Committees reporting to the Commission Board

The Board has established an Audit and Risk Assurance Committee to support it, and to support the Chief Executive as Accounting Officer in her/his responsibilities for ensuring the adequacy of risk management, internal controls, efficient and effective use of public funds and financial governance arrangements within the Commission. This includes:

  • accounting policies
  • the annual report and accounts of the Electoral Commission, including the process for review of the accounts prior to submission for audit; and management‘s letter of representation to the National Audit Office
  • matters relating to the National Audit Office
  • the adequacy of management response to issues identified by audit activity
  • expenses 
  • proposals for tendering for audit services, or for the purchase of non-audit services from contractors who provide audit services

The Audit and Risk Assurance Committee comprises three members and meets at least three times a year. Three Commissioners are appointed by the Board to the Audit and Risk Assurance Committee. The Board appoints an Independent Adviser to the Audit and Risk Assurance Committee who is a suitably qualified independent person who has no connection with the Commission. The Commission Board also appoints the Chair of the Committee.

The Chair of the Commission may not be appointed as a member of the Audit and Risk Assurance Committee.

Members of the Audit and Risk Assurance Committee and the independent adviser will normally serve for three years, unless a member ceases to be a Commissioner or asks to stand down. They may be re-appointed for a further period, normally not exceeding three years.

The Audit and Risk Assurance Committee minutes will be circulated to the Board and a report of the work of the Audit and Risk Assurance Committee will be presented annually to the Board.

The Audit and Risk Assurance Committee’s terms of reference are attached at Annex G.

The Commission’s Remuneration and Human Resources Committee comprises three Commissioners and meets at least three times a year.  The Commission Board appoints the Chair of the Committee.

The Remuneration and Human Resources Committee has responsibility for:

  • approval of significant changes to organisational structure and/or overall staff terms and conditions of employment and any impact of the change such as termination of contracts
  • approval of significant changes to the structure of the Executive Team
  • supporting the Chair in the recruitment of the Chief Executive, including recommending to the Board the composition and membership of the Appointment Panel
  • recommending to the Board the framework for the remuneration of the Chief Executive, if different from the framework applying to all other staff
  • agreeing the annual negotiating remit for staff pay awards (including the Executive Team)
  • recommending to the Board the composition and membership of the Appointment Panel for the Independent Adviser / Chair to the Audit and Risk Assurance Committee
  • setting the fee of the Independent Adviser to the Audit and Risk Assurance Committee
  • Strategic oversight of the internal issues in the EDI Strategy and Action Plan

It also acts as an advisory group on the extent to which organisational development and strategic Human Resource matters support the Board’s strategic direction for the Commission.

Members of the Remuneration and Human Resources Committee will serve for three years, unless a member ceases to be an Electoral Commissioner or asks to stand down. They may be re-appointed for a further period not exceeding three years.
The minutes of the Remuneration and Human Resources Committee will be circulated to all members of the Board at its next available meeting, for information.

The Committee’s terms of reference are included at Annex H.

The Board has established a subcommittee, the EDI Committee, to support it, and to support the Chief Executive as Accounting Officer, in promoting cultural change and delivering the Commission’s commitments and obligations in equality, diversity and inclusion.

The EDI Committee will be responsible for:

  • Strategic oversight and challenge of and advice on the delivery of the Commission’s EDI Strategy and NI Single Equalities Scheme;
  • Working with the Executive and with RemCo, which takes particular oversight of internal EDI issues, to embed new initiatives and ways of working to enhance the Commission’s focus on EDI;
  • Monitoring progress on the Commission’s delivery of its EDI Strategy and Action Plan and the NI Single Equalities Scheme;
  • Ensuring that risks are identified and managed and reported to Audit and Risk Assurance Committee (ARAC) and the Board;
  • Supporting the Executive and reporting to the Board in maintaining focus on an approach which embeds and communicates equality, diversity and inclusion in the Commission’s work with voters, campaigners and those standing for office;
  • Supporting the Executive in embedding EDI throughout its policies and procedures;
  • Providing assurance to ARAC that the Commission is fully compliant with its statutory and regulatory responsibilities including the Public Sector Equality Duty (PSED), publication of equalities information and compliance with mandatory reporting and action planning;

The EDI Committee will make an annual report to the Commission Board on its work

The EDI Committee comprises three members and meets at least three times a year. Three Commissioners are appointed by the Board to the EDI Committee. The Board may appoint an Independent Adviser on EDI to serve on the Committee and to advise the Board on EDI matters. The Commission Board also appoints the Chair of the Committee.

Members of the EDI Committee will serve for three years, unless a member ceases to be an Electoral Commissioner or asks to stand down. Members may be re-appointed for a further period not exceeding three years, or until the expiry of their term as a Commissioner (if that is sooner). The Independent Adviser will serve on the Committee for the full duration of their term.

Development and strategy events

Development and strategy events

The Commissioners may also attend development and strategy events, referred to as ‘Commissioner Days’. The purpose of such events will be to provide an opportunity for Commissioners to reflect more thoroughly on strategy and key issues and also to develop their working practices.

In such circumstances Commissioners do not have delegated powers and are not acting as a decision-making body. The membership, terms of reference, and arrangements for such events are decided by our Board, and progress monitored and reported for the information of the Board.

Linked Commissioners

Periodically the Board may invite Commissioners to be a point of contact or Linked Commissioner for staff on an issue or project. In such circumstances Commissioners do not have delegated powers and are not acting as a decision-making body. The appointment, scope, and life of such a request are decided by the Board, and progress monitored and reported for the information of the Board.

Review of the corporate governance framework

The Board will review the corporate governance framework on an annual basis. The General Counsel is responsible for the operation of the scheme of corporate governance to ensure that the aims and principles of the framework are given full effect.

Changes to the framework will only be approved by the Board, except when the General Counsel makes and publishes the following changes:

  • such changes as may be necessary to reflect or as may be necessary to comply with or give effect to any legislative changes or requirements
  • such other changes of an editorial or consequential nature as may seem appropriate to make the framework of governance internally consistent, up-to-date and readily understandable

The General Counsel shall ensure that Commissioners are informed of the changes in addition to any other means of publishing changes.

The General Counsel will ensure that the framework is made widely available to Commissioners and staff, is published on the Commission website and is updated as necessary.

The Chief Executive

The Chief Executive

The Chief Executive is responsible for ensuring that the Chair and Board have timely, accurate and clear information, as required, to carry out their responsibilities.

The Board has delegated authority (see paragraph 4.2 below) for the day-to-day management of the Commission to the Chief Executive. S/he therefore has responsibility for the overall organisation, management and staffing and for its procedures in financial and other matters including conduct and discipline. This involves the promotion, by leadership and example, of the values embodied in the Nolan Principles. Commissioners should support the Chief Executive in undertaking this responsibility.

The Commission’s Delegated Powers are the arrangements described in Part 4 of this document.

The Chief Executive is in turn authorised to delegate matters to other Commission staff, and those delegations are set out in an Executive Scheme of Delegation.

The Chief Executive is the Commission’s Accounting Officer as designated by the Speaker’s Committee pursuant to paragraph 19 Schedule 1 of the Act. This role carries with it personal responsibility to ensure that appropriate advice is given to the Commission on all matters relating to financial propriety and regularity, for keeping proper accounts and for the efficient and effective use of resources. As Accounting Officer, the Chief Executive is answerable to the UK Parliament, the Scottish Parliament, and Senedd for ensuring that all the resources available are used properly and give good value for money.

Political activity

For the Commission to perform effectively the functions given to it by Parliament, it must command wide confidence that it is independent of government and of political parties.

Commissioners and the Chief Executive must provide to the Commission full details of any activities that might lead to claims that they are or have been an active supporter of one political party or another, or of a particular policy which is associated with the objectives of a political party, or of an outcome that is (or may be) the subject of a referendum, recognising that Commissioners appointed under the amendments to PPERA brought about by the Political Parties and Elections Act 2009 are entitled to be members of a political party.

Failure to provide all relevant information regarding political activity may be grounds for removal from office or post. A Commissioner or the Chief Executive may be regarded as unfit to continue in that office or post should they engage in any activity that might call into question the Commission’s political impartiality or cause risk to public confidence in the Commission, whether actual or perceived.

Further details of prohibited activity are set out in the Code of Conduct for Electoral Commissioners at Annex J to this Framework.

The appointments of Commission staff, including the Chief Executive, are also subject to statutory requirements set out in PPERA. The Chief Executive is subject to an additional disqualification to other staff, which effectively means that s/he is subject to the same disqualifications as Commissioners who are not nominated by political parties (the disqualifications are set out at PPERA Schedule 1, paragraph 3, which is included in Appendix 1 of the Electoral Commissioners’ Code of Conduct).
 

Powers reserved to the Board

  • Consideration and approval of the Corporate Governance Framework including delegated powers, Standing Orders and Prime Financial Policies.
  • Consideration and approval of the Code of Conduct for Electoral Commissioners.
  • Establishment of committees of the Board; appointment of members of committees; appointment of the Chairs of committees; appointment of the Independent Adviser to the Audit and Risk Assurance Committee and agreement of terms of reference of committees.
    • Schedule 1 paragraphs 8,9 and 10

  • Setting the strategic direction.
  • Periodic review of key Commission policy positions.

  • Consideration and approval of the key principles and approach to informing the content of the Commission’s budget, and Corporate Plan.
    • Schedule 1 paragraphs 14 and 15
  • Variations to the approved budget where the variation would have a significant impact on the overall approved levels of income and expenditure. A financial variation shall be treated as significant if it involves incurring one-off expenditure of £2 million or more, or recurring expenditure of £250,000 or more per annum.

 

  • Approval of key messages in annual reports and adoption of accounts (includes reporting on use of investigatory powers and civil sanctions and the annual reports for the performance of the Commission’s devolved functions in Scotland and Wales).
    • Schedule 1 paragraphs 17 and 20 and 20A
    • Schedule 19B paragraph 15 and Schedule 19C paragraph 27
    • Local Administration (Scotland) Act 2011

  • Final approval, together with the Accounting Officer, of Main or Supplementary Estimates to any of the parliaments of the United Kingdom.
    • Schedule 1 paragraphs 14 and 15

  • Consideration of regular performance and finance monitoring reports.

  • Satisfy itself that there are appropriate risk management arrangements in place for the Commission.
  • Determine the Commission’s risk appetite.

  • Approval of significant changes to overall staff terms and conditions of employment.
    • Schedule 1 paragraph 11
  • Appointment and termination of employment of the Chief Executive including approval of remuneration recommendations from the Remuneration and Human Resources Committee.
    • Schedule 1 paragraph 11
  • Decisions relating to the Chief Executive’s contract terms, remuneration and any bonus, if different from the framework applying to all other staff, will be taken by the Board, on the recommendation of the Remuneration and HR Committee.

Significant publications means any work of sufficient significance to merit consideration by the Chair and the Chief Executive, and, in some instances, by the Board. This includes: Corporate Plan, Annual Report, statutory reports including election reports and significant policy reports, significant published guidance and significant research reports.

  • Where the Chair and Chief Executive have identified a significant publication that merits consideration by the Board, agreement in advance to the key messages, the plan for the publication, and for communication and implementation.

  • Approval of strategies and expenditure to meet this statutory duty.
    • Section 13

  • Approve approach to consultation responses or other public positions which are either beyond agreed policy or of major public or political significance.

  • Approval of the overall framework of performance standards and reviewing the development of performance standards.
    • Sections 9A and 9B

  • Approval of enforcement policy.
    • Schedule 19B paragraph 14
  • Receive emerging and final recommendations to Secretary of State for review of candidate spending limit review.
  • Receive periodically for the purpose of monitoring and review a summary of PEF statutory decisions taken.

  • Approve and keep under review the scheme for the allocation of policy development grants to political parties, submitting recommendations for terms and change to the Secretary of State.
    • Section 13

  • Approve minutes of Board meetings.

  • Approval of decisions to initiate or defend litigation in respect of matters which are of public, political, financial or reputational significance.

  • Agree participation in and reporting on pilot schemes.
    • Section 9

  • Approve any recommendations of the Commission to the Secretary of State.
    • Section 8

  • Approve the approach to question assessment, and the assessment itself.
    • Section 104 (and if applicable Section 10)
  • Approve the approach and budget for public awareness campaigns.
  • Section 13
  • Agree the framework for designating lead campaign organisations for each referendum, and designate.
    • Sections 108 and 109
  • Approve the framework for allocation of grants to campaign organisations.
    • Section 110

Decisions/duties delegated by the Board to committees

  • Provision to the Board of assurance that appropriate risk, internal control and governance processes are in in place across the Commission.
  • Approval of the Risk Management Framework and regular review of the Commission’s strategic, corporate and directorate risks.
  • Confirmation of the Annual Assessment of Information Risk Management.
  • Review of the Annual Governance Statement and to recommend approval of the Statement by the Accounting Officer as appropriate.
  • Review of the accounting and financial policies and the annual accounts of the Commission and to recommend to the Commission Board that it adopts the accounts and to the Accounting Officer that s/he sign the accounts as appropriate.
  • Recommend to the Commission Board any amendments of the financial policies.
  • Review the plans and reports of the National Audit Office and management responses to any proposals.
  • Approval of the process of appointment of an internal audit service for the Commission.
  • Agreement of the strategic and annual internal audit plans.
  • Review the reports of the internal audit service and management responses to any proposals.
  • Approval of any proposals for the purchase of non-audit services from contractors who provide audit services.
  • Approval of the Whistleblowing Policy.
  • Approval of the Anti-fraud and anti-bribery policy.

  • Approve the framework for the total benefits package (remuneration and employee benefits) for all staff of the Electoral Commission (including the Executive Team)
  • Recommend to the Board the remuneration of the Chief Executive, if different from the framework applying to all other staff, together with decisions (recommendations) relating to the Chief Executive’s contract terms, remuneration and any bonus.
  • Review the on-going appropriateness and relevance of the total benefits framework and propose amendments to the Board as appropriate.
  • In determining frameworks and policies for the total benefits package, take into account that:
    • members of staff should be provided with appropriate incentives to encourage enhanced individual and collective performance in a fair and responsible manner
    • members of staff should be rewarded for their individual contributions to the success of the Commission
    • the Commission must observe its obligations under PPERA
  • Approve significant changes to organisational structure and/or overall staff terms and conditions of employment and any impact of the change such as termination of contracts.
  • Review an annual report to the Committee of any terms, or payments made on termination of employment to ensure that failure is not rewarded and that the duty to mitigate loss is fully recognised. The Chair of the Committee will be notified in advance of making such terms and payments (e.g. settlement agreements).
  • Request any reports or surveys which the Committee deems necessary to help it fulfil its obligations, for example salary benchmarking reports or information about remuneration in other bodies.
  • Recommend to the Board any changes to the fee for the Independent Adviser to the Audit and Risk Assurance Committee. It is anticipated that any increase will be in line with that awarded to Commissioners.
  • Recommend to the Board the composition and membership of the Appointment Panel for recruitment of the Independent Advisor to the Audit and Risk Assurance Committee.
  • Support to the Chair in the recruitment of the Chief Executive, including recommending to the Board the composition and membership of the Appointment Panel for recruitment of the Chief Executive.
  • Report annually to the Board on the work of the Committee.
  • To act as an advisory group as required on such matters as:
    • the overall approach and scope of the HR strategy particularly relating to organisational design, significant restructuring or change programmes
    • major trade union or industrial relations issues affecting the whole Commission
    • organisational development relating to the beliefs, values, culture and effectiveness of the Commission

Decisions/duties delegated by the Board to the Chief Executive and decisions/duties of the Chief Executive as accounting officer

  • All responsibility for the day-to-day management of the Commission. Where a matter is not specifically reserved to the Board, or a sub-committee, the Chief Executive has authority to act subject to the following conditions:
    • any relevant approved Commission policy shall be complied with
    • any expenditure shall be within the agreed budget
  • The Board authorises the Chief Executive to appoint other members of staff of the Commission to act on the Chief Executive’s behalf. Delegations should be recorded in an Executive Scheme of Delegation.

Approval of the policy for payment of Commissioner fees and travel and subsistence claims (annually, as part of the review of the Corporate Governance Framework).

The accounting officer has personal responsibility for:

  • regularity and propriety
  • selection and appraisal of programmes and projects
  • affordability and sustainability
  • value for money
  • management of opportunity and risk
  • learning from experience
  • accounting for the organisation’s financial position and transactions

The accounting officer must personally sign within the annual report and accounts

  • the statement of financial position
  • the performance report (management commentary)
  • the governance statement
  • the remuneration report
     

the annual accounting officer’s certificate confirming his satisfaction with the administration of pensions
And, having been satisfied that they have been properly prepared to reflect the business of the organisation, must personally approve:

  • voted budget limits
  • the associated Estimates Memorandum

The Chief Executive as Accounting Officer or the Director of Finance and Corporate Services may authorise employee severance payments which fall outside of the Civil Service Compensation Schemes, subject to advance notice to the Chair of the Remuneration and HR Committee, and an annual report to the Committee of any such payments.

When the accounting officer is absent and cannot readily be contacted, another senior member of staff should deputise. If a significant absence is planned, the accounting officer, or in their absence the Director of Finance and Corporate Services, may invite the Speaker’s Committee to appoint a temporary acting accounting officer.

Page history

First published: 11 July 2024

Last updated: 11 November 2024