or by being inaccurate or ambiguous or by exaggerating details. 1.1. General behaviour 1.1.1 Your fundraising must be 1.3.2 Before you make any direct or legal and must be open, implied claim in your fundraising honest and respectful. which is likely to be taken literally, you must make sure that there is 1.1.2 You must be polite to people evidence to prove the claim. at all times. 1.3.3 You must not take advantage of 1.1.3 You must not unfairly mistakes made by a donor. criticise or insult other people or organisations. 1.3.4 When talking about finances and financial benefits, you must tell 1.1.4 You must not encourage a donor donors that you are not in a position to cancel or change an existing to offer formal financial advice. donation in favour of a donation to another charitable institution. 1.3.5 Your fundraising must meet equality law as it applies in England, Wales, Scotland and Northern 1.2. Asking for support Ireland. You must not discriminate 1.2.1 While reasonable persuasion is against people with characteristics allowed, you must not fundraise protected under the law of these in a way which is an unreasonable countries. You can get more intrusion on a person’s privacy, information from the Equality and is unreasonably persistent or Human Rights Commission and places undue pressure on the Equality Commission for a person to donate. Northern Ireland.

1.2.2 You must not continue to ask a 1.3.6 You must take all reasonable steps person for support if that person to treat a donor fairly, so that they clearly indicates – by word or gesture can make an informed decision – that they do not want to continue about any donation. to speak to you. You must end the conversation in a polite way.

Effective October 2019 Part 1 – Standards which apply to all fundraising

1.3.7 You must take into account the • whether the person is under the needs of any possible donor who influence of alcohol or drugs; and may be in vulnerable circumstances • the person’s age. or need extra care and support to make an informed decision. 1.3.10 If a donor makes a donation while they do not have the capacity to 1.3.8 You must not exploit the trust, lack make an informed decision, you of knowledge, apparent need for must return the money to them. care and support or vulnerable circumstance of any donor 1.3.11 You must take all reasonable at any time. steps to avoid asking for regular donations (for example, by direct 1.3.9 You must not take a donation debit) from anyone aged under 18. if you know, or have good reason Young people aged between 16 to believe, that a person lacks and 18 can take part in charity capacity to make a decision lotteries, but if you receive money to donate, or is in vulnerable for a lottery from a child or young circumstances which mean person aged under 16 you must they may not be able to make return the money. For more an informed decision. Among information about the definition of other things, you should consider: a donation, please see the glossary. • any physical or mental-health condition the person may have; For more standards on fundraising • any disability the person that involves children (in particular, age may have; limits and data protection), see section • any learning difficulties the 6 Fundraising involving children. person may have; • whether the person is facing times of stress or anxiety (for Further guidance example, following the death The Institute of Fundraising: of a loved one or redundancy); Treating Donors Fairly for guidance on • whether a donation is likely people in vulnerable circumstances to affect the person’s ability to sufficiently care for themselves or leave them in financial hardship; • how well the person can communicate and understand what they are being told;

Effective October 2019 Part 1 – Standards which apply to all fundraising

2. Responsibilities of charitable institutions and Scotland those who govern them If you are a charity registered in Scotland, the Scottish Charity Charitable institutions and those who Regulator’s (OSCR’s) Fundraising govern them have a responsibility to act guidance for Charity Trustees in the best interests of their organisation. provides information on the legal They are responsible for fundraising. requirements of Scottish charity law in relation to fundraising and the This section sets out the standards duties of charity trustees. You can we expect, including those related to find more information in OSCR’s risk assessments, effective Guidance and Good Practice for complaints-handling procedures and Charity Trustees and the Scottish making sure charitable institutions use Governance Code. donations for the purposes for which they are given. Northern Ireland Charities If you are a charity registered The overriding duty of all charity in Northern Ireland, the Charity trustees is to act in the best interests Commission for Northern Ireland’s of their charity at all times. In doing (CCNI’s) guidance Fundraising for this, trustees have several basic Charities, its bitesize guidance responsibilities related to fundraising. Fundraising at a Glance – a guide for charity trustees and Fundraising at a Glance – a guide for members of England and Wales the public provide information on the legal requirements and good practice If you are a charity established in in relation to fundraising and the duties England and Wales, you can find of charity trustees. You can find more guidance in the Charity Governance information in CCNI’s Running your Code and in the Charity Commission Charity guidance which sets out the for England and Wales’s CC20 principles and main elements of guidance for trustees and essential good governance for the trustees trustee guide (CC3). of charities in Northern Ireland.

Effective October 2019 Part 1 – Standards which apply to all fundraising

Organisations established for 2.1.5 You must make sure that your philanthropic and benevolent purposes charitable institution’s assets The governing bodies of non-charitable and resources are used only for voluntary organisations will have similar the purposes for which they were duties to those set out above in relation given (which may be all or just to charities. some of the institution’s purposes). If the charitable institution is a charity, you must make sure it 2.1. General duties is run in line with its governing document, charity law and all In this section, ‘you’ means other laws and regulations the members of the governing that apply. body of a charitable institution. 2.1.6 You must act reasonably and 2.1.1 You must take overall responsibility carefully in all matters relating to for the fundraising activities of your fundraising. If you are not experts charitable institution, including if in fundraising, you must take you have delegated responsibility appropriate advice. for certain roles to another person. 2.1.7 You must make it clear to all 2.1.2 You must consider national people fundraising on your behalf guidance when overseeing that they must make sure that your the fundraising activities of your charitable institution receives all charitable institution and anyone the money they have raised. else fundraising on its behalf. 2.1.8 You must consider the effect 2.1.3 You must act in the best interests of controversial fundraising of your charitable institution. campaigns on the charitable 2.1.4 You must be aware of possible institution’s reputation. conflicts between the duties you owe to your charitable institution For more standards on accepting, and the duties or loyalties you have refusing and returning donations, to others. You must follow your see section 2.3 Accepting, refusing charitable institution’s conflicts and returning donations. procedures and disregard any other interests you have when making decisions relating to the organisation.

Effective October 2019 Part 1 – Standards which apply to all fundraising

Further considerations specifically 2.2. Risk assessment for charity trustees in Scotland In this section, ‘you’ means the 2.1.9 You must meet the Charities members of the governing body and Trustee Investment of a charitable institution. (Scotland) Act 2005 and any regulations made under it 2.2.1 You must take reasonable or which affect charities. steps to assess and manage any In particular: risks fundraising poses to your • you must follow the charity’s charitable institution’s activities, governing document and the beneficiaries, property, work charity trustee duties under and reputation. section 66 of the 2005 Act; and 2.2.2 You must meet the Proceeds • you must act in the of Crime Act 2002, which applies interests of your charity, to money or other property that make sure you act in a way has been gained through criminal which is consistent with your behaviour, even if the behaviour purposes, and act with the is legal in another country. ‘care and diligence’ that it 2.2.3 You must meet any legal is reasonable to expect of a obligations to protect the person who is managing the health and safety of employees, affairs of another person. volunteers, the public and anyone else who might reasonably be Further considerations considered to be affected by your specifically for charity trustees charitable institution’s fundraising in Northern Ireland activities. For more information, see the websites of the Health and The duties and responsibilities Safety Executive and Health and trustees have with regard to fundraising Safety Executive Northern Ireland. all fall under the general duties of charity trustees to be responsible and accountable for their charity and to act at all times in the best interests of the charity, with an overall duty to control and protect the charity, its beneficiaries, assets and reputation.

Effective October 2019 Part 1 – Standards which apply to all fundraising

2.3. Accepting, refusing and Further guidance returning donations The Institute of Fundraising: In this section, ‘you’ means the Acceptance, refusal and return: governing body of a charitable A practical guide to dealing institution. You must make those with donations fundraising on your behalf aware Charity Commission for England and that decisions relating to refusing Wales: Returning money to charities or returning a donation must be – for guidance on returning money made by you or in line with a received from a charity policy you have set.

2.3.1 You must not refuse or return donations, except in exceptional circumstances.

2.3.2 If you decide to refuse a donation, you must keep a record of your decision and the reasons for it.

2.3.3 You must carry out due diligence, appropriate for the size and nature of the donation, on both the financial and reputational dealings of possible partners before accepting their donations.

2.3.4 You must only refund donations in line with your charitable institution’s policies or in exceptional circumstances. If it is unclear whether or not you should give a refund, consider getting legal advice.

2.3.5 You must give a refund if a donor correctly exercises their right to one.

Effective October 2019 Part 1 – Standards which apply to all fundraising

2.4. Complaints and concerns 2.4.5 You must have a clear and about fundraising published procedure for members of staff and volunteers to report In this section, ‘you’ means a any concerns they have about your charitable institution and the fundraising practice. This could be members of its governing body. either a stand-alone policy or part of a wider whistleblowing policy 2.4.1 You must have a clear and publicly which is available to staff and available complaints procedure volunteers. You must make which must also apply to sure the policy includes: third-party fundraisers. • the type of issues that can 2.4.2 You must make sure fundraisers be raised and the process for can explain to members of the doing so; public how to make a complaint. • how the person raising a 2.4.3 You must make sure that: concern will be protected from victimisation and harassment; • complaints are investigated thoroughly and fairly to find out • what you will do when you the facts of the case, avoiding receive a concern; and unnecessary delay; and • how a person can report their • you respond to complaints fairly concerns to us (the Fundraising and in a way that is in proportion Regulator) or the Scottish to the complaint. Fundraising Standards Panel if it is not possible for it to be 2.4.4 You must regularly review any considered or resolved within lessons to be learnt from complaints your charitable institution. and use that learning to help you with future fundraising activity. Further guidance The Fundraising Regulator: Complaints handling guidance

Effective October 2019 Part 1 – Standards which apply to all fundraising

2.5. Paying fundraisers 2.5.4 You must not use commission payments unless: In this section, unless we say otherwise, ‘you’ means a • you have explored and charitable institution and the exhausted all other sources members of its governing body. of fundraising investment; • you (or senior executives, if you 2.5.1 You must use all funds reasonably have delegated power to them) and sensibly in the interests of approve any payments; and your charitable institution. This involves making sure that what • there are measures in place to you pay your fundraisers is make sure excessive payments proportionate to the benefit are not allowed. you reasonably expect to gain 2.5.5 You must monitor commission from their work. payments to make sure that they 2.5.2 You must not pay fundraisers continue to strike a balance between excessive amounts. Where reducing risk and encouraging appropriate, you must put a cap fundraisers effectively. on how much you pay fundraisers 2.5.6 If you directly employ people or use a reducing sliding scale to to fundraise, you must make sure avoid excessive pay. that the method of payment you 2.5.3 You must have effective systems choose meets the Employment in place for managing performance Rights Act 1996 (in Northern and recognising the effect the Ireland The Employment Rights payment method can have on the (Northern Ireland) Order 1996), fundraiser, you, the beneficiaries and you must meet the minimum and the public. wage rules set out in the National Minimum Wage Act 1998.

2.5.7 You must make sure that professional fundraisers, commercial participators and, where this applies, your own staff give solicitation statements when they ask for donations on behalf of your charitable institution.

Effective October 2019 Part 1 – Standards which apply to all fundraising

For more standards on solicitation 2.6. Solicitation statements for statements, see section 2.6 Solicitation paid employees, officers and statements for paid employees, officers trustees of charitable institutions and trustees of charitable institutions and connected companies and connected companies and section 7.4 Solicitation (disclosure) statements In this section, ‘you’ means the for paid third-party fundraisers and paid employees, officers and commercial participators. members of the governing body of a charitable institution or connected company. 2.5.8 If you are a charity trustee, you must not be paid for fundraising for your charity unless you meet specific England and Wales conditions which depend on the 2.6.1 If you are carrying out a public country you are based in. charitable collection, and are paid more than £10 per day or more than £1,000 per year to collect donations for the Further guidance benefit of one or more charitable • Charity Commission for England institutions and are not a and Wales: Payments to charity professional fundraiser, you trustees: what the rules are and must make a statement saying: section 185 of the Charities • the name of the charitable Act 2011 institution or institutions • Office of the Scottish Regulator: which will benefit and, if Guidance and good practice there is more than one, for charity trustees and section 67 the proportions in which of the Charities and Trustee they will benefit; Investment (Scotland) Act 2005 • that you are an officer, • Charity Commission for Northern employee or member Ireland: Guidance on trustee of a governing body of a expenses and payment, and section charitable institution; and 88 of the Charities • that you are receiving payment Act (Northern Ireland) 2008 as an officer, employee or member of a governing body, or for acting as a collector. You do not have to say how much you receive.

Effective October 2019 Part 1 – Standards which apply to all fundraising

2.6.2 You must make the statement 2.7. Using funds either before the donor gives any money or before you ask In this section, ‘you’ means the for any financial details relating members of the governing body to the donation (whichever of a charitable institution. is sooner). A donation must be used for the 2.6.3 If you ask for a donation for purpose for which it was given. If you general charitable, benevolent want to change that purpose you should or philanthropic purposes (not get advice from legal advisers or the for a specific named charitable relevant national statutory regulator institution), you must make a before changing the purpose, even similar statement that you if the person making the donation are being paid for those has given you permission to do this. general purposes. 2.7.1 You must use all funds raised for a particular cause for that cause. Scotland 2.7.2 You must make sure that donations For more standards on solicitation are used to support the cause in line statements in Scotland, see section 7.4 with any conditions attached to the Solicitation (disclosure) statements donation. This may be conditions for paid third-party fundraisers and the donor sets when making commercial participators. the donation or representations you make (either verbally or in fundraising materials) about Northern Ireland how the money will be used. 2.6.4 You must follow the same standards as in England 2.7.3 You must keep a record of and Wales. donations that are given for specific purposes to make sure that you keep to the conditions of the donation.

2.7.4 You must make sure that you do not suggest money is for a restricted purpose (such as buying a goat, or helping a particular child) when it may be used for a different purpose or for the general purposes of a charitable institution.

Effective October 2019 Part 1 – Standards which apply to all fundraising

2.7.5 If you are fundraising for a particular 2.7.8 You must be aware when benefits purpose, you must include a cancel out possible tax relief such statement saying what will happen as Gift Aid or top-up payments to funds you receive if the total available under the small-donation amount raised is not enough to rules. If benefits do prevent the reach (or is more than) the target. donation qualifying under Gift Aid or the Gift Aid Small Donations Scheme rules, you must not try For more standards on accepting, to reclaim tax on the donation. refusing and returning donations, see The tainted donations rules section 2.3 Accepting, refusing and may apply to some benefits. returning donations.

Further guidance 2.7.6 You must not ask for funds • HM Revenue & Customs: for a purpose that does not fit Chapter 3.18 Charities: detailed within the purposes of your guidance notes on how the tax charitable institution. system operates – for guidance on 2.7.7 If you encourage someone to the limits on benefits that can be donate by offering benefits, offered without tax consequences you must make sure: • Charity Commission for Northern • you have the power to give Ireland: Requesting a scheme – for the benefits; guidance on changing the purpose of a donation • the benefits are appropriate in the circumstances; and • Office of Scottish Charity Regulator: Restricted funds organsiation – for • the benefits are proportionate guidance on changing the purpose to the size and frequency of of a donation the donation. • Charity Commission for England and Wales: Charities: due diligence, monitoring and verifying the end use of charitable funds

Effective October 2019 Part 1 – Standards which apply to all fundraising

2.8. Accounting and reporting • details of any circumstances where you have failed to keep to a scheme In this section, ‘you’ means or standard; a charitable institution and its governing body. • whether, and if so how, you monitored fundraising activities 2.8.1 You must follow all legal carried out on your behalf; accounting requirements. • how many complaints you or anyone acting on your behalf 2.8.2 If you are a charity that the Charity has received about fundraising Statement of Recommended for your charity; and Practice (SORP) applies to, you must follow it in your accounting • what you have done to protect and reporting. vulnerable people and others from unreasonable intrusion on their 2.8.3 You must meet any specified privacy, unreasonably persistent reporting requirements if they approaches or undue pressure to apply to a donation. give, in the course of or in connection with fundraising for your charity.

Further considerations England and Wales Further guidance 2.8.4 If you are a charity and you have • Charity Commission for England to have your accounts audited and Wales: Charity reporting and under section 162A of the accounting: the essentials Charities Act 2011, under section • Office of Scottish Charity Regulator: 13 of the Charities (Protection Charity accounting and Social Investment) Act 2016 you must state in your trustee • Charity Commission for Northern annual report: Ireland: Charity reporting and accounting: the essentials • your approach to fundraising, and whether you used a • Charity Commission for England professional fundraiser or and Wales: Charity reporting and commercial participator; accounting: the essentials November 2016 (CC15d) • details of any voluntary regulatory fundraising • The Fundraising Regulator: schemes or standards which Guidance on the Charities Act 2016 you or anyone fundraising on your behalf has agreed to;

Effective October 2019 Part 1 – Standards which apply to all fundraising

3. Processing personal Special category data data (information) Certain types of data need stronger protection. This includes, for example, Protecting personal data makes sure information relating to their: people can trust you to use their data • race; legally, fairly and responsibly. This section sets out the standards we expect when • ethnic background; processing personal data, including • political opinions; standards related to direct marketing. • religion; • trade-union membership; The rights people have over their data • genetics; The General Data Protection Regulation (GDPR) gives people the following rights • biometrics (computerised details in law regarding their personal data. used to identify a person through their unique characteristics, for • The right to be informed example through fingerprint • The right of access scanning and facial recognition); • The right to rectification • health; • The right to erasure • sex life; or • The right to restrict processing • sexual orientation (sexuality). • The right to data portability Guidance on conditions for processing special category information is available • The right to object from the ICO. • Rights in relation to automated decision making and profiling The Information Commissioner’s Office (ICO) has providedguidance on these rights.

Effective October 2019 Part 1 – Standards which apply to all fundraising

3.1. General requirements for 3.1.4 When processing personal data personal data (including information that is available to the public) for any In this section, ‘you’ means purpose, you must: a charitable institution or third-party fundraiser who • have a lawful basis (a valid processes personal data. legal reason) for collecting, using and keeping the personal data 3.1.1 You must meet all legal (for more information on the requirements relating to data grounds (or ‘conditions’) for protection, including: processing personal data, see articles 6 and 9 of the GDPR); • the Data Protection Act 2018; • give people concise, open, • the General Data Protection understandable and easily Regulation (GDPR); and accessible information about • the Privacy and Electronic how you will process their Communications (EC Directive) personal data, including Regulations (PECR) 2003, who your organisation is, including the requirements what you are going to do of the Telephone Preference with their personal data and Service (TPS), and any revisions who (if anyone) you will share to e-privacy legislation that result it with; from the European Commission’s • only process personal data in review of PECR that began in 2017. ways that the person whose data it 3.1.2 You must keep up to date is would reasonably expect; and with guidance from the ICO. • not do anything unlawful with This includes the ICO’s direct personal data. marketing guidance, its GDPR consent guidance and legitimate interests guidance.

3.1.3 If you process personal data, you must pay the data protection fee to the ICO, unless you are exempt.

Effective October 2019 Part 1 – Standards which apply to all fundraising

3.1.5 You must meet any duties you 3.2. Storing and maintaining have to keep data confidential. personal data You must not share data if you have a legal duty to keep the data In this section, ‘you’ means confidential, unless there is an a charitable institution or overriding legal reason to do so. third-party fundraiser. For example, if a court ordered 3.2.1 You must make sure that all you to release the data. materials, in particular filled-in donor forms, are stored securely Further guidance and in line with your obligations under data protection law. • Information Commissioner’s Office: Guide to Privacy and Electronic 3.2.2 You must make sure that data Communications Regulations you keep about donors is accurate • Information Commissioner’s Office: and reflects their communication Right to be informed – for guidance preferences, and only keep it for on privacy information and notices as long as is necessary for: • Information Commissioner’s Office: • the purpose or purposes you are Data Protection fee – for information processing it for; on how to register with the ICO • purposes compatible with these stated processing purposes; or • a purpose that is allowed by law and is in the public interest.

Effective October 2019 Part 1 – Standards which apply to all fundraising

3.2.3 You must be able to show that you 3.2.5 You must either stop sending have taken all reasonable steps to direct marketing to a person make sure that: within a reasonable period (as soon as possible, but in any case • databases are accurate and, within 28 days) or not begin to where necessary, up to date; process a person’s personal data • you don’t send direct marketing for the purpose of sending them to people who have told you they direct marketing if you receive don’t want to receive it; and notice from, or on behalf of, that • you stop sending person telling you that they don’t communications addressed want to receive direct marketing. to people you know have died. For example: • a notice from (or sent on 3.2.4 You must have appropriate behalf of) a person through the systems or procedures in place Fundraising Preference Service (such as a list of people not to telling you that a request to stop contact) to make sure that you contact has been made; or do not send direct marketing to people who have asked not • any other clear indication to receive it. from a person (or made on their behalf) that they do not want you to contact them for direct marketing purposes. This indication may include giving you their contact preferences or unsubscribing from mailing lists.

Further guidance • Information Commissioner’s Office: Right to object – for guidance on people’s right to object to you processing their personal data • Information Commissioner’s Office: Principle (b): Purpose limitation – for guidance on keeping to the limits on the purposes you are allowed to process personal data for

Effective October 2019 Part 1 – Standards which apply to all fundraising

3.3. Sharing and selling personal data category of organisation receiving the information must be named In this section, ‘you’ means in the request for consent, and a charitable institution or the organisation sending the third-party fundraiser. request for consent must receive the person’s specific consent for 3.3.1 You must not share personal their data to be shared. data with any other organisation unless you have a lawful basis to 3.3.3 You must not share a person’s share it and can prove that you personal data with any other meet the processing requirements organisation for that organisation’s in section 3.1 above. marketing purposes unless you are allowed to do so by law, either 3.3.2 If personal data is shared between because you have the person’s organisations: consent to do so or through • within a federated structure the exceptions in 3.3.2. (in other words, where one organisation controls the other 3.3.4 You must not sell a person’s or where both are controlled by personal data to any other the same parent organisation); or organisation, unless you can show that you have that person’s • under a data-processing freely given, specific, informed arrangement (where one and unambiguous consent to organisation acts on behalf sell their data. of another organisation under a written contract, such as professional fundraisers, data management companies or printing houses); the organisational structure or arrangement and the reason for processing the data must be clear in the privacy information you give to the person in order to meet their right to be informed. Or, if the organisation receiving the data needs the person’s consent (permission) to hold and use their data, the organisation or

Effective October 2019 Part 1 – Standards which apply to all fundraising

3.4. Case studies 3.5. Direct marketing

In this section, ‘you’ means In this section, ‘you’ means a charitable institution or a charitable institution or third-party fundraiser. third-party fundraiser.

3.4.1 If you plan to use a real-life Direct marketing is defined in law example of a person in a case as ‘The communication (by whatever study, you must only process that means)... of any advertising or marketing person’s personal data in line with material… which is directed to particular the law. individuals…’ .

The ICO states that fundraising activity, For more standards on processing as well as charities’ promotional and data in line with the law, see section 3 campaigning work, is covered by the Processing personal data (information). definition of direct marketing.

In practice, fundraising messages 3.4.2 If you want to use a case study which are sent electronically (for example, which identifies a person who has phone calls, faxes, texts and emails) or by died, you must make all reasonable addressed mail are likely to be directed efforts to get permission from that to a specific person, and so are covered person’s estate. by this definition.

The marketing must be directed to particular people. Some marketing is not directed to specific people (for example, unaddressed mail) and so is not covered by this definition.

Effective October 2019 Part 1 – Standards which apply to all fundraising

Alongside data protection legislation Further guidance that applies when processing personal • Information Commissioner’s Office: data for direct marketing purposes, the Direct Marketing Guidance Privacy and Electronic Communications Regulations (PECR) will apply when • Information Commissioner’s Office: sending marketing electronically, such as Electronic mail marketing – for by email or text message and in recorded guidance when the PECR do phone calls. In these cases, you will always not apply need the person’s consent to send them • Information Commissioner’s Office: direct marketing, unless: Lawfulness for processing – for • you meet the ‘soft opt-in’ condition guidance on processing personal which allows businesses who have data in line with the law received a person’s contact details when selling a product or service to them (or during negotiations relating to a possible sale) to market similar products and services to that person; or • you are marketing to businesses or organisations (including where you contact an individual using a corporate email address such as ‘firstname. [email protected]’).

3.5.1 You must have a lawful basis for processing personal data in order to send direct marketing communications to people. The standards on ‘consent’ and ‘legitimate interest’, the two most common lawful bases for processing personal data in order to send direct marketing communications, are set out below.

Effective October 2019 Part 1 – Standards which apply to all fundraising

Consent for direct marketing • be recorded in a way that allows communications your organisation to show who 3.5.2 If you use, or plan to use, consent gave consent, when they gave as a lawful basis for processing consent, how they gave consent, personal data in order to send and what they were told in direct marketing communications, connection with giving consent. the consent must: 3.5.3 Electronic requests for consent • be a freely given, specific, must be clear and concise and informed and unambiguous must not unnecessarily disrupt indication of the person’s wishes; the use of the service the consent • be given through a clear is for. For example, you can achieve positive action from the person this by breaking a longer privacy concerned to show they have notice into shorter pieces of given consent (for example, privacy information which pop using active methods, such as up only at the point where a person ticking an unticked opt-in box is asked for their personal data. or answering ‘yes’ to a question); 3.5.4 If you have a person’s consent • give options for different levels to send them direct marketing of consent for different types of communications, you: processing if you plan to process • must offer them an easy way to the person’s data for more than withdraw their consent (such as one purpose; an ‘unsubscribe’ button in any • be separate from your other communications you send); terms and conditions and not • must, as often as your organisation be something the person has to reasonably decides, remind the give when signing up to a service person of their contact preferences (unless you need the consent to and offer them an easy way to be able to provide that service); change these if they want to (such • name your organisation and as an ‘update your communication any others who will be relying preferences’ button); and on the consent; • must update the person’s record • tell people about their right as necessary to reflect changes to withdraw their consent and to their consent or contact make it as easy for them to preferences. withdraw consent as it is to give it; and

Effective October 2019 Part 1 – Standards which apply to all fundraising

3.5.5 You must make sure that all consent • need to process the data statements (wording to gain consent to achieve that interest (under for marketing purposes) displayed ICO guidance, if the same result in your fundraising materials are can reasonably be achieved in at least the same font size as: another, less intrusive way, legitimate interests will not • any text which asks for personal apply); and data; or • have balanced your interest in • any text which states the processing the personal data donation amount; against the interests, rights and whichever is bigger. freedoms of the person to make sure that your interests are not 3.5.6 If there is no text asking for overridden by theirs (under ICO personal details or stating the guidance, if the person would donation amount, your consent not reasonably expect you to statements must be in a font size process their data or it would of at least 10. cause them unjustified harm, their interests are likely to Legitimate interest as a basis for override yours). direct marketing communications 3.5.8 If you are relying on the legitimate 3.5.7 If you are using legitimate interest interest condition as the lawful as the basis for processing data for basis to process data, you must have the purpose of direct marketing a record of your decision-making by live phone call or by post, you to help show that you meet the must be able to show that you: conditions set out above. • have identified a legitimate interest (under ICO guidance, this may be your organisation’s own interest or the interest of third parties and may include commercial interests, individual interests and broader benefits to society);

Effective October 2019 Part 1 – Standards which apply to all fundraising

3.5.9 If you are relying on the legitimate 3.6. Requests from people to access interest condition as the lawful their personal data basis to process data for the purpose of direct marketing by In this section, ‘you’ means phone or post, your privacy notice: a charitable institution or third-party fundraiser. • must explain what you will use the personal data for; 3.6.1 If you process a person’s personal • must explain your legitimate data, you must, if that person asks interests; and you to, give them a copy of the personal data you hold about them • must offer, in the privacy and details of how you use it in line notice and in any other direct with the person’s right of access marketing communication you (exemptions may apply to this). send, a clear and simple way for the person to tell you that they 3.6.2 If you hold or use a person’s personal do not want to receive direct data to fulfil a contract or because marketing in future. you have their consent to process it, you must make sure that the personal data can be easily moved, Further guidance copied or transmitted from one • Information Commissioner’s Office: computer system to another if the Right to be informed – for guidance person asks you to do this (whether on privacy notices this is to their own systems, or to the systems of another organisation • Information Commissioner’s Office: or new data controllers). Legitimate interests – for guidance on using this as a lawful basis to process data Further guidance • Information Commissioner’s Office: • Information Commissioner’s Office: Consent – for guidance on using Right to data portability – for guidance this as a lawful basis to process data on a person’s right to transfer data for their own purposes • Information Commissioner’s Office: Right of access – for guidance on a person’s right to access their personal data held by an organisation

Effective October 2019 Part 1 – Standards which apply to all fundraising

4. Processing donations 4.1.5 You must make sure the promoter of the collection (for example, a Clear policies and processes for charity’s fundraising manager) and dealing with donations and Gift Aid one other responsible person or an reduce risk and make sure that charities official of a bank are present when get all of the money they are entitled to. you examine and open collecting This section includes standards about boxes for licensed collections in a handling different forms of payment public place. If the licensing authority to make sure donations are secure is following the model regulations (this includes one-off payments and in England and Wales for street ongoing donation commitments). collections, you must do this. It also includes rules on Gift Aid. 4.1.6 For collections on private land, if it is not practical for you to open 4.1. Cash and count collecting boxes, you In this section, ‘you’ means must have effective procedures a charitable institution or and instructions for the person third-party fundraiser, unless who owns or manages the site we tell you otherwise. to count, record and bank or deliver the money in the boxes. 4.1.1 You must not leave unsecured cash unattended. 4.1.7 If you do not bank cash immediately, you must put it in 4.1.2 You must count cash in a a safe or other secure place. secure place. 4.1.8 You must bank cash as soon 4.1.3 You must make sure that all cash as possible. To help with this, you have collected is counted and you must have a procedure for recorded by two unrelated people, banking donations, including wherever possible. who does it and when.

4.1.4 You must make sure that 4.1.9 You must check that the cash cash donations are placed in a you have banked matches your sealed container or collecting box. income summaries, as soon as If you are collecting in Scotland or possible. If possible, someone Northern Ireland, or in a licensing who is not involved in counting authority which follows the model or cashing up the money must regulations in England and Wales do this. for street collections, you must do this.

Effective October 2019 Part 1 – Standards which apply to all fundraising

4.1.10 You must send the charitable 4.1.14 If you receive cash in collection institution (or institutions) the full envelopes or collecting boxes amount taken from all collecting as part of a public charitable boxes without taking any expenses collection, you must count or fees, unless these have been and bank it in line with the agreed beforehand. Public Charitable Collections (Scotland) Regulations 1984, 4.1.11 If you are a professional fundraiser as amended. or commercial participator, you (and people fundraising for you) must not take any money from cash you (or they) receive. 4.2. Tills

4.1.12 You must meet any extra rules In this section, ‘you’ means local authorities set about making a charitable institution or deductions from collections. third-party fundraiser.

4.2.1 You must make sure that all money Further standards for cash is put into the till immediately. collections in Scotland 4.2.2 You must only give change from the 4.1.13 In Scotland, for collections till, never from your personal money. licensed by the local council which will be carried out using 4.3. Floats a collecting box, you must only accept donations by allowing In this section, ‘you’ means the donor to put them in the a charitable institution or collecting box. Or, if the collection third-party fundraiser. can be carried out by sealed envelopes, the collector must 4.3.1 A person you have nominated only accept donations in sealed must sign for your floats. envelopes using the numbered 4.3.2 You must keep floats and any envelopes you have issued to money made from sales separate them. As a result, it is not usually from the cash handler’s personal possible to give receipts money. for donations. 4.3.3 If you use money from a float for petty-cash spending, you must record this separately and keep any receipts.

Effective October 2019 Part 1 – Standards which apply to all fundraising

4.4. Receipts 4.5.4 You must not issue a refund for a cheque donation until In this section, ‘you’ means the cheque has cleared and a charitable institution or the money has appeared in third-party fundraiser. your organisation’s account.

4.4.1 If you do not use a sealed collecting box, the collector 4.6. Charity cheques and vouchers must issue and sign a receipt for the donated amount. In this section, ‘you’ means a charitable institution or 4.4.2 If you are collecting on a private third-party fundraiser. site, you must give the person who owns or manages the site a receipt Charity cheque and voucher accounts if they ask for one. The receipt allow donors to make donations as a should include the address of the lump sum or regular amounts into an site, the box number, the date and account which can then be used for the amount collected. making donations to registered charities (but not other charitable institutions). The agency managing the account will 4.5. Cheques claim and add Gift Aid to the donation. The donor is given a book of vouchers or In this section, ‘you’ means a ‘chequebook’ to donate this money to a charitable institution or their preferred charities. On receiving the third-party fundraiser. voucher or cheque, the charity receiving 4.5.1 You must either bank cheques the donation contacts the agency and or send them to your fulfilment arranges for the donation to be transferred. house (if you use one) as soon 4.6.1 You must not reclaim tax as possible. on the donation (the amount 4.5.2 If you are sending cheques to of the charity cheque or voucher) a fulfilment house or external if you are the charity receiving organisation for processing, you the donation, as the Gift Aid was must make sure the method of added before you received it. sending the cheque is appropriate 4.6.2 You must bank or cash in vouchers to the value of the cheque. as soon as possible, ideally the next 4.5.3 You must not give change in working day, unless the agency return for cheques. issuing the vouchers asks you to do otherwise.

Effective October 2019 Part 1 – Standards which apply to all fundraising

4.7. Card transactions 4.8. Direct debits

In this section, ‘you’ means In this section, ‘you’ means a charitable institution or a charitable institution or third-party fundraiser. third-party fundraiser.

This section applies to transactions both The procedures and rules to do where the donor is present and when with direct debits will vary depending they are not. The steps you need to take on the bank you use. The Direct Debit to make sure payments are secure will Guarantee Scheme provides consistent vary depending on the number of standards and protection to customers. transactions that are made. 4.8.1 If you have signed up to the Direct 4.7.1 You must meet the Payment Card Debit Guarantee Scheme, you Industry Data Security Standards must meet its standards. (PCI-DSS).

For more standards on processing data, see section 3 Processing personal data (information).

4.7.2 You must use extra security measures such as Verified by Visa and 3D Securecode for online transactions if you have the resources for this.

4.7.3 If you are charged for transferring payments, you must record the total donation amount as income, and record the charges in your accounts as ‘expenditure’.

Effective October 2019 Part 1 – Standards which apply to all fundraising

4.9. Gift Aid

In this section, ‘you’ means a charitable institution or third-party fundraiser.

Gift Aid allows registered charities to reclaim tax on donations made by UK taxpayers. This effectively increases the amount of the donation.

4.9.1 You must only claim Gift Aid for a donation if all of the Gift Aid conditions are met. One of these is that a donor’s Gift Aid declaration must meet HMRC’s guidance on Gift Aid.

4.9.2 If you want to make a tax relief claim under the Gift Aid Small Donations Scheme, you must only do so if all of the scheme’s conditions are met.

Further guidance • HM Revenue & Customs: Charities: detailed guidance notes on how the tax system operates – Chapter 3: Gift Aid • HM Revenue & Customs: Charities: detailed guidance notes on how the tax system operates – Chapter 8: The Gift Aid Small Donations Scheme

Effective October 2019 Part 2: Standards which apply to working with others

The standards in this section will be relevant where an organisation works with others to carry out fundraising. This includes relationships between charitable institutions and: • volunteers; • professional fundraisers; or • commercial participators and other commercial partners.

This section also contains specific standards that apply when working with children. Please see the glossary for definitions of the terms used.

Effective October 2019 Part 2: Standards which apply to working with others

5. Volunteers 5.1. Standards that apply to all volunteers Volunteers play an important part in fundraising and supporting charitable In this section, ‘you’ means a giving. This section contains standards charitable institution. on working with volunteer fundraisers, 5.1.1 You must make sure that where their activity is known to your any guidance, information and organisation. support you give to volunteers is The Charities Act 1992 and Charities and adequate and relevant to the type Trustee Investment (Scotland) Act 2005 of relationship (‘on behalf of’ or give charitable institutions the right to ‘in aid of’) that the volunteer apply for a court order to prevent has with you. unauthorised fundraising if: 5.1.2 If your charitable institution knows • any person is using fundraising about a volunteer’s fundraising, methods that the charitable institution you must make sure that there are objects to; proper arrangements in place for money to be transferred to you • the charitable institution believes quickly and efficiently. that a person is not a fit and proper person to raise funds on their 5.1.3 You must not make any payments behalf; or to volunteers, but you can refund • the charitable institution does their expenses. not want to be associated with 5.1.4 You must take all reasonable steps a particular promotion. to make sure that volunteers keep Some in-aid-of volunteers may to standards on handling donations. be fundraising to raise their profile For more standards on this, see or to attract customers by associating section 4 Processing donations. themselves or their brand with your charity. If the in-aid-of volunteer arrangement falls within the definition of a commercial participator relationship, there are legal obligations which you must meet (see sections 7.2 to 7.4).

Effective October 2019 Part 2: Standards which apply to working with others

5.2. Specific considerations For more standards on processing when working with on-behalf-of data, see section 3 Processing volunteers personal data (information).

In this section, ‘you’ means a charitable institution. 5.2.3 You must give any training and support that volunteers may need 5.2.1 Where appropriate, you must so they can carry out their role in check that on-behalf-of volunteer a way that is legal, open, honest fundraisers are suitable to act as and respectful. responsible people on your behalf. You must: 5.3. Specific considerations • meet your legal duties on when working with using the Disclosure and Barring in-aid-of volunteers Service, Disclosure Scotland or Access NI checks; and In this section, ‘you’ means • carry out due diligence to a charitable institution. check if each volunteer is a 5.3.1 If you are aware of their activity ‘fit and proper person’ to carry beforehand, you must tell in-aid-of out house-to-house collections. volunteers that: There is no legal definition of ‘fit and • they must use the expression proper person’. However, Cabinet Office ‘in aid of’ your charitable institution guidance on national exemption orders when fundraising, to distinguish for house-to-house collections highlights their fundraising from yours; and the need to consider ‘past convictions or • they are responsible for current investigations’ concerning the organising all aspects of their volunteer as an example of how to check fundraising and that you will not whether they are fit and proper. accept any liability relating to 5.2.2 You must store volunteers’ their fundraising. contact information and other personal data in a way that meets the General Data Protection Regulation (GDPR) and the Data Protection Act 2018.

Effective October 2019 Part 2: Standards which apply to working with others

6. Fundraising involving 6.1.3 You must give the children children or young people taking part, and their parents or guardians, It is important to take particular care when guidance on how to carry out involving children in fundraising, whether fundraising safely and legally. as fundraisers or as donors. This section 6.1.4 You must not give children includes standards on minimum age under 16 overall responsibility for restrictions that apply when fundraising, handling money or responsibility and standards to protect children and for counting collected money. their data. 6.1.5 You must use the Disclosure 6.1. Responsibilities relating to and Barring Service (in England fundraising involving children and Wales), Disclosure Scotland (in Scotland) and Access NI In this section, ‘you’ means (in Northern Ireland) to carry out a charitable institution or checks on any adults working with third-party fundraiser. children, if the law says you must do this. There are some activities which children and young people cannot carry out. 6.1.6 You must only contact children The age restriction depends on the on school premises if you have activity and where it is carried out. the approval of the head teacher These activities include: or a member of the school’s staff • street and house-to-house collections; chosen by the head teacher, and you must follow any procedures • lotteries or raffles; and you have agreed with them. • events involving alcohol. 6.1.7 You must get permission before 6.1.1 You must keep to any relevant age taking or publishing photographs of limits set by law when organising children. If the child is over 13 years fundraising activities. old they can give this permission themselves. If they are under 13, 6.1.2 You must make sure that your staff you must get permission from understand their responsibilities their parent or guardian. and what they must do in relation to activity organisers, the children taking part, and the parents or guardians of those children.

Effective October 2019 Part 2: Standards which apply to working with others

Further requirements for England Further requirements for and Wales Northern Ireland 6.1.8 You must not allow anyone 6.1.10 You must not allow anyone under under the age of 16 to carry out the age of 16 to carry out street house-to-house collections, collections or house-to-house unless the collection is taking collections. The exception to this place in the City of London, in is if a house-to-house collection which case, you must not allow is taking place across Northern anyone under the age of 18 to Ireland and you are a youth take part. You must not allow organisation which the anyone under 16 to carry out Department for Communities street collections, except in has approved for carrying out the London where, if you have collection under an exemption special permission, you can use order, in which case you can street collectors aged 14 or over. have collectors aged 12 and over.

Further requirements for Scotland For more standards on processing 6.1.9 If a street collection qualifies as data, see section 3 Processing a public charitable collection, you personal data (information). must not allow children under 14 to take part, and must not allow children under 16 to carry out house-to-house collections.

Effective October 2019 Part 2: Standards which apply to working with others

6.2. Children and data protection

In this section, ‘you’ means a charitable institution or third-party fundraiser.

The law does not set a minimum age for when a child can give an organisation consent to process their data. However, as a guide for developing your policies on consent, you should consider that Article 8 of the GDPR says that a child must be at least 13 years old to give consent for an organisation to process their personal data in order to provide ‘information society services’ (in other words, a service a person asks an organisation to provide electronically, at a distance, in exchange for a fee).

For more standards on processing data, see section 3 Processing personal data (information).

6.2.1 If you rely on consent as the lawful basis for processing a child’s data, you must get their parent’s or guardian’s consent for this until the child is able to give informed consent themselves.

6.2.2 You must not share any data you collect from anyone aged under 14 without consent from their parent or guardian, unless you have to do so by law (for example, during a police investigation).

Effective October 2019 Part 2: Standards which apply to working with others

7. Professional fundraisers, 7.1. Due diligence and conflicts commercial participators of interest and partners In this section, ‘you’ means a charitable institution, unless When charitable institutions work we tell you otherwise. with external organisations to fundraise, it is important that there is a common 7.1.1 Before entering into an agreement understanding of what this arrangement with a professional fundraiser or means in practice. This section includes a commercial partner you must what needs to be set out as part of carry out appropriate checks on fundraising agreements to make sure them (including on their financial expectations are clear and what paid standing and reputation) to make third-party fundraisers must say to sure you can be confident that donors when fundraising on behalf they are able to do what you of a charitable institution. expect them to do and that your relationship with them will not damage your reputation. This Please note: In Northern Ireland there is especially important when is no legislation relating to professional working with organisations fundraisers or commercial that are not based in the UK. participators. (However, charitable institutions fundraising in Northern 7.1.2 You and the third-party fundraisers Ireland may decide to follow the legal and commercial partners must requirements of England and Wales give each other full details of and Scotland as good practice.) any possible, perceived or actual conflicts of interest that you and they are aware of or become aware of, either: • at the due diligence stage; or • while you are working together.

Effective October 2019 Part 2: Standards which apply to working with others

7.1.3 If your third-party fundraiser has or 7.2. Contracts and agreements may have a conflict of interest, you must not enter an agreement with In this section, ‘you’ means a them without the permission of charitable institution, unless the person or organisation whose we tell you otherwise. interests conflict with theirs. If there 7.2.1 You must have a written agreement is a significant conflict of interests, in place with any paid third-party both parties must consider whether fundraiser or commercial partner you it is appropriate for the relationship work with to fundraise. In England, to continue. Wales and Scotland, you must do 7.1.4 Third-party fundraisers must only this if the paid third-party fundraiser claim that they have experience, or commercial partner you work qualifications and achievements with falls within the legal definition if they have proof to back this up. of a ‘professional fundraiser’ or ‘commercial participator’. 7.1.5 If you are placing fundraising content on the website of a Please see below for more details third-party fundraiser or about what ‘professional fundraiser’ or commercial partner, you must ‘commercial participator’ agreements apply the same care as you would and contracts must contain. when placing it on your own 7.2.2 Regulations on contracts can differ website. between England and Wales, For more standards on digital Scotland, and Northern Ireland. platforms, see section 10 Digital. You must meet the relevant regulations in each area.

7.2.3 You must make sure that any third party you work with keeps to the requirements of data protection law and the Privacy and Electronic Communications (EC Directive) Regulations 2003, as set out in the code, including the requirements of the Telephone Preference Service, no matter where the third party is based or operating.

Effective October 2019 Part 2: Standards which apply to working with others

7.2.4 You must have review procedures 7.2.6 Any change to the contract terms in the agreement. You must must be in line with the term in consider the third-party fundraiser’s the agreement which says how performance at these reviews and any change should take effect. decide whether further action is appropriate (such as reviewing Agreements with professional the agreement or activating any fundraisers penalty clauses that may be part of the agreement). In England and Wales, you must meet this standard. Please note: In Northern Ireland there is no legislation relating to professional fundraisers. (However, charitable For more standards on reasonable institutions fundraising in Northern monitoring arrangements as part of Ireland may decide to follow the legal a contract or agreement, see section requirements of England and Wales 7.3 Monitoring that fundraisers are and Scotland as good practice.) meeting the code.

7.2.7 Before asking for money or other 7.2.5 If the third-party fundraiser will property, a professional fundraiser be selling goods or services, there must have a written agreement in must be a written agreement place with you. The agreement must governing the relationship between be signed by or on behalf of both the charitable institution and the you and the professional fundraiser. third-party fundraiser (even if this is not strictly needed under the relevant acts). • Before the agreement begins, it must be considered, negotiated and agreed by authorised representatives of both the charitable institution and the third-party fundraiser. • The charitable institution and the third-party fundraiser must approve and understand the agreement.

Effective October 2019 Part 2: Standards which apply to working with others

7.2.8 The agreement must give: • details of how the commercial organisation will protect the • the names and addresses of public from unreasonable all the people and organisations intrusion on the agreement is between (the a person’s privacy, parties to the agreement); unreasonably persistent • the date on which each party approaches or undue signed the agreement and the pressure to donate; and length of the agreement; • details of how the charitable • any terms which relate to ending institution will monitor the the agreement early or making professional fundraiser to make changes to it; sure it is keeping to the • a statement of the main aims agreement, as set out in of the agreement and how the section 59 of the Charities Act parties will achieve those aims; 1992 as amended. • terms for paying fees and This may include the monitoring expenses to the professional measures set out in 7.3 Monitoring fundraiser; and that fundraisers are meeting the code. The terms of the agreement • if more than one charity is involved, should allow you to read and, where details of how the funds raised necessary, review any relevant policies will be shared between them. and procedures that the professional fundraiser has in place which are relevant to protecting the public. England and Wales This may include policies on people 7.2.9 Fundraising agreements in vulnerable circumstances, handling between charitable institutions complaints and whistleblowing, established in England and training materials, and the staff Wales and professional code of conduct. fundraisers must also include: • details of any voluntary regulatory fundraising scheme or standard that the professional fundraiser has agreed to keep to;

Effective October 2019 Part 2: Standards which apply to working with others

Agreements with commercial 7.2.10 If a third-party fundraiser participators falls within the definition of ‘professional fundraiser’, the agreement must include details Please note: In Northern Ireland there of the solicitation statement they is no legislation relating to commercial need to give and the fees and participators. (However, charitable expenses which the professional institutions fundraising in Northern fundraiser will be paid. Ireland may decide to follow the legal requirements of England and Wales 7.2.11 Agreements with third-party and Scotland as good practice.) fundraisers must include clear and realistic expectations of the activities to be carried out, the budget, resources, timings and 7.2.15 If an arrangement with a commercial the possible outcomes. partner falls within the definition of a ‘commercial participator’, the 7.2.12 You must agree all procedures with commercial participator must have professional fundraisers before the a written agreement in place with fundraising takes place, including the charitable institution it proposes procedures for processing donors’ to raise funds for, and certain details and producing and using information must be included fundraising materials. in this.

7.2.13 You must make sure it is clear who 7.2.16 It is against the law for a owns the copyright of all materials commercial participator to claim, as and databases connected with the part of a promotional venture, that fundraising activity, before carrying they will give money to a charitable out the activity. institution, unless this claim is in line with a written agreement they 7.2.14 You must give professional have in place with the charitable fundraisers the information institution they are raising funds for. they need about your charitable The agreement must be in writing institution’s aims, and clear and signed by or on behalf of both guidelines about their the commercial participator and behaviour and the different the charitable institution they are tax reliefs that apply. raising funds for.

Effective October 2019 Part 2: Standards which apply to working with others

7.2.17 The agreement must give: Further guidance • the names and addresses of all • Cabinet Office:Guidance on Part 2 the parties to the agreement; of the Charities Act 1992 – for guidance on legal requirements • the date on which each party for professional fundraisers and signed the agreement and the commercial participators length of the agreement; • The Fundraising Regulator: • any terms which relate to ending The Charities (Protection and Social the agreement early or making Investment) Act 2016 – for guidance changes to it; on section 13 of the act • a statement of the main aims of the agreement and how the parties will achieve those aims; 7.3. Monitoring that fundraisers are • if more than one charitable meeting the code institution is involved, details of how the funds raised will In this section, ‘you’ means a be shared between them; charitable institution, unless • details of what proportion of the we tell you otherwise. price of the goods or services will be 7.3.1 You must make sure that any given to you or how much money paid third-party fundraisers or the commercial participator will commercial partners you work donate in connection with selling with to fundraise keep to the code. or supplying the goods or services; and 7.3.2 You must make all reasonable • how much the commercial efforts to monitor whether the participator will receive as paid third-party fundraisers or payment or for expenses. commercial partners are keeping to the agreement you have with them (including the conditions of the contract which relate to keeping to the code).

Effective October 2019 Part 2: Standards which apply to working with others

For the purpose of this code, making • regularly carrying out (and recording all reasonable efforts means that the results of) call monitoring, mystery you must carry out effective and shopping, site visits or shadowing with proportionate monitoring. This the other organisation’s fundraisers; may include: • setting out a clear policy for • making sure your values are handling complaints and feedback, reflected in: including the time frames, the procedure for making a complaint • the policies, performance internally and taking a complaint objectives and indicators of the further, and the procedure for paid third-party fundraiser or transferring information between commercial partner; and your charitable institution and the • the incentives of the paid other organisation; third-party fundraiser or commercial • setting out a clear internal partner, where these apply; procedure for members of staff and • choosing a named person with volunteers to report any concerns lead responsibility for monitoring they have about their organisation’s that the requirements of the law fundraising practice; and and code are being met; • agreeing an action plan with • developing clear reporting the other organisation to deal with requirements with the other any concerns that are identified. organisation and regularly reviewing their progress against agreed targets relating to performance, quality Further guidance assurance and their responsibilities • Charity Commission for England under the law and the code; and Wales: CC26 guidance on • defining how monitoring will be charities and managing risk carried out, including how often, • Institute of Fundraising: Successful based on an assessment of the risk Partnerships for sustainable posed by the fundraising activity; fundraising – for guidance on • approving and regularly reviewing monitoring arrangements training on keeping to the code, including frequently watching this training being delivered; • authorising content and materials for training;

Effective October 2019 Part 2: Standards which apply to working with others

Further requirements for England 7.3.6 In Scotland, if the contract is and Wales with a professional fundraiser or commercial participator, it 7.3.3 A professional fundraiser or must explain how the contract commercial participator who can be changed. It must include has an agreement with you conditions saying that the must, when asked, allow you to change needs to be in writing inspect their books, documents and which prevent one party and records relating to your alone from making an charitable institution. unfavourable change. 7.3.4 A professional fundraiser or 7.3.7 A professional fundraiser commercial participator must or commercial participator pass on funds to you as soon as must pass on funds to you reasonably possible, and in any in line with the Charities case within 28 days, unless they and Benevolent Fundraising have a reasonable excuse. (Scotland) Regulations 2009 regulations. In Scotland, the Further requirements for Scotland funds must be passed on as soon as reasonably possible, 7.3.5 If a Scottish charity has an and in any case within 28 days agreement covering the of receiving them. The law in activities of a commercial Scotland does not allow you partner operating in England or the professional fundraiser and Wales (or if an English or or commercial participator to Welsh charity has an agreement agree otherwise, and this time covering the activities of a frame cannot be extended commercial partner operating even if the fundraiser has a in Scotland), it must make sure reasonable excuse for not that the contract meets the giving you the funds on time. legal requirements of the country where the fundraising will be carried out.

Effective October 2019 Part 2: Standards which apply to working with others

7.4. Solicitation (disclosure) statements 7.4.3 The fundraiser must make for paid third-party fundraisers the solicitation statement either and commercial participators before the donor gives any money or before the fundraiser In this section, ‘you’ means a asks for any financial details charitable institution, unless relating to the transaction we tell you otherwise. (whichever is sooner).

7.4.1 Professional fundraisers and 7.4.4 Professional fundraisers commercial participators must must give: make a solicitation statement when asking for money or other • the name of the charitable property or saying that money institution they are calling from a commercial promotional on behalf of; venture will be paid to a charitable • if there is more than one institution or used for charitable, charitable institution, details philanthropic or benevolent purposes. of the proportions in which the funds will be shared between them; and Please note: In Northern Ireland there is no legislation relating to professional • how their payment (including fundraisers or commercial any payment-in-kind, for participators. (However, charitable example, gift vouchers) in institutions fundraising in Northern connection with the appeal Ireland may decide to follow the legal is to be calculated and the requirements of England and Wales amount of that payment (or, and Scotland as good practice.) if they don’t know the actual amount, an estimate of the amount calculated as England and Wales accurately as possible). Employees of a professional Professional fundraisers fundraiser would have to 7.4.2 Professional fundraisers must provide a statement about make a solicitation statement the payment their employer every time they ask for money will receive in connection with or other property on your behalf the appeal, not the payment or for charitable, philanthropic or they personally will receive benevolent purposes. This is the from the professional case even if the money is not a fundraiser (their employer). pure donation but is given in return for something.

Effective October 2019 Part 2: Standards which apply to working with others

Failing to make the correct Commercial participators solicitation statement is a criminal 7.4.7 Commercial participators must offence. The Cabinet Office published make a solicitation statement ‘Charitable Fundraising: Guidance on whenever (and wherever) it is Part 2 of the Charities Act 1992 (2008)’ stated or implied in the course which includes example wording of of a commercial promotional statements. For more detailed venture that money will be guidance, you should get paid to one or more charitable professional advice. institutions or used for charitable, philanthropic or benevolent purposes. 7.4.5 In the case of fundraising where the fundraiser asks for 7.4.8 The solicitation statement a donation verbally but the must give: person they are asking is not • the name of the charitable present (such as telephone institution or institutions; fundraising), the professional fundraiser must make the • if there is more than one appropriate statement during charitable institution, details the conversation. Also, within of how much of the funds will seven days of the donor making be shared between them; and any payment of £100 or more, • the sum (or, if it is not the professional fundraiser must possible to calculate accurately give them a written statement beforehand, the amount containing the solicitation believed to be as accurate statement and details of their as possible) of whichever right to a refund or to cancel of the following apply. the payment. • The amount of the cost of 7.4.6 A professional fundraiser must the goods and services that keep to specific requirements will be given to or used for relating to the information they the benefit of the charitable must share in connection with institution or institutions television, radio and telephone • The amount of any other appeals, including donors’ proceeds of the promotion rights to cancel a donation that will be given to or and receive a refund. used for the benefit of the charitable institution or institutions

Effective October 2019 Part 2: Standards which apply to working with others

• The amount of the donations 7.4.11 Professional fundraisers, made in connection with the commercial participators and sale or supply of goods and benevolent fundraisers (other services that will be given than volunteers) must: to or used for the benefit • give the name of the of the charitable institution benevolent organisation or institutions which will benefit; 7.4.9 In the case of fundraising by • if there is more than one commercial participators, where benevolent organisation, a commercial participator asks for give details of how the donations verbally but the person funds raised will be shared they are asking is not present, the between them; commercial participator must • if the funds are for general make the appropriate solicitation charitable, benevolent or statement during the conversation. philanthropic purposes (rather Also, within seven days of the than for a particular benevolent donor making any payment of organisation), give details of £100 or more, the commercial how they will decide how to participator must give them a distribute the funds; and written statement containing the solicitation statement and • say in writing if they are details of their right to a refund being paid (unless they are or to cancel the payment. a benevolent fundraiser and an employee or agent of the benevolent organisation Scotland concerned or a company connected to it, and are 7.4.10 In Scotland, the standards on carrying out the fundraising). solicitation statements apply to and must be followed by professional fundraisers asking for donations, commercial participators making representations and benevolent fundraisers (other than volunteers) carrying out benevolent fundraising. See the glossary for a definition of benevolent organisation and benevolent fundraising in the context of Scottish law.

Effective October 2019 Part 2: Standards which apply to working with others

7.4.12 Professional fundraisers and • If you provide the solicitation commercial participators must statement about your pay also keep to the following verbally, you must: extra standards. • if you are making the • If you make the solicitation statement in person, tell any statement verbally (but not person making a payment that by speaking directly to and you have the information on in the presence of the person your pay available in writing it is addressed to) or in the if they want to see it; or course of a radio or television • if you are not making the programme, you must explain statement in person, tell any the donor’s right to a refund person making a payment that or to cancel the agreement you have the information on under the Charities and your pay available in writing and Benevolent Fundraising will provide it if they ask for it. (Scotland) Regulations 2009. • If you are being paid for the It is a criminal offence for a professional activity, you must say how fundraiser or commercial participator your payment will be to fail to keep to any of these conditions, decided and state: and the trustees of a charity may have broken their duty of care if they do not • the amount (or the make statements where appropriate. estimated amount) you You can get more information and will be paid as a professional guidance from the Office of the fundraiser; or Scottish Charity Regulator or you • the amount (or the should ask for professional advice. estimated amount) of the money made from sales or 7.4.13 You must make the statement from the promotional venture either before the donor gives that you, as a commercial any money or before you ask participator, will use for the for any financial details relating benevolent organisation or to the donation (whichever purpose, or the amount of is sooner). the donation (or donations) that will be made.

Effective October 2019 Part 2: Standards which apply to working with others

7.5. Fees and payment 7.6. Confidentiality

In this section, ‘you’ means In this section, ‘you’ means a charitable institution, unless a charitable institution, unless we tell you otherwise. we tell you otherwise.

7.6.1 Third-party fundraisers must not The following standards apply as well share any confidential information as the general standards in section they get from you unless that 2.5 Paying fundraisers. information is already available to the public or they are allowed to share the information by law. 7.5.1 Third-party fundraisers who do not fall within the legal definition of a 7.6.2 The written agreement between professional fundraiser must state you and the third-party fundraiser the actual amount and the way must include terms defining what is the payment is calculated in any considered confidential information. proposal or agreement and make completely clear all fees, expenses and other associated costs, how their fees will be calculated and the timescale for payments.

7.5.2 If the agreement allows payment levels to vary, this must be clearly justified in agreements by referring to the particular circumstances in which different payment levels may apply. If this applies, the agreement must include terms which allow you and the third-party fundraiser to end the agreement before their pay changes.

Effective October 2019 Part 2: Standards which apply to working with others

7.7. Company law and tax

In this section, ‘you’ means a charitable institution, unless we tell you otherwise.

If you are also a company, you must also meet the relevant company law requirements.

7.7.1 You must understand how your fundraising activities could affect the tax and VAT that your organisation has to pay (if at all) and make sure you pay the correct amount.

For more standards on reasonable monitoring arrangements as part of a contract or agreement, see section 7.2 Contracts and agreements.

Further guidance • Charity Commission for England and Wales: The Companies Act 2006: guidance for charities

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

This section covers the standards that apply to different fundraising methods. You should identify the methods you use to fundraise and meet the standards in the relevant sections. You should read these standards alongside the standards in parts 1 and 2 of the code.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

8. Collecting money You can find further information or other property on the law as it applies to collections: in England and Wales in the Institute This section covers collections of money of Fundraising’s Fundraising in a public or other property (including goods and place guidance, in Scotland in the regular gifts) for charitable institutions, Scottish Charity Regulator’s (OSCR’s) whether carried out on the street, Public Collections and exemptions house-to-house or on private sites. This guidance and in Northern Ireland includes secure collection procedures and in the Charity Commission for standards to make sure you respect local Northern Ireland’s Fundraising people and places. If you plan to carry for Charities guidance. out charitable collections on public or private sites, you need to be sensitive to the communities you are likely to come 8.1. Behaviour when collecting into contact with and any permission money or other property that you may need to do so. In this section, ‘you’ means The law on collecting money or other a charitable institution or property varies according to the type third-party fundraiser, unless and location of the collection. In most we tell you otherwise. cases, for collections on public land you will need a licence or permission to 8.1.1 While fundraising, you must not: collect from the relevant local authority • act in any way that might (or in Northern Ireland, the Police Service reasonably cause members of Northern Ireland). On private land, you of the public to be or become will need permission from the person startled or anxious; responsible for the site. • act dishonestly or manipulatively, The controls on public collections apply or deliberately try to make a to collections for charitable purposes, potential donor feel guilty; or and include collections for benevolent • act in any other way that and philanthropic purposes. a reasonable person might consider would damage the charitable institution’s reputation. This includes: • smoking or drinking alcohol while wearing clothing that contains a charitable institution’s branding;

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

• taking or being under the 8.1.6 Unless this is authorised under influence of illegal drugs; an agreement with a private site, you must not approach members • lewd or aggressive behaviour, of the public who are: including swearing, while wearing clothing that contains a • seated, unless the seating is part charitable institution’s branding; of a charitable institution’s promotional stand; or • putting undue pressure on members of the public • in queues, unless the queue to donate; is directly related to the fundraising activity. • exploiting your position for personal gain (for example, 8.1.7 You must not knowingly approach asking for a job, asking someone people who are carrying out official for a date, or asking for a discount duties, such as uniformed officials on goods or services); or while they are on duty or people • any other behaviour that who are clearly working. harms the reputation of the fundraising profession or the 8.1.8 You must not obstruct, interfere charitable institution you with or disrespect members of are representing. staff from local businesses.

8.1.2 You must avoid causing an 8.2. Licences and permission obstruction, congestion and nuisance to the public. You must In this section, ‘you’ means not deliberately block the path a charitable institution or of members of the public. third-party fundraiser, unless we tell you otherwise. 8.1.3 You must treat the locations you are working at or visiting 8.2.1 If you are a charitable institution with respect. collecting on public land, you must get a licence or permit from 8.1.4 You must not suggest to any the relevant authority to collect member of the public that the in that area, unless the relevant conversation you are attempting authority does not require you to to start is not about money or that hold a licence for your activity. you are ‘not fundraising’.

8.1.5 When asking for a regular gift, For more standards on exemptions, you must not suggest to any see section 8.3 Exemptions. member of the public that it is ‘without commitment’.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

8.2.2 If you are a charitable institution, • you provide collectors with any you must apply for licences in official materials or authorisation good time before the collection needed under a licence or permit, is due to take place. such as written authorisation, a certificate of authority, an identity badge, collecting boxes • In Scotland, unless the relevant or receipt books; authority does not require you to hold a licence, you must • you meet any other legal apply for a licence in writing requirements relating to official at least one month before materials or authorisation; and your collection (or within • if required (for example, by the any other period the local person issuing the permit), you authority decides). are able to provide full details of • In Northern Ireland, for street all collectors in a certain area, collections you must apply for including their names, addresses a licence in writing before the and phone numbers, the precise first day of the month before area to be covered and the exact the month in which the period during which the collector collection will take place. is authorised to collect.

8.2.4 If you are a collector, you must meet any legal requirements 8.2.3 You must carry out all collections relating to collecting boxes, in line with the terms of the relevant certificates of authority and badges. permit or licence. You must also make sure that: 8.2.5 If you are a collector, you must • you carry out due diligence only approach people in areas and to check that a collector is a fit during operating hours allowed and proper person to collect; under agreements, licences and permission (unless you agree to a • collectors are at least the follow-up meeting with a person minimum age allowed to outside these areas and times). fundraise in the relevant country and that they 8.2.6 You must make sure that materials meet the obligations include contact details for the they have by law; charitable institution and the collector, if different.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

8.2.7 You must make sure that people and, Further guidance where possible their vehicles, can be • In England and Wales, from the clearly identified as representing your Department for Digital, Culture, charitable institution. Media and Sport: National exemption order scheme 8.2.8 You must record the issuing and return of all materials connected • In Scotland, from the Scottish with the collection. Charity Regulator (OSCR): Public collections and exempt promoters • In Scotland, the organiser of a • In Northern Ireland, from the collection must record the name and Department for Communities: address of each collector as well as House to house charitable the number of collecting envelopes collections – exemption orders issued to them, or the identification number marked on the collecting box given to each collector. 8.4. Further standards that apply to particular locations and activities

8.3. Exemptions In this section, ‘you’ means a charitable institution or In this section, ‘you’ means third-party fundraiser, unless a charitable institution or we tell you otherwise. third-party fundraiser, unless we tell you otherwise. House-to-house collections 8.3.1 If you are a charitable institution that: 8.4.1 You must not harass any person • has a national exemption order or ignore a request to leave or not in England and Wales, or an to return. exemption order in Northern Ireland which means you do 8.4.2 You must not cold-call in an area not need a licence for where a ‘no cold-calling zone’ has house-to-house collections in the been created legitimately which relevant country; or means that charitable collections are not allowed. • is an exempt promoter in Scotland, which means you do not need 8.4.3 You must not knock on the door of a licence for public charitable any property that displays a sticker collections in that country; or sign which includes the words you must meet the conditions of ‘no cold-calling’, ‘no cold-callers’, that exemption. ‘no charities’, ‘no charity canvassers’ or ‘no charity fundraisers’.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

8.4.4 You must only knock on the 8.4.9 You must not deliver charity front door or main entrance collection bags to a property that of a property (usually the door displays a sticker or sign which that is closest to or most directly includes the words ‘no charity accessible from a street), unless a bags’, ‘no clothing bags’ or any resident asks you to do otherwise. other words which clearly show that the householder does not 8.4.5 If a building contains several want to donate in this way. properties and you need permission from a resident in order to access 8.4.10 Alongside any time restrictions the building, you must not use for collections that are set out in entry permission given by one the licence, you must not fundraise resident to then call on other before 9am Monday to Saturday properties in the building. You or before 10am on Sundays and must get individual permission public holidays, or after 9pm on to enter the building from the any day or date. If you need to resident of every property you call again at a property (two-step visit in the building. collections) the second visit must not take place outside of these 8.4.6 You must take extra care when times, unless the person at the visiting properties after dark. If you property asks you to make the are visiting isolated places, you must collection at a certain time. consider whether the visit could cause anxiety to residents before 8.4.11 You must not approach a property in approaching a property. groups of more than two at a time. This includes trainee fundraisers. 8.4.7 You must not enter a property unless you have the permission of a resident of the property (or, if the property is occupied by a business, the person in charge at the property on the day of this visit).

8.4.8 You must not stop residents from shutting a door of their property (for example, by putting your foot in the doorway).

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

8.4.12 If you are collecting regular Collecting regular gifts (face-to-face gifts house-to-house (face-to-face fundraising) on the street fundraising), you must wear an ID 8.4.13 If you do not need a licence badge, that: or permit, you must meet IoF • includes your identity as a site management agreements fundraiser, who you work for and that are in place with the local a phone number for the relevant authority for regular gift charitable institution or (face-to-face) fundraising on the third-party fundraiser; street.

• is clearly displayed and has not 8.4.14 You must be identifiable by been tampered with; the public from a distance of • is in the form of a badge fixed at least five metres. Charity to the upper front part of branded clothing: your body; • must be visible and identifiable; • is at least the size of a credit card; • must not be tied around your • is signed or authorised in some waist or covered by non-charity other way (for example, with a branded clothing or other company seal or stamp) by the property, or be in any way agency you work for or the charity obscured; and you are collecting on behalf of • must be clean and in good (or both); and condition to make sure the • is accessible for people with brand can be seen and to sight difficulties (for example, protect its reputation. the information on the ID badge could be available in large print).

Further guidance Institute of Fundraising: No cold calling zones and stickers.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

8.4.15 You must wear an ID badge, that: 8.4.18 You must not position yourself within three metres of: • includes your identity as a fundraiser, who you work for and • a shop entrance; a phone number for the relevant • a pedestrian crossing; charitable institution or third-party fundraiser; • a cashpoint machine; • is clearly displayed and has not • a station entrance; been tampered with; • a market stall; or • is in the form of a badge • a street trader, vendor or busker. fixed to the upper front part of your body; 8.4.19 If you have approached a member of the public, you must meet the • is at least the size of a credit card; ‘three-step’ rule. • is signed or authorised in some • You must not take more than other way (for example, with a three steps alongside the person company seal or stamp) by the or to follow them, even if they ask agency you work for or the you to. charity you are collecting on behalf of (or both); and • If the member of the public has not come to a stop within the • is accessible for people with three steps allowed, you must sight difficulties (for example, end your attempt to talk to them. the information on the ID badge could be available in large print). Collections on private land and 8.4.16 You must not leave bags unattended bookable private sites on any public road or right of way. 8.4.20 You must have permission from A team member must always stay the property owner or manager within three metres of the bags to collect and must keep to the and be able to see a ‘team bag’ dates, times and areas allowed (if one is used). for collecting. 8.4.17 You must not begin collecting 8.4.21 You must record all bookings before 9am Monday to Saturday and include the full name of the or 10am on Sundays and public person you made the booking holidays, or continue after 7pm with, the dates that were agreed on any day. (If different times are and the type of activity that was stated in an IoF site management agreed. You must keep these agreement, you must keep to the records for at least 28 days. times in the agreement.)

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

Collecting regular gifts (face-to-face 8.4.26 You must wear charity-branded fundraising) on bookable private sites clothing if you do not have a 8.4.22 Whenever possible, before promotional stand. Charity beginning work you must introduce branded clothing: yourself to the relevant member of • must be visible and identifiable; staff responsible for the private site. • must not be tied around your 8.4.23 If the venue or location changes, waist or covered by non-charity you must tell the person responsible branded clothing or other property, for your operations before or be in any way obscured; and beginning work. • must be clean and in good condition to make sure the 8.4.24 You must not work outside the brand can be seen and to boundaries of the private site as protect its reputation. explained by the site owner and, in any case, you must work within 8.4.27 You must wear an ID badge, that: sight of the promotional stand, • includes your identity as a if there is one. fundraiser, who you work for and 8.4.25 When working at high-street a phone number for the relevant locations: charitable institution or third-party fundraiser; • you must work within one metre of the promotional stand • is clearly displayed and has not (or equivalent) which must be no been tampered with; more than one metre away from • is in the form of a badge fixed the shopfront; and to the upper front part of • your position and the stand must your body; not affect other businesses. • is at least the size of a credit card; If this standard contradicts • is signed or authorised in some or conflicts with any conditions other way (for example, with a included in an agreement with the company seal or stamp) by the relevant site owner or manager, agency you work for or the the site agreement will apply. charity you are collecting on behalf of (or both); and • is accessible for people with sight difficulties (for example, the information on the ID badge could be available in large print).

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

8.4.28 If you have approached a member 8.5.1 If you are the organiser of the public, you must meet the of the collection, you must ‘three-step’ rule. get the permission of the site owner or those with authority • You must not take more than to give you permission to hold a three steps alongside the person static collection on the site. The or to follow them, even if they ask permission must be in writing. you to. • If the member of the public has 8.5.2 If you are the organiser of the not come to a stop within the collection, you must give a letter, three steps allowed, you must certificate of authority or badge end your attempt to talk to them. to anyone you have authorised to collect on your behalf. The If you have successfully started letter, certificate or badge should a conversation with a person, you contain information that identifies can take more than three steps them as a collector and identifies to escort them to a promotional any organisations carrying out or stand, or to a different part of benefiting from the collection. a promotional stand. The specific information that must be included for different categories 8.5. Static collections of collector is as follows.

In this section, ‘you’ means • For collectors who are directly a charitable institution or employed by the charitable third-party fundraiser, unless institution benefiting or who are we tell you otherwise. acting as on-behalf-of volunteers:

Static collections involve the use of • the collector’s name; collecting boxes which stay in one place • the name and contact details − either on the floor or on counters in of the charitable institution places such as shops, pubs, hotels, benefiting from the collection; hospitals and reception areas. and

If another organisation manages static • the name of the organiser collecting boxes on your behalf and they (if different to the collector or receive a payment or other benefit for charitable institution benefiting this activity, it is important that you and from the collection). they are aware of any responsibilities they may have under Part II of the Charities Act 1992 or Part 2 of the Charities and Trustee Investment (Scotland) Act 2005.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

• For collectors working for a 9. Fundraising third-party fundraiser: communications and • the collector’s name; advertisements • the name and contact details of the third-party fundraiser; and Charitable institutions tell people about their cause in different ways. It’s important • the name and contact details that your communications are appropriate of the charitable institution to your audience and provide clear benefiting from the collection. information so that donors can make • For collectors who are in-aid-of an informed decision. This section covers volunteers if the charitable standards related to marketing your institution knows about the campaign. It also includes standards for collection and has approved it: fundraising over the phone and by post • the collector’s name; (for emails and messages to mobile devices see section 10 Digital). • the contact details of the organiser; • the name of the charitable For more standards relating to institution benefiting from marketing communications to the collection; and individuals, see section 3 Processing personal data (information). • the name of the organiser if this is different to the collector.

8.5.3 If you are the collector, you must 9.1. General standards have a letter, certificate of authority or badge as described above. In this section, ‘you’ means a charitable institution or 8.5.4 If you are the collector, you must third-party fundraiser. show your certificate of authority to the site owner or those with 9.1.1 You must meet the Committee authority to grant permission to hold of Advertising Practice Code (CAP) a static collection on the premises. and Broadcasting Committee of Advertising Practice (BCAP) and 8.5.5 If you are the collector, you must make sure all advertisements are make it clear to the site owner or legal, decent, honest and truthful. those holding a static collection on the premises that if a box is lost or 9.1.2 You must be able to show that you stolen, or if they want to end the have taken all reasonable steps to collection, they need to contact make sure that communications you (preferably in writing). are suitable for the people they are aimed at.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

9.1.3 Your marketing communications 9.1.7 If you are fundraising in must not contain anything that is partnership with one or more likely to cause serious or widespread charitable institutions, you must offence. You must take particular state how the money will be split care to avoid causing offence on between the organisations. the grounds of race, age, religion, sex, sexual orientation or disability. 9.1.8 If you change any of the details in This will vary according to the case studies or use real examples context, type of communication, to inspire a case study, you must audience, product and commonly make this clear and you must be accepted standards of decency at able to prove that the case study the time of the communication. is representative of a real situation.

9.1.4 Your marketing communications 9.1.9 You must be able to justify how must not contain anything that often you contact people, balancing is likely to cause fear or distress the need to communicate with not without a justifiable reason. If you overwhelming or bombarding can justify it, the fear or distress people. likely to be caused must not 9.1.10 You must meet trademark and be excessive. copyright law and make sure that 9.1.5 You must not use a claim or you get permission to use images, image that some people may find logos and so on from the people shocking merely to attract attention. or organisations who hold the If you use images that some people rights to these. may find shocking, you should give warnings about this material. Further requirements for England 9.1.6 You must make sure literature 9.1.11 You must make sure that public includes all information that advertisements for an event you have to include by law, for meet the Town and Country example, registered charity status Planning Act 1990 (as amended), or number, full company name the Control of Advertisements and registered office if this applies. Regulations 2007 (as amended) issued under it, or the Highways For more standards on the Act 1980. information you need to include, see section 9.2 References in documents.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

Further requirements for Scotland 9.2.1 You must make sure that your business letters, order forms 9.1.12 You must make sure that and website state: public advertisements meet the Town and Country Planning • your registered company’s (Scotland) Act 1997 and the full name (even if elsewhere Town and Country Planning you also use an abbreviated (Control of Advertisements) or ‘trading name’); (Scotland) Regulations 1984, • your company number; as amended in 1992. • the place of registration of your company (for example, England Further requirements for and Wales or Scotland); Northern Ireland • the address of your registered 9.1.13 You must make sure office (if more than one address is that public advertisements mentioned, it must be clear which meet the Planning (Control of is the registered office); and Advertisements) Regulations • that the charitable institution is a Northern Ireland 2015. limited company if your name does not include the word ‘Limited’.

If the names of your directors 9.2. References in documents are included on your company In this section, ‘you’ means letterhead (which is not compulsory), a charitable institution or you must name all the directors. third-party fundraiser, unless we tell you otherwise. 9.2.2 You must also give your company’s full registered name on all notices and other official publications, General standards all cheques, bills of exchange, Charitable institutions that are registered promissory notes (a signed companies must meet the requirements document promising to pay a stated under the Companies (Trading Disclosures) amount to a certain person on a Regulations 2008 as well as any charity stated date or when asked) and law rules that apply in the country you endorsements, all orders for money, are fundraising in. goods or services, all invoices and other demands for payment, receipts and credit notes, all applications for licences to carry out a trade or activity, and all other types of business correspondence and documents.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

Further requirements for England 9.2.5 If you are a registered company and Wales and your name does not include the word ‘Limited’, you must 9.2.3 If you are a registered charity also include a statement that with a gross income of over you are a limited company on £10,000 in the last financial year, all business correspondence. you must state that your charity is registered on all fundraising notices, advertisements and Further requirements for Scotland documents issued by you or on your behalf. 9.2.6 If you are a charity registered in Scotland, you must meet 9.2.4 If you are a registered company, the Charities References you must include your company in Documents (Scotland) number, place of registration Regulations 2007. If you (for example, England and Wales) are a Scottish Charitable and the address of your registered Incorporated Organisation office if the fundraising material (SCIO), you must meet section takes the form of a business letter 52 of the Charities and Trustee or is published on your website. Investment (Scotland) Act 2005 As a registered company, you and the Scottish Charitable must give the name of the Incorporated Organisations charity on all fundraising Regulations 2011 in relation materials that are produced to the statements you make. in any of the following forms. 9.2.7 If you are a charity registered • Business letters in Scotland, you must give • Notices and other official the following information publications in your documents. • Bills of exchange, promissory • Your full name and any other notes, endorsements, cheques name you commonly use. and orders for money or goods • Your Scottish charity number. signed on behalf of the charity • If your name does not include • Any documents relating to ‘charity’ or ‘charitable’, you selling or buying an interest must state that you are in land a charity. • Bills, invoices, receipts and letters of credit

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

9.2.8 You must state the above 9.2.11 The above standards apply to information in all business documents which are issued or letters, emails, advertisements, signed by others on your behalf notices, official publications, as well as by you. All charities any document asking for registered in Scotland must meet money or other property for these standards no matter what the charity, promissory notes, their size or income. However, endorsements, orders for new charities (other than SCIOs) money or goods, bills, invoices, do not have to keep to this receipts, letters of credit, standard for the first six months. statutory accounts, educational or campaign documents, 9.2.12 Scottish charitable companies documents which create, must meet section 112(6) of transfer, vary or remove an the Companies Act 1989. If your interest in land, contracts name does not include ‘charity’ and bills of exchange (except or ‘charitable’, you must reveal cheques), and on the home your charitable status on all page of your website. business letters, all notices and other official publications, all 9.2.9 You must use the term ‘charity’, bills of exchange, promissory ‘charitable body’, ‘registered notes, endorsements, cheques, charity’, or ‘charity registered in orders for money or goods Scotland’. The terms ‘Scottish signed by or on your behalf, all charity’ and ‘registered Scottish agreements to transfer property charity’ must only be used for from one owner to another charities established in Scotland which you have signed, all bills, or which are fully or mainly invoices, receipts, and credit managed or controlled notes. Unlike the charity law in Scotland. rules, this also applies to cheques. Any person acting on 9.2.10 If you are an SCIO, the behalf of a charitable company information must include who issues a cheque without your full name and, if your name this statement is committing does not include your legal an offence and will be personally status, you must state that you liable for the amount due on the are an SCIO. You must state cheque if you do not honour it. your charity number and, when stating that you are an SCIO, you must write ‘Scottish Charitable Incorporated Organisation’ in full rather than using ‘SCIO’.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

Further requirements for • Bills of exchange, promissory Northern Ireland notes, endorsements, cheques and orders for money or goods 9.2.13 If you are a registered charity signed on behalf of the charity you must state that your charity is registered on all fundraising • Any documents relating to notices, advertisements and selling or buying an interest documents issued by you or in land on your behalf. This includes • Bills, invoices, receipts and the following. letters of credit • Notices and other official publications 9.2.15 If you are a registered company and your name does not include • Bills of exchange, promissory the word ‘Limited’, you must notes, endorsements, cheques also include a statement that and orders for money or goods you are a limited company on signed on behalf of the charity all business correspondence. • Bills, invoices, receipts and letters of credit

9.2.14 If you are a registered company, 9.3. Fundraising by mail you must include your company In this section, ‘you’ means number, place of registration (for a charitable institution or example, Northern Ireland) and third-party fundraiser. the address of your registered office if the fundraising material 9.3.1 As well as keeping to standards takes the form of a business in Section 3 Processing personal letter or is published on your data (information), you must not website. As a registered company, send direct marketing mailings to you must give the name of people who have registered with the charity on all fundraising the Mailing Preference Service materials that are produced (MPS) if you cannot show any in any of the following forms. evidence of a previous relationship • Business letters with that person. • Notices and other official publications

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

9.3.2 You must consider whether a 9.4. Fundraising by telephone person has registered with the MPS as part of your assessment as In this section, ‘you’ means to whether you have a legitimate a charitable institution or interest if you are planning to third-party fundraiser. process a person’s data for direct This section includes all fundraising calls marketing purposes under the and voicemails that are made to ask for legitimate interest condition. financial and other types of donations, such as volunteering time. It does not Enclosures include administrative calls (although you can use these standards as 9.3.3 You must be able to prove that guidance for those calls). the purpose of an enclosure was to strengthen the message or to involve the person emotionally in For more standards on the the cause, and not to encourage requirements relating to working with them to donate mainly because third-party fundraisers, see section 7 of financial guilt or to cause Professional fundraisers, commercial embarrassment. participators and partners.

For more standards on offering The Telephone Preference Service (TPS) incentives to donors, see section 2.7 and Corporate Telephone Preference Using funds. Service (CTPS) allow people or companies to register their phone numbers to show that they do not want to receive ‘unsolicited’ 9.3.4 You must consider whether any sales and marketing phone calls (that is, enclosures are safe for the person calls they have not requested). receiving them. 9.4.1 If you are carrying out live 9.3.5 You must not use enclosures that fundraising phone calls, you must might cause inconvenience when be able to show that you are meeting delivering them, unless the donor the legal requirements of the TPS. knows about them or has asked for them.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

9.4.2 You must not make marketing Direct marketing rules do not apply to phone calls to the following people. calls which are only for administrative purposes (for example, to confirm bank • Anyone who has registered details or that a payment has been with the TPS or CTPS, unless received). However, you should make that person has told you that sure that no marketing is included in they agree to receiving direct these communications. marketing calls from you for the time being. • Anyone who has asked Further guidance you to stop or not begin direct • The Fundraising Regulator: marketing, as outlined in Quick Guide to TPS Compliance – section 3 Processing personal for guidance on when to check TPS data (information). and keeping records on this 9.4.3 You must have a written • The Information Commisioner’s agreement in place which states Office:Direct Marketing guidance that subcontractors must meet – for guidance on the difference relevant data protection legislation between administrative and direct and PECR. marketing purposes

9.4.4 You must not call anyone using an automated dialling system unless that person has agreed to this. During the call 9.4.8 You must make every fundraising 9.4.5 You must not call anyone you call using a phone number which know is under the age of 16. can be identified by the person receiving it and which they can 9.4.6 You must not generate telephone return the call to. fundraising calls by dialling random numbers, whether dialling is done manually or by computer. For more standards on the requirements for telephone 9.4.7 You must not claim that marketing fundraisers under the GDPR and calls are administrative calls. PECR, see section 3 Processing personal data (information). You should read the following standards along with the requirements highlighted in that section.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

9.4.9 You must not make automated 9.4.15 You must avoid persistent misuse phone calls to people unless you of an electronic communications have their consent. network or service to contact donors (including making 9.4.10 You must not make calls after silent or abandoned calls). 9pm, except to people who have asked you to call after this time. 9.4.16 You must make clear that you are asking for financial or other types 9.4.11 You must give your name and the of support. name of charitable institution you are fundraising for when making 9.4.17 You must not ask for a financial a direct marketing call. contribution more than three times during a fundraising 9.4.12 If the phone call is your first contact phone call. with a donor, you must ask if they are happy for you to contact them 9.4.18 You must make the purpose at that time. If they ask you not to of the call clear if you are leaving call again, you must not do so. a voicemail.

9.4.13 If the person asks for one, you must provide a valid business For more standards on what must be address or Freephone number included in any fundraising materials that they can use to contact you. you send as a result of a phone call, see section 9.2 References in documents. 9.4.14 If you use a professional fundraiser to ask for donations by phone, they must give the identity of Further guidance the charitable institution they are making the call for, along • Ofcom: Revised Statement on the with a solicitation statement. Persistent Misuse of an Electronic Communications Network or Service (2016) – for guidance about silent calls For more standards on solicitation and other types of nuisance calls statements by professional fundraisers, see section 7.4 Solicitation (disclosure) statements for paid third-party fundraisers and commercial participators.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

10. Digital 10.1.2 You must make sure that your contact information is easy to find When used responsibly, technology can play on your website. an important part in expanding the reach of charitable fundraising appeals. This section 10.1.3 You must meet the Privacy includes standards for online fundraising and Electronic Communications platforms, including telling donors about (EC Directive) Regulations 2003 how you will use their data and any fees (as amended in 2011) and wider you may take for hosting a fundraising data protection requirements. campaign. It also includes the standards 10.1.4 You must let users know if the for emails and messages to mobile devices, website uses cookies. The way you including meeting the Phone-paid Services do this must be suitably prominent Authority Code of Practice, marketing and understandable to make sure messages and using charity short codes. that if the user agrees to you using As well as your main website, you may cookies, this decision is informed. have other related websites or microsites 10.1.5 You must clearly explain how you created for specific campaigns or events. collect and use personal data, for This section covers all websites you create. example, through a privacy policy or statement. 10.1. Digital media 10.1.6 You must make sure all In this section, ‘you’ means information about how you collect a charitable institution, a and use personal data is easily third-party fundraiser or an accessible from the website’s online fundraising platform. home page and any page which collects personal data.

10.1.1 In England, Scotland and Wales, you must meet the Equality Act 2010 (so far as it applies in the area in which you are fundraising) and must make ‘reasonable adjustments’ to meet the needs of all users. In Northern Ireland, you must not discriminate against people with characteristics that are protected under the laws of Northern Ireland. You can get more information from the Equality Commission for Northern Ireland.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

Further guidance Money raised through online fundraising platforms may go: For specific guidance on equality law: • direct to a charitable institution; • Charity Commission for England and Wales: Equality Act: guidance • to a fundraiser or fundraisers to pass on for charities to a registered charitable institution; or • The Scottish Charity Regulator • to a beneficiary who is not a registered (OSCR): Charities and the Equality charitable institution. Act 2010 If you provide links to our and your own • Charity Commission for Northern guidance, you must explain your reasons Ireland: Equality guidance for for this to make sure that prospective charities donors are suitably informed about appeals before donating and that funds For guidance on meeting raised are managed appropriately. international accessibility standards: • Government Digital Service: Make your public sector website Alongside the standards below, you or app accessible should pay particular attention to the following sections of the code.

• For more standards on data 10.2. Online fundraising platforms protection, see section 3 Processing personal data (information). In this section, ‘you’ means an online fundraising platform. • For more standards on processing donations, see section 4 Processing Donation pages hosted on a charitable donations. institution’s own website (that is where • For more standards on the relationship the donor is not directed away from between charitable institutions and the charitable institution’s own domain those carrying out fundraising activities name to a third party’s) are not considered through online fundraising platforms, within this section of the code if no fees see section 5 Volunteers. are charged on individual donations. If a third party charges fees (including • For more standards on agencies payment transaction fees) on a providing fundraising services, see donation-by-donation basis, charitable section 7 Professional fundraisers, institutions should make sure the fees, commercial participators and how they are charged, are clear, in and partners. line with this section of the code.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

Further guidance • How much you will receive, if you know this at the time of the • The Fundraising Regulator: donation. (If you don’t know the Guidance for Fundraising Platforms exact amount, give an example • The Fundraising Regulator: Online that demonstrates how much Fundraising advice and guidance your organisation would receive for the public on an imaginary donation.)

Responsibilities of online Fees for hosting a fundraising campaign fundraising platforms In some circumstances an online 10.2.2 You must provide a link to our fundraising platform may fall within guidance for those setting up a the definition of a professional fundraiser fundraising page on your website. or commercial participator. If this is the case, see section 7 Professional 10.2.3 You must make sure our fundraisers, commercial participators guidance is: and partners for definitions and • easily accessible for those setting standards you must follow. up a fundraising page on your site; and 10.2.1 If you charge fees for hosting a fundraising campaign (for example, • available before the point at which platform fees, a proportion of the donation pages become active. donation or Gift Aid, payment transaction fees, administrative fees, 10.2.4 You must also publish good-practice or monthly or yearly subscription guidance for those setting up a fees paid by a charity or fundraiser), fundraising page on your website. you must make sure that the following details are clearly visible to people donating through your site and are displayed before the point at which you ask for their financial details. • How your pay will be calculated (for example, as a percentage of the Gift Aid, a fee charged on each donation or X pounds (or pence) of each donation).

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

10.2.5 Your guidance must highlight • What the target of the appeal will things fundraisers should consider be, if this applies. This might be a when planning their appeal to time target or a financial target. prospective donors. This must • Whether the fundraiser is include the implications of raising raising money on behalf of or money for a cause where no for a charitable institution and, charitable institution is identified if this applies, the name of the as the beneficiary, including: charitable institution. • the possibility that a personal • How people can donate, including, crowdfunding appeal may itself where relevant, alternative ways of need to be registered as a charity donating to the appeal and ways with the relevant regulatory to increase donations through body; and Gift Aid. • if you are a charity, that the • What deductions will be made appeal will need to meet the legal for expenses. requirements for public benefit. • What the fundraiser will do with 10.2.6 You must publish guidance the money if: that highlights the following • they do not raise enough to requirements which fundraisers meet their target; should include when publicising their appeal to prospective donors • they raise more than their through their fundraising page on target; or your site. • the original purpose for which • Who is organising the appeal. they are asking for donations is no longer valid for any reason. • Whether the money raised is for a specific purpose or for the person 10.2.7 You must ask those setting up a receiving it to use as they see fit. fundraising page on your site to If the money is for a charitable confirm that they have read and institution and will be used for understood the guidance using a specific purpose, fundraisers a clear and positive action before must contact the charitable the donation page is published institution to make sure they are (for example, using active methods aware and happy to receive the such as ticking unticked boxes). money for this purpose. For more standards on money given for restricted purposes, see section 2.7 Using funds.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

10.2.8 You must take reasonable Payment services measures to avoid fraudulent 10.2.11 If these apply, you must meet: activity and money laundering through your site. If the money • all legal requirements relating to raised is not going straight to the Payment Services Regulations the bank account of a charitable 2017; and institution, you must make it clear, • all relevant financial services before a donation is made, that laws and regulations. donors give at their own risk.

10.2.9 You must state that your users 10.3. Messages to mobile devices need to keep to the sections of the In this section, ‘you’ means code that apply to their fundraising a charitable institution or as a condition of using your site third-party fundraiser. and that you have the right to end or suspend their use of the 10.3.1 You must register with the site if necessary. Phone-paid Services Authority (PSA) and meet its Code of Practice, when using premium-rate text Further guidance messages, unless the services • Charity Commission for England are exempt (as defined in the and Wales: Public benefit: rules for Phone-paid Services Authority charities – for guidance on public Code of Practice). benefit for charities registered in England and Wales 10.3.2 You must only send marketing messages to mobile phones belonging to individuals if those people have already given you Data protection and privacy permission to do this. 10.2.10 You must meet all relevant data protection laws. Personal details of 10.3.3 You must make the process donors and fundraisers must only people need to follow to register be passed from your organisation to receive messages clear on all to another if you are allowed to do relevant documents, including this by law (this is known as having websites. And you must include a lawful basis to do so). For more procedures for unsubscribing information, see section 3 Processing from messages on all marketing personal data (information). messages you send.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

10.3.4 You must use a simple opt-out 11. Events message for people to tell you if they don’t want to receive Event fundraising is a way to bring messages from you. communities together to fundraise for a particular cause. This section contains 10.3.5 You must make sure that users can standards for planning and carrying out opt out of any marketing message, events (including challenge events) in free of charge (except for the costs the UK or overseas, including getting of sending the opt-out message). any permission that is needed to use a site, making sure the event is safe and managing the risks responsibly. For more standards on data protection, see section 3 Processing personal data (information). 11.1. Venues, locations and equipment

In this section, ‘you’ means 10.3.6 You must make the cost of a charitable institution or premium-rate messages clear third-party fundraiser, unless to donors and must explain how we tell you otherwise. and when they will be billed. 11.1.1 When identifying a suitable venue 10.3.7 You must offer an option for or location for an event, you: people to reply by text message • must consider issues of equal to opt out of receiving further access for all, even if an event messages, and this must be is being targeted at a specific clear in all marketing. group of people;

10.3.8 For competitions and prize draws, • must make sure the venue you must provide a clear and simple meets the legal requirements method of accessing any terms and on health and safety; and conditions and you must publish • must make sure the venue or the identity of the promoter. location is fit for purpose, taking note of any restrictions, and be 10.3.9 When receiving donations by text able to justify any environmental message, you must use charity effect the event might have. short codes. (See the glossary for a definition of charity short codes.)

10.4. Bulk email 10.4.1 You must not send bulk emails from a named person’s email account.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

11.1.2 If any specialist equipment 11.2.3 You must make sure that any is needed by (or recommended insurance policies you have to have for) anyone taking part, you must by law are in place. You must make give a list to each team or person sure you have sufficient third-party taking part in enough time for public-liability cover in place and them to borrow or buy any must consider whether you should necessary items. The list should take out any other insurance cover. say who is responsible for the kit and who it is suitable for. People 11.2.4 You must be clear who (for example, taking part must not go ahead you or the building owner) is if the equipment mentioned insuring against which risk. above is not suitable.

11.1.3 If those taking part need to For more standards on health and use vehicles, you must tell them safety and risk assessments, see to take rest stops and plan their section 5 Volunteers. journey in a way that recognises road safety, especially speed limits. 11.3. Licences and permission 11.2. Risk assessment and insurance In this section, ‘you’ means In this section, ‘you’ means a charitable institution or a charitable institution or third-party fundraiser, unless third-party fundraiser, unless we tell you otherwise. we tell you otherwise. 11.3.1 You must make sure that you have 11.2.1 If you are an employer, you any permission or licences you must carry out a suitable risk need for the event from the local assessment before holding an authority or other relevant body. event of any size. Other fundraisers (who are not employers) must 11.3.2 If you are planning an carry out a risk assessment if event in England and Wales it is reasonable to do so. on private property, you must 11.2.2 You must make sure that get permission if this is needed. health and safety arrangements In Northern Ireland you must (for example, medical cover and get permission from the land evacuation arrangements) are owner if this is needed. appropriate for the event and the country it will be held in.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

11.3.3 In Scotland, the rules are Specific considerations for open more complicated and, access land (England and Wales) although generally there is 11.3.7 If you plan to use open access no absolute legal requirement land in England and Wales, to do so, you must be able to you must: show you have made reasonable attempts to get permission • meet the Countryside and from land managers to make Rights of Way Act 2000 sure that you do not break the (the act) if it applies; requirement to exercise access • make sure your activity is rights responsibly. allowed under the act; and • check whether you need 11.3.4 You must not have more than permission from land owners the maximum number of people for the activity (and if so, allowed to take part in an event get permission). under the relevant permission, licence or local conditions. In some cases this will be a legal Further guidance requirement that you must keep • Natural England: Open access to under the licence agreement. land: management, rights and Having more than the maximum responsibilities − for guidance on numbers could also mean that any how open access land can be used insurance you have taken out for the event is no longer valid.

11.3.5 You must meet relevant local 11.4. People taking part in a guidance or information that fundraising event applies to the site you are using In this section, ‘you’ means when planning an event. a charitable institution or third-party fundraiser, unless 11.3.6 You must keep to the we tell you otherwise. Countryside Code in England 11.4.1 If you refuse permission for a and Wales, the Scottish Outdoor person to take part in an event, Access Code in Scotland and the you must meet consumer and Northern Ireland Countryside discrimination laws. Code in Northern Ireland.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

11.4.2 You must get any permission 11.5.2 If you use recruitment materials you need by law for a person to such as adverts in the press, that be involved in an event in writing are designed to encourage people before the event. (This includes, to take part in an event, you must where relevant, accepting legal not mislead readers into believing terms and conditions and to that their commitment would be protect health and safety.) limited to any minimum personal registration fee.

For more standards on data protection 11.5.3 You must make sure that all requirements, see section 3 Processing marketing materials have accurate personal data (information). and clear details of the event and clearly state how the money raised from the event will be used. 11.4.3 You must make sure people taking part are aware of any fundraising 11.5.4 If the person taking part targets they are expected to meet. does not personally pay the whole cost of the trip, but uses 11.4.4 If a certain age, level of some of the sponsorship money fitness, preparation or training for this purpose, you must make is necessary for a person to be sure they know that they must able to take part safely, you must make this clear to every donor. agree this beforehand with the people involved. 11.5.5 If merchandise sales or fundraising events (such as challenge events) are carried out through a trading 11.5. Promoting an event company, you must make this In this section, ‘you’ means clear on relevant communications a charitable institution or or web pages. third-party fundraiser, unless we tell you otherwise. For more standards on communications 11.5.1 In all promotional materials about and adverts, see section 9 Fundraising taking part in an event, particularly communications and advertisements. materials sent as part of ‘fundraising packs’, you must clearly indicate if any part of the money a person taking part raises will be used towards their expenses or otherwise to benefit them.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

11.6. Cancelling an event and 11.7. On the day contingency plans In this section, ‘you’ means In this section, ‘you’ means a charitable institution or a charitable institution or third-party fundraiser, unless third-party fundraiser, unless we tell you otherwise. we tell you otherwise.

11.6.1 You must make sure that Safety sponsorship forms are clear 11.7.1 Before the event, you must carry about whether the fundraiser out a final check to make sure needs to meet any conditions in everything is in place, especially return for the sponsorship money fire exits, first aid and equipment. (for example, run a marathon). 11.7.2 You must put in place procedures 11.6.2 If sponsorship money is given at the event to avoid congestion under certain conditions and the (in particular, if an emergency sponsored event is cancelled, or evacuation is needed). a person is unable or unwilling to take part in or complete the event 11.7.3 You must have marshals and for any reason, the person who stewards with relevant experience, collected the sponsorship money where necessary. must contact donors and ask if they are still happy for the money Selling and trading to go to your charitable institution, 11.7.4 If you are a charitable institution and issue refunds if they are not. and will be selling products or If sponsorship money is given services at an event, you must make without conditions, it automatically sure you are allowed to trade under belongs to your charitable the documents that govern your institution, whether or not organisation. If you are a charity, you an activity is completed. must consider the tax consequences 11.6.3 If you plan a fundraising event, of trading within the charity. you must have a plan to cover all 11.7.5 You must make sure that any situations you could reasonably product being sold at the event anticipate, and make sure the people meets relevant safety standards. involved understand exactly what you expect of them.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

11.7.6 You must make sure that 11.9. After the event any food being supplied meets hygiene regulations (the Food In this section, ‘you’ means Hygiene (England) Regulations a charitable institution. 2006, the Food Hygiene (Wales) 11.9.1 If you are a charitable institution, Regulations 2006, the Food you must have procedures or a Hygiene (Scotland) Regulations policy for following up donors 2006 or the Food Hygiene who have not paid or who (Northern Ireland) Regulations have not met any minimum 2006). For more details, contact sponsorship requirements. the environmental health department of the relevant local authority. For more standards on processing and handling donations, see section 4 Processing donations. 11.7.7 If you are selling or providing alcohol, you must have the relevant licences and permission, and keep to any age limits. 11.10. Events organised by third parties

In this section, ‘you’ means 11.8. Financial procedures a charitable institution or third-party fundraiser, unless In this section, ‘you’ means we tell you otherwise. a charitable institution or third-party fundraiser, unless As well as the standards in section 7 we tell you otherwise. Professional fundraisers, commercial participators and partners, the following 11.8.1 You must meet any tax and VAT standards apply to fundraising events laws and regulations that apply to organised by third parties. the event, including those relating to record keeping. 11.10.1 You must have an agreement with the event organiser, which sets out 11.8.2 You must have financial specific responsibilities and risk. procedures in place for money received before or during an event.

Further guidance • GOV.UK: VAT record keeping • GOV.UK: VAT for charities

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

11.11. Events involving travel There are other legal requirements for events involving flights(under In this section, ‘you’ means the Civil Aviation Air Travel Organisers’ all charitable institutions, Licensing Regulations 1995 (the ATOL unless we specifically refer Regulations). The Civil Aviation Authority to registered charities. (the CAA) have, in the past, issued guidance for charities organising There are special legal requirements for challenge events involving flights. events involving flights and certain other Detailed information is available on the travel services. CAA’s website. This is also a complicated The Package Travel and Linked Travel area and you should get professional Arrangement Regulations 2018 state legal advice. You may need permission that they apply to: from the CAA, or to give them notice, for flying displays, operating balloons for ‘the pre-arranged combination of at least public flights and other ‘unusual aerial two of the following components when events’ (for example, releasing balloons, sold or offered for sale at an inclusive using drones, and fireworks displays). price and when the service covers a period of more than 24 hours or includes 11.11.1 You must meet laws relating to overnight accommodation: travel, including the Package Travel • (a) transport; and Linked Travel Arrangement Regulations 2018 and the Civil • (b) accommodation; and Aviation Air Travel Organisers’ • (c) other tourist services not ancillary to Licensing Regulations 2012 transport or accommodation and (the ‘travel regulations’). accounting for a significant proportion of the package.’ 11.11.2 You must be clear who is responsible for meeting the Most of the obligations under travel regulations. the regulations fall on the organiser. There are also obligations on retailers 11.11.3 You must check the track record who sell packages to consumers. and reliability of the tour operator Generally, charitable institutions will and any subcontractors. want the specialist tour operator to be the ‘organiser’ with responsibility for keeping to the regulations. This is a complicated area and you should get appropriate legal advice on this.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

11.11.4 When organising a challenge 12. Lotteries, prize event and drafting forms for competitions and collecting information from the people taking part and privacy free draws notices, you must clarify with the If you intend to run a lottery, prize tour operator who will be collecting competition or free draw for charitable the information and for what purposes, you need to follow any purposes it will be collected gambling regulations that may apply, and held. including laws relating to the process of allocating prizes fairly. This section For more standards on data protection, sets out the responsibilities for see section 3 Processing personal fundraising organisations taking data (information). part in these activities.

In this section, ‘you’ means 11.11.5 If an event organiser, or the people a charitable institution or taking part, falls within the definition third-party fundraiser running of a professional fundraiser or a lottery for the benefit of a commercial participator, you charitable institution, unless must take reasonable steps we tell you otherwise. For to make sure everyone keeps lotteries, ‘society’ means to these requirements. the charitable institution.

The law in England, Wales and Scotland Lotteries include raffles, tombolas, sweepstakes and some other activities.

In the law of England, Wales and Scotland, a lottery is a type of gambling which has three essential characteristics. • You must pay to enter the game. • There is always at least one prize. • Prizes are awarded purely by chance.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

The Gambling Act 2005 created six Lotteries which fall within categories categories of lotteries. 1 and 2 do not need a licence or permission from any authority if 1. Private lotteries, including: the charitable institution meets the • private-society lotteries; rules that apply. Tombolas, lotteries and raffles held at events which fall • work lotteries; and within category 2 are a common type • residents’ lotteries. of fundraising. These do not need a 2. Lotteries held at events (known licence or permission from any as ‘incidental lotteries’). authority (although you should get permission from the event organiser 3. Customer lotteries. (Please note or site owner). For more information that, as customer lotteries cannot see the Gambling Commission’s make a profit, they are not suitable guidance on organising small lotteries. for fundraising.) For lotteries which fall within categories 4. Small-society lotteries. 4 and 5, the society must have the relevant permission from either a local 5. Large-society lotteries. authority (in the case of small-society 6. Local-authority lotteries. (These lotteries) or the Gambling Commission are run by local authorities and so (in the case of large-society lotteries) are outside the scope of the code.) before marketing or selling tickets. You can visit the Gambling Commission’s website for more information on Each type of lottery has its own small-society lotteries that don’t standards and you can find an need a licence and society lotteries overview of these in the Gambling which need a licence or registration. Commission Guidance. Sometimes, large charitable institutions A lottery run by or for the benefit outsource part of the work involved of a charitable institution will fall in running large-society lotteries to under the definition of a society an external lottery manager (ELM). lottery. However, that does not You can find Gambling Commission prevent you or those fundraising guidance on ELMs here. on your behalf from running lotteries under another appropriate category.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

The law in Northern Ireland 12.1. Lotteries – general responsibilities

Lotteries in Northern Ireland In this section, ‘you’ means a must meet the Betting, Gaming and charitable institution or third-party Lotteries (NI) Order 1985, as amended fundraiser running a lottery for the by the Betting and Lotteries (NI) benefit of a charitable institution, Order 1994 and as added to by unless we tell you otherwise. the Lotteries Regulations. 21.1.1 You must meet the relevant There is no legal definition of a lottery national legal requirements in the law of Northern Ireland. for lotteries.

Under the order, all lotteries are 12.1.2 You must make sure you are unlawful unless they are: not running an illegal lottery. 1. small lotteries which are a small part of exempt entertainment 12.1.3 To run an exempt lottery (one (that is, entertainment which which does not need a licence), does not need a licence); you must meet the conditions set out in law. 2. private lotteries; 3. society lotteries; or 12.1.4 If you need to hold a licence for the type of lottery you are running 4. part of the National Lottery. you must meet the relevant codes Each type of lottery has its own of practice, licence conditions, and rules. For more details, see the conditions set out in law and Northern Ireland Department relevant regulations. for Communities’ guidance.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

12.3. Considerations other than the 12.1.5 In England, Wales and Gambling Act Scotland, if you hold a licence for the type of lottery you are In this section, ‘you’ means running, you must tell the a charitable institution or Gambling Commission about third-party fundraiser running a any matters that will have lottery for the benefit of a a significant effect on your charitable institution, unless we organisation or that the Gambling tell you otherwise. For lotteries, Commission would reasonably ‘society’ means the charitable need to be aware of when institution. carrying out its duties. For more information on what 12.3.1 If you are a society using a you need to tell the Gambling premium phone line to allow Commission about, see its people to enter your lotteries, licence conditions and you must meet the code of codes of practice. practice published by the PSA (the independent regulator of premium-rate services in the UK). A number of sections of its code 12.2. Role of the promoter are relevant to lotteries. In this section, ‘you’ means 12.3.2 If you are promoting society a charitable institution or lotteries, you must meet the Code third-party fundraiser running a of Non-broadcast Advertising and lottery for the benefit of a Direct and Promotional Marketing charitable institution, unless we (CAP code) and the Code of tell you otherwise. For lotteries, Broadcast Advertising (BCAP ‘society’ means the charitable code), including: institution. • CAP – 08 Promotional marketing; 12.2.1 The designated individual promoter • CAP – 16 Gambling; must be authorised in writing by the governing body of the society • CAP – 17 Lotteries; to act as a promoter. • BCAP – 17 Gambling; and

12.2.2 By law, the promoter is responsible • BCAP – 18 Lotteries. for making sure the lottery is run within the law and must make 12.3.3 In Northern Ireland, you must sure that anyone distributing and not send tickets that have been selling tickets is aware of the legal sold for a private or society rules that apply, even if they use a lottery through the post. subcontractor to sell the tickets.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

12.4. The draw 12.5. Procedure after the draw

In this section, ‘you’ means In this section, ‘you’ means a charitable institution or a charitable institution or third-party fundraiser running a third-party fundraiser running a lottery for the benefit of a lottery for the benefit of a charitable institution, unless we charitable institution, unless we tell you otherwise. For lotteries, tell you otherwise. For lotteries, ‘society’ means the charitable ‘society’ means the charitable institution. institution.

12.4.1 The draw must be witnessed 12.5.1 You must return all filled-in and you should make a record ticket stubs and payments to of the result. the promoter for audit purposes.

12.4.2 You must include all paid-for, 12.5.2 If the owner of a winning ticket valid ticket entries in the draw. donates their prize back to a society, this must be shown in your lottery’s 12.4.3 If you are going to transfer late accounting records as a donation. entries to the next draw, you must be clear about this when you sell 12.5.3 You must not make details of winners the ticket. public without their permission.

12.4.4 If, for any reason, the draw date 12.5.4 You must contact all winners needs to be delayed from that within seven days of the draw. shown on the ticket, you must take all reasonable steps to make 12.5.5 You must make all reasonable sure that everyone who has efforts to award prizes to the bought a ticket knows about the holders of winning tickets. change, and you must discuss it with the issuer of the licence.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

12.6. Prize competitions and free draws 12.6.2 To be a free draw the In this section, ‘you’ means a arrangement must either be charitable institution or third-party completely ‘free’ to enter, as fundraiser running a lottery for the defined in the Gambling Act, benefit of a charitable institution, or have a free method of entry, unless we tell you otherwise. which must also be as accessible as and no less convenient than paying to enter. Anyone taking part using the free method England, Wales and Scotland must have the same chance The Gambling Act does not apply to of winning as they would if prize competitions and free draws as they paid to enter. long as they meet the conditions set out in the act. The Gambling Commission has no regulatory responsibilities Northern Ireland relating to genuine prize competitions 12.6.3 Northern Ireland operates and free draws, but it does monitor the under rules preventing any boundary between them and lotteries form of purchase that allows to make sure that schemes claiming to you to enter a prize draw. be prize competitions or free draws are Often, promoters running not illegal lotteries. UK-wide prize draws will exclude people in Northern 12.6.1 To be a prize competition Ireland from the promotion. you must make sure that For Northern Ireland prize anyone taking part has a level draws, you must either exclude of knowledge or judgement people who live in Northern or displays an element of skill Ireland or find a ‘no-purchase that will prevent a significant necessary’ way to promote the proportion of people from prize draw in Northern Ireland. entering or from winning a prize.

Further guidance • The Gambling Commission: Prize competitions and free draws • The Gambling Commission: Running prize competitions and free draws

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

13. Grant-making bodies 13.3. After applications have been (including trusts and accepted or rejected foundations) In this section, ‘you’ means a charitable institution or Grant-making bodies make money third-party fundraiser. available to fund projects within their charitable, philanthropic or benevolent 13.3.1 You must strictly follow the purposes. This section includes standards administrative requirements of about applying for, receiving and using the grant-making body regarding these grants. payment. (These will depend on the terms and conditions that apply to the grant.) 13.1. Statutory funding 13.3.2 You must make sure that In this section, ‘you’ means both you and the grant-making a charitable institution or body understand and agree any third-party fundraiser. conditions that apply to the grant 13.1.1 You must follow any extra before you formally accept it. These rules that may apply for may include the grant-making statutory funding, such as body being involved in the work EU or government grants. (for example, by helping to manage it or by giving advice), or you publicly acknowledging their support. 13.2. Preparation and procedures 13.3.3 If your application is rejected, In this section, ‘you’ means you must only appeal or try to a charitable institution or persuade the grant-making body third-party fundraiser. to reconsider if you have a clear 13.2.1 In general, you must avoid mass reason for doing so, such as if mailings and cold-calling to there are clear mistakes in the grant-making bodies, except in facts used to make the decision, exceptional circumstances, for or if you are following the example a national disaster or grant-making body’s appeal emergency. procedures.

13.2.2 If you are giving a referee on an application, you must get their permission to include their details before submitting the application, and show them the application before you submit it.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

13.4. Reporting 14. Payroll giving and In this section, ‘you’ means post-tax salary donations a charitable institution or This section includes the standards for third-party fundraiser. promoting payroll and post-tax salary 13.4.1 If you want to spend a grant donation schemes in the workplace. It in a different way to what was includes meeting HMRC requirements originally planned, you must first and making sure that employers and get the grant-making body’s employees have clear expectations approval in writing, if that is a about how your scheme works. condition of the grant-making There are various types of fundraising body’s funding. within the workplace, and there are 13.4.2 You must closely follow reporting direct laws and self-regulation that you guidelines and requirements if should keep to. This code specifically they form conditions under a covers donations made direct from an grant contract. employee’s salary. This could take either of the following forms. 13.4.3 If there are likely to be serious • Payroll giving – a tax-efficient scheme problems with the funded work, where the donation is taken from you must tell the grant-making employees’ pay before tax is taken. body as soon as possible, and keep them informed as the matter • Post-tax salary donations – where develops. You must follow any employees’ donations are taken direct requirements in the contract from their salary after tax has been taken. relating to this. These schemes only apply to giving to charities, and all payroll-giving schemes must be run through a payroll-giving agency chosen by the employer.

Payroll-giving agencies receive employees’ donations, which the employer has taken through the payroll, and pass these to the relevant charities.

The Charitable Deductions (Approved Schemes) Regulations 1986 place certain requirements on employers. We have not mentioned these in this code, but it may be useful to be aware of them.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

The HM Revenue & Customs (HMRC) 14.1.2 If you are a professional website has a list of currently approved fundraiser, you must make sure payroll-giving agencies. that information relating to new donors is processed and passed As well as the standards in Part 2 to the charitable institution as Working with others, the following soon as possible. standards apply to fundraising through payroll giving. 14.1.3 If you are a professional fundraiser representing more than one charity, you must make sure they 14.1. Professional fundraisers and are all represented in a completely payroll giving neutral way. In this section, ‘you’ means a payroll-giving agency or a 14.2. Pre-tax payroll giving professional fundraiser involved in payroll giving, unless we tell In this section, ‘you’ means you otherwise. a payroll-giving agency or professional fundraiser involved in payroll giving, unless we tell For more standards on professional you otherwise. fundraisers, see section 7 Professional 14.2.1 As a payroll-giving agency, you fundraisers, commercial participators must have a written agreement and partners. in place with employers using your scheme. 14.1.1 If, as a payroll-giving agency, you 14.2.2 You must not offer benefits to use fundraisers who fall within the donors, and you must keep to the legal definition of aprofessional donor’s wishes relating to which fundraiser to promote charity or charities will receive payroll-giving schemes to their donation. employees, you must have a written agreement in place and 14.2.3 You must meet the requirements make sure that the fundraisers in The Charitable Deductions make the necessary solicitation (Approved Schemes) Regulations statements. 1986 and any amendments to these.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

14.2.4 If you (or an employer) are going 15. Legacies to highlight the different levels of tax relief, you must make sure Gifts in wills can be a particularly fundraisers have up-to-date sensitive area of fundraising, so it is information from HMRC. important that fundraisers have clear role boundaries. This section sets out 14.2.5 You must make sure that donors standards to avoid undue influence and are aware that, following a pressure and manage conflicts of interest payroll-giving promotion, they are while being sensitive to the wishes of the still free to choose to give to any person leaving the gift (the testator) and charity. any conditions they may attach to the gift.

For more information on the legal 15.1 Legacies – general requirements for payroll-giving responsibilities agencies, see the HMRC website. In this section, ’you’ means a charitable institution, unless we tell you otherwise. 14.3. Promoting committed giving in the workplace 15.1.1 You must make sure that all fundraising activity relating to In this section, ‘you’ means legacies considers: a payroll-giving agency or • the freedom of the person professional fundraiser involved leaving the legacy (the testator) in payroll giving, unless we tell to provide for their family and you otherwise. others; and 14.3.1 Before asking a group of • any sensitive circumstances of employees for donations, you the potential testator and their must agree conditions of access family and friends. with the relevant employer. 15.1.2 You must make sure fundraisers 14.3.2 If you are a fundraiser, you must do not provide legal advice. wear visible photo identity badges, Whenever legacy fundraising is provided by the organiser of the done by an external third party fundraising activity or the relevant who is a professional fundraiser, fundraising organisation, at all times. this fundraising must meet the legal obligations that professional 14.3.3 You must make sure that donors fundraisers have. are aware that they have the right to end an agreement to donate at any time.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

15.2.2 If you give a potential testator For more standards on professional suggested wording for legacies fundraisers, see section 7 Professional made to you to be included in fundraisers, commercial participators their will, you must make sure that and partners. the suggested wording is accurate (which may involve getting legal 15.1.3 If a person making a will asks you advice) and that you are clearly or any of your officers or employees identified (this will depend on to act as executor, you must carefully which country you are in, but will consider whether to agree, bearing in usually mean providing your full mind the duties and responsibilities name, company number, address of acting as executor and any and the registered office address if possible risks to you. you are a company, and registered charity number, if this applies). 15.1.4 If you are to be appointed as executor and take out the grant of 15.3. Communicating in person representation in your own name, you must have the power to do so In this section, ’you’ means (for charities in England and Wales a charitable institution, unless we this usually means that you must tell you otherwise. have trust corporation status). 15.3.1 You must be open about the reason for an invitation to an event 15.2. Written communications asking if it is about legacies or if legacies for legacies will be discussed and may be In this section, ’you’ means asked for. a charitable institution, unless we 15.3.2 You must not exploit beneficiaries tell you otherwise. or supporters by using them as 15.2.1 You must make it clear that the case studies or testimonials for contents of any communications legacy giving, and must respect are not intended to be legal advice their dignity and privacy. If you from you and that potential want to use case studies, you must testators should get their get permission from the testator (or own professional advice. if they have died, from the person responsible for the estate) if possible.

Effective October 2019 Part 3: Standards which apply to specific fundraising methods

15.3.3 You must not hold individual 15.4. Involvement of charitable face-to-face meetings in a institutions in making a will potential testator’s home to discuss legacies without that In this section, ‘you’ means a person having first had the charitable institution, but each opportunity to refuse the meeting. of the standards applies equally to the employees, agents and 15.3.4 In all visits to people who might subcontractors of the charitable consider leaving a legacy to you in institution. their will, you must make sure that your fundraiser: 15.4.1 You (or your fundraiser) must not draft, or be directly involved in • accepts the person’s right drafting, wills in your favour. to invite other people of their choice to be present at any stage of the meetings; 15.5. Fundraisers’ relationships with potential testators • reminds the person of the purpose of the visit; In this section, ’you’ means • makes sure that the meeting a charitable institution, unless we is carried out in a way and at tell you otherwise. a length that is sensitive to and Close relationships can develop between a suits their interests and concerns; fundraiser and a person considering leaving • accepts the person’s right to end a legacy to a charitable institution. This can the meeting at any time, and does sometimes benefit the fundraiser rather this promptly and politely; and than the charitable institution, and a legacy • makes and keeps attendance notes may be left to the individual fundraiser rather of meetings and communications than to you as the charitable institution. with the person on file. 15.5.1 If you are a fundraiser and you are 15.3.5 In all visits to people who might offered a personal legacy (rather consider leaving a legacy to you in than to the charitable institution), their will, you must make sure that you must explain to the person your fundraiser does not act in any making the will that if they want to way that a reasonable person give a legacy to you personally, you might judge to be threatening must tell your line manager at your or as putting undue pressure charitable institution about the gift. or influence on the person.

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Effective October 2019 Part 3: Standards which apply to specific fundraising methods

15.5.2 Your fundraisers must not take Further guidance advantage of being employed by • Charity Commission for England you to ask for a personal legacy. and Wales: Raising funds through If you believe that a fundraiser has wills and charitable legacies – for abused their position and has guidance on paying for wills with asked for a personal legacy, you charity funds must follow disciplinary procedures for dealing with these situations. • Institute of Legacy Management: Good Practice Guidance – for guidance on the ethics of 15.6. Paying for wills with charity funds legacy fundraising

In this section, ’you’ means a charitable institution, unless we tell you otherwise. 15.7. After a legacy has been made

15.6.1 There are considerable risks to In this section, ’you’ means you in paying the costs involved a charitable institution, unless we in making a will which includes a tell you otherwise. legacy to you, so it is discouraged. But if you want to do this, you: Ongoing contact with testators • must not insist that you receive a 15.7.1 You must respect the wishes of legacy or that you are appointed the testator if they tell you they as executor in exchange for don’t want to receive any further paying for the will; marketing communications from • must always recommend to the you (which would include any person making the will that they fundraising requests) or, wherever should get independent legal possible, if they ask for a certain advice; and level of contact. • must make it clear to the person 15.7.2 If a testator asks you to explain to making the will that the solicitor family members why they are not or other will writer will be acting included in their will, you must only in their interests and on refuse or say that you can only their instructions. explain why you need the legacy.

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Effective October 2019 Part 3: Standards which apply to specific fundraising methods

Legacies where conditions or 15.7.6 If a legacy is left under the restrictions apply condition that it is used for 15.7.3 If you can meet the conditions a particular purpose, you must and you accept a legacy, you not use the legacy for a different must follow those conditions. purpose without proper authority from the Charity Commission for 15.7.4 If a legacy is left under the England and Wales, OSCR or condition that it is used for a Charity Commission for Northern particular purpose or project, but Ireland, or the Attorney General for you cannot meet that condition, Northern Ireland. you must contact the testator’s personal representatives before Recognising legacies accepting the legacy. 15.7.7 You must respect the testator’s 15.7.5 If you are a charity and receive or their estate’s wishes about any a legacy for a specific purpose, public recognition of the gift. you must contact the Charity Commission for England and Wales, OSCR or Charity Commission for Northern Ireland (as appropriate) for help if: • the purpose has been fulfilled or otherwise provided for; • the money or gift can no longer be used for that purpose; • the purpose is no longer a charitable purpose; or • the intended purpose has stopped being a suitable and effective use of the money or does not provide a use for all the money.

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Effective October 2019 benevolent body Glossary (in the context of solicitation statements in Scotland) This section defines the key terms Any organisation in Scotland, used in the code. You should read whether or not it is a charity, all definitions within the context of which has been set up for the code. charitable, benevolent or philanthropic purposes. A See also ‘philanthropic or abandoned call benevolent organisations’. A phone call that ends when the person contacted picks up benevolent fundraiser the receiver. Instead of a person (in the context of solicitation on the other end of the line, the statements in Scotland) person receiving the call hears an A benevolent body or any company information message stating that connected to it, any person who an organisation had tried to call, manages or controls it or any but no operators were free to employees or agents of either of make the call. those people or of the benevolent body or connected company. B benevolent fundraising beneficiary Asking for money or promises of The beneficiaries of a charitable money for the benefit of benevolent institution are the people or or connected companies, or organisations that fall within the for charitable, benevolent class of people who will or may be or philanthropic purposes. helped by the charitable institution. In the case of an appeal or a will, a beneficiary is a person or benevolent organisation organisation who will or may See ‘philanthropic or benevolent receive a benefit from the organisations’. appeal or the will.

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Effective October 2019 C charity A body which is recognised as a certificate of authority charity under the relevant laws of A certificate that shows that England and Wales, Scotland or a fundraiser is legitimately Northern Ireland. volunteering or working for a particular charitable institution. charity short codes In some cases a collector will need A range of text-messaging to carry a certificate of authority short-number sequences in the issued by the Stationery Office as 70000 to 70999 range designed to a condition of getting a licence. be easier for donors to read, remember and make a donation challenge events through than full telephone Fundraising events that raise numbers. Service providers and money through sponsorship of charities use this range to make a person or group of people who their donation facility intend to complete a specific task, distinguishable from for example, run a marathon, other short-code services. climb a mountain, or cycle or walk a certain distance. cold-calling Making an uninvited visit or phone charitable institution call where the person or charitable A charity (registered or institution calling or visiting has unregistered) or voluntary no previous relationship with the organisation established for person they are contacting. purposes which may not be strictly charitable in law, but which collecting box are philanthropic or benevolent. A box or other container for cash contributions. See also ‘philanthropic and benevolent organisations’. charitable purpose A purpose which is considered to be charitable in terms of the relevant laws of England and Wales, Scotland or Northern Ireland.

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Effective October 2019 collection commercial participator • A collection of money or sale of Any person who carries on a articles on the public highway. business (other than a professional fundraising business) and, in the • A collection of money or other course of that business, promotes property house-to-house. goods or services on the basis that it • A collection of money or other will make donations to a charitable property on private land. institution. (This does not include a See also ‘house-to-house connected company.) An example collection’ and ‘street collection’. is a mineral-water producer who donates 10 pence to a charity for every bottle of water it sells. collector A person collecting in a Fundraising businesses house-to-house collection, street and businesses connected to collection or collection on private charitable institutions are not land. commercial participators.

See also ‘collection’. connected company A company owned or controlled by commercial partner or partnership one or more charitable institutions. (referred to as a ‘corporate partnership’ in previous versions of the code) A partnership between a charitable institution and a commercial company where the commercial company provides money, skills or other resources to the charitable institution. If part of the support provided involves the commercial partner directly asking for donations, they will fall within the definition of a ‘third- party fundraiser’, and in some cases, a ‘commercial participator’.