Discipline Board – meetings and notes

Published note of the meeting of the ICAS Discipline Board on 13 June 2024 at 10:00 am
CA House, Haymarket Yards, Edinburgh

Some matters have not been disclosed for reasons of confidentiality

Present:Peter Anderson (Chair), Liam Boyle CA, Andrew Jones (Lay Member), Robert Mudge (Executive Director of Regulation), Claire Probert CA.

In attendance:Bruce Cartwright CA (Item 7 only), Helen Howden (ICAS Secretary), Laura Spowart CA (Director of Investigations).

1.INTRODUCTION
The Chair opened the Board’s second meeting of the year, thanking those present for accommodating the change of date. A special welcome was extending to Helen Howden, who was observing the meeting in her capacity as ICAS Secretary.

It was noted that Bruce Cartwright, ICAS’ Chief Executive, would attend at the end of the meeting to provide an update to the Board.
An apology was noted from John Anderson (Lay Member). There were no declarations of interest.

2.REPORT FROM THE EXECUTIVE DIRECTOR OF REGULATION
The Board discussed some of the key points in Mr Mudge’s report as follows:

Tribunal Clerk
The Board was disappointed in the lack of interest in the role, which was advertised by ICAS in April, agreeing further steps to be taken to highlight the vacancy.

New Regulation Board Chair
The Board was pleased to note that John Sutherland has been appointed as Chair of the Regulation Board, with closer collaboration between the Boards intended for the future, including cross-attendance at meetings.

Regulation of tax agents consultation
The Board noted that ICAS has recently responded to the consultation on the regulation of tax agents, expressing support for mandatory membership of a recognised professional body for all agents.

If ICAS does ultimately extend its remit to include currently unregulated tax agents, this could have an impact on the number of complaints received and the tribunal workload.

AI update
Noting the upcoming trail of some AI tools in the regulatory teams, the Board discussed potential advantages and risks in the expanding use of AI technologies by ICAS and other professional bodies.

3.UPDATES
Mr Mudge and Ms Spowart provided updates on:

• The withdrawal of an appeal from a member who had been challenging the Authorisation Committee’s withdrawal of his practising certificate.
• Two applications to the Independent Reviewers Panel, to review two complaints dismissed by the Investigation Committee.
• Cases recently closed by the Investigation Committee, with the Board noting a number of self-referrals from members facing criminal charges.

4.PUBLICITY HELPSHEET
The Board considered and approved changes to a draft publicity helpsheet which had been made following a discussion at its meeting in February, noting the approval of the Investigation Committee.

The helpsheet will be published on the ICAS website and provided to members/defenders where appropriate.

5.INVESTIGATIONS ANNUAL REPORT 2023
Ms Spowart presented the report to the Board, noting the relative year-on-year consistency in respect of complaint numbers, themes, outcomes etc. The small number of complaints means that caution is required when drawing conclusions.

This consistency means there is greater scope for communication and education in relation to common complaint issues. However, the problem remains that higher-risk members may be less likely to access the messages.

The Board noted the report and thanked Ms Spowart for her insight.

6.  REVIEW OF SUPPORT FOR DEFENDERS
The Board considered a paper from Mr Mudge setting out some options for further support which could be provided to defenders in relation to information on the tribunal process, and also potential sources of advice.

The Board was content for further thought to be given to all the options set out in the paper, leaving this with Mr Mudge to progress.

7.GUEST SPEAKER – BRUCE CARTWRIGHT CA
Mr Cartwright attended the meeting for this item to provide the Board with an update on the 2030 Strategy. Good progress has been made in the two years since the strategy was agreed by Council, with significant changes to the CA syllabus and the student experience, as well as the launch of the new ICAS brand. A key theme throughout all of this is ethical leadership, which is strongly emphasised to new members on admission.

Challenges remain and are being addressed wherever possible. One of these is the decline in the number of regulated firms, particularly in audit.

Mr Cartwright provided further information in responses to questions on AI, senior member support, and possible partnerships with other professional bodies.

The Board thanked Mr Cartwright for attending the meeting and providing this update.

Published note of the meeting of the ICAS Discipline Board on 15 February 2024 at 10:30 am
CA House, Haymarket Yards, Edinburgh / Microsoft Teams

Some matters have not been disclosed for reasons of confidentiality

Present: Peter Anderson (Chair), Liam Boyle CA, Robert Mudge (Executive Director of Regulation).

By Teams: John Anderson (Lay Member), Andrew Jones (Lay Member), Claire Probert CA.

1.INTRODUCTION
The Chair welcomed everyone present to the Board’s first meeting of 2024.

While there were no apologies, Mr Mudge noted that he would present the Investigation Committee update, with Ms Spowart on holiday. There were no declarations of interest.

2.REPORT FROM THE EXECUTIVE DIRECTOR OF REGULATION
The Board discussed some of the matters noted in Mr Mudge’s report as follows:

Disciplinary Strategy
The Board reviewed and approved the formatted version of the new strategy document, complementing the design work. Mr Mudge said that he would liaise with the ICAS Communications Team to publish and otherwise raise awareness of the document.

Board evaluation
The Board reviewed the summary of its annual self-assessment feedback, and was pleased to note that it was  very positive. For wider context, Mr Mudge provided information on the feedback received from the Regulation Board and the Regulatory Committees.

Audit / insolvency update
With demographic and cost challenges in some of ICAS’ regulatory schemes, the Regulation Board will be undertaking deep dive reviews in 2024. Given the impact regulatory schemes on complaint / tribunal workloads, these discussions are of key importance to the (Discipline) Board, with updates at future meetings.

Mr Mudge outlined the challenges which ICAS has experienced recently in trying to transfer the caseloads of two Insolvency Practitioners. This is something to keep an eye on, with ICAS engaging with the Insolvency Service and other professional bodies.

3.UPDATES
Mr Mudge provided updates on:

• An Appeal Tribunal hearing which is scheduled for March.
• The conclusion of an interim suspension order.
• Cases recently determined by the Investigation Committee, with the Board noting the number of cases involving criminal (or potentially criminal) matters.
• The continued lack of applications for Independent Review.

4.PUBLICITY HELPSHEET
The Board reviewed an amended helpsheet providing information on the publication of orders by the Investigation Committee and the Tribunals. While the Board was happy with the drafting, it asked for further consideration to be given to the timescales for publication of exclusion notices on the ICAS website.

5.TRIBUNAL CLERK
With the current Clerk due to retire in 2024, the Board had a detailed discussion of the current responsibilities of the role, considering options for how best to proceed with the role.

Mr Mudge agreed to provide further information out of meeting, to allow the Board to finalise its views on the most appropriate course of action.

6.  INDEPENDENT REVIEWER PROCESS
Mr Mudge presented a short summary of the paper, emphasising the need for the Board to be aware of the Independent Reviewer process, given that it falls under its remit.

The Board noted that very few applications for review are submitted, with none received in recent years. However, there is no reason to believe that complainers aren’t aware of their to apply, with full information included in all closure letters.

Even if reviews are not frequently requested, they remain an important part of the investigation process, strengthening the independence and integrity of the decision-making process.

The Board was therefore satisfied that the process should remain in place.

Published Note of the meeting of the ICAS Discipline Board on 24 November 2023 at 10:30 am
Held at CA House, Haymarket Yards, Edinburgh

Some matters have not been disclosed for reasons of confidentiality

Present:Peter Anderson (Chair), John Anderson (Lay Member), Liam Boyle CA, Andrew Jones (Lay Member), Robert Mudge (Executive Director of Regulation), Claire Probert CA

In attendance:Laura Spowart (Director of Investigations)

1.BACKGROUND
The Chair welcomed everyone present to the Board’s final meeting of the year.

There were no apologies for the meeting, with no declarations of interest recorded.

2.REPORT FROM THE EXECUTIVE DIRECTOR OF REGULATION
Mr Mudge spoke to some of the matters noted in his report as follows:

Regulation Board update
The Board noted that a new Chair of the Regulation Board is expected to be appointed soon. It was agreed that he or she should be invited to attend a meeting of the (Discipline) Board in 2024, with Mr Mudge noting that the Chair could attend a meeting of the (Regulation) Board. It is appropriate that the respective Boards should have a good working relationship.

Publicity timing
The Board confirmed that it is happy in principle for publicity notices to be issued as soon as a decision is taken, clearly stating that the decision may be appealed. If changes are to be progressed then amended Regulations will be referred to the Board in due course in 2024.

OPBAS update
Mr Mudge referred the Board to ICAS’ response to the Government’s consultation on AML supervision, which was submitted in September. The expectation is that the Government will confirm how it intends to proceed in March 2024. There is no certainty over which option will be favoured, with some of the professional bodies expressing different views.

If AML supervision is taken away from ICAS then this could have an impact on the number of referrals to Discipline and Appeal Tribunals.

Insolvency Service update
Almost two years after the intention was confirmed, the Government announced in September that it would not be pursuing a single regulator for insolvency. Instead, the Insolvency Service will work closely with the four professional bodies to identify improvements which can be made to the existing regulatory framework (including some form of firm regulation). There have already been meetings to discuss next steps.

Communications and engagement
Further to the actions listed in Mr Mudge’s report, it was agreed that additional effort should be made to engage with the members of the Discipline & Appeal Panel. For example, Mr Mudge could share the public note of each Board meeting to provide more information about the work of the Board, which directly impacts the Panel members.

3.UPDATES
Miss Spowart provided an update on the member currently subject to an interim suspension order. No other cases are presently before a Discipline or Appeal Tribunal.

Mr Mudge confirmed that no applications have been made to Independent Reviewers to date in 2023.

Miss Spowart reported to the Board on the investigations process, with key updates noted as follows:

• Complaint numbers were now in line with previous years, with the lower number in 2022 seeming to be an exception.
• The aim is for the investigation process KPIs to be satisfied by the end of the year, failing which in early 2024.
• A deep dive report on the investigation process will be presented at the Board’s second meeting in 2024, with information on complaint types included.

The Board approved a recommended amendment to ICAS’ Sanctions Guidance in relation to the treatment of findings of dishonesty.

4.STRATEGY SESSION
The Board resumed the strategy session which had started at its previous meeting in August, with a discussion of operational projects for 2024/25. The discussion culminated in agreement over a list of projects, as well as the approval of a strategy document to be published in early 2024.

5.COSTS GUIDANCE
Mr Mudge referred the Board to the updated version of the draft guidance on costs awards, explaining the changes which had been made since the discussion of the previous draft in August. The key change is new wording on indicative costs, which aims to provide defenders with a better understanding of the likely level of costs, whilst retaining the discretion of the tribunal.

While the Board was happy with the new wording, it was agreed that an additional section should be added to address awards of costs made against ICAS in favour of a defender. Mr Mudge confirmed that he would add a further section to the document, and then share a fresh draft with the Board out of meeting. This should then allow the document to be finalised, with Mr Mudge to liaise with the Discipline & Appeal Panel members to ensure they are aware of the new guidance.

Published Note of the meeting of the ICAS Discipline Board on 11 August 2023 at 2pm
Held at CA House, Haymarket Yards, Edinburgh, with remote attendance also

Some matters have not been disclosed for reasons of confidentiality

Present:Peter Anderson (Chair), John Anderson (Lay Member), Liam Boyle CA (via Microsoft Teams), Andrew Jones (Lay Member), Robert Mudge (Executive Director of Regulation), Claire Probert CA (via Microsoft Teams)

In attendance:Charlotte Barbour (Director of Regulatory Authorisations); Laura Spowart (Director of Investigations)

1.BACKGROUND
This was Peter Anderson’s first meeting since his appointment as Chair of the Board in February.

There were no apologies for the meeting, with no declarations of interest recorded.

2.REPORT FROM THE EXECUTIVE DIRECTOR OF REGULATION

Mr Mudge referred the Board to his report, highlighting the following items:

OPBAS update
The Government’s consultation on AML supervision has been launched, with ICAS preparing a response in advance of the 30 September deadline. With maintaining the status quo seemingly off the table, there are four options for consideration, of which ‘OPBAS+’ is favoured by the accountancy supervisors.  If AML supervision is taken away from ICAS then this could have an impact on the number of referrals to Discipline and Appeal Tribunals.

Insolvency Service update
Referring the Board to a recent decision of the Insolvency Service, Mr Mudge noted that, were a tribunal to suspend an IP’s licence, or impose restrictions or conditions, there would be an expectation on ICAS to ensure that the IP complies.

Costs guidance for Tribunals
The Board reviewed draft guidance on the award of costs by Discipline and Appeal Tribunals. While Board members were supportive of the guidance, it was agreed that additional wording should be added in respect of indicative sums and also the breakdown of costs in an award. Revised guidance will be considered by the Board at its meeting in November.

3.UPDATES
Mr Mudge provided a Discipline & Appeal Tribunal update, noting that there had been no cases determined by a Discipline or Appeal Tribunal since the Board’s meeting in December 2022, with no cases pending.

Mr Mudge also confirmed that there have been no applications made to Independent Reviewers to date in 2023.

Ms Spowart referred the Board to the report from the Investigation Committee, providing a summary of cases which had recently been determined by the Committee, as well as the applicable KPIs.

4.SANCTIONS GUIDANCE
The Board considered proposed amendments to ICAS’ Sanctions Guidance in relation to findings of dishonesty. Whilst supportive of the changes, the Board agreed that the proposed amendments should be tweaked to better secure the discretion of the decision-makers, with wording provided to Miss Spowart, who confirmed that she would share an updated draft with the Board out of meeting.

Once the Board is satisfied with the wording, the amended guidance will be presented to the Regulation Board before being finalised.

5.STRATEGY SESSION
The Board held a strategy session based on a PowerPoint presentation which had been shared at the beginning of July, with four broad topics for discussion:

• Future vision for ICAS’ disciplinary processes
• Sustainability of processes
• Role of the Discipline Board
• Operational project

Due to time constraints, the Board agreed to carry over the fourth section of the presentation to its meeting in November.

As part of the discussion, it was agreed that a public strategy document should be drafted and shared with the Board for consideration at a future meeting, in advance of being published on the ICAS website.

Published Note of the meeting of the ICAS Discipline Board on (10 February 2023, at 2pm.
Held in person at CA House, Haymarket Yards, Edinburgh with hybrid facilities available

Some matters have not been disclosed for reasons of confidentiality

Present: Lady Elish Angiolini (Chair), John Anderson (Lay Member), Liam Boyle CA, Robert Mudge (Executive Director of Regulation), Claire Probert CA

In attendance: Charlotte Barbour (Director of Regulatory Authorisations); Laura Spowart (Director of Investigations)

Apologies: Andrew Jones (Lay Member)

1.BACKGROUND
The Chair welcomed everyone to the Board’s first meeting of 2023, extending a special welcome to Ms Probert, who was appointed to the Board as a CA member on 1 January.

While there were no declarations of interest, an apology was noted from Andrew Jones (Lay Member).

2.REPORT FROM THE EXECUTIVE DIRECTOR OF STANDARDS / ACTION UPDATES
With the Board noting Mr Mudge’s report, the following items were highlighted:

Oversight inspections
Two oversight visits, by the FRC and OPBAS, were conducted in November. With the reports still pending, Mr Mudge provided a verbal update on the preliminary feedback which had been given by each of the regulators. While there are unlikely to be any substantive findings in relation to the tribunal processes, the reports (with ICAS’ responses) will be shared with the Board at its next meeting.  

Insolvency regulation
The Board noted that discussions remain ongoing in respect of the Insolvency Service’s single regulator proposals.

FRC update
Mr Mudge provided a summary of recent meetings with the FRC, referring to the 2023/24 budget, and noting the latest developments in the transition to ARGA.

Exam cheating
Miss Spowart briefed the Board on articles published recently raising concerns over instances of cheating in accountancy firms, and confirmed that the Investigation Committee would be considering a paper in March which will review its approach in this area. This could potentially lead to more exam-related complaints being referred to tribunals.

3.UPDATES
Mr Mudge provided a Discipline & Appeal Tribunal update, noting that there had been no cases determined by a Discipline or Appeal Tribunal since the Board’s meeting in December 2022, with no cases pending.

Ms Spowart referred the Board to her report and provided a verbal update on the recent actions of the Investigation Committee, which last met in plenary session on 7 December 2022.  The Board noted that:

• A Regulatory Solicitor has been recruited into the Investigations Team.
• A complaint against a CA Student Member was recently upheld by the Investigation Committee, with a consent order for reprimand pending acceptance.
• Whilst 2022 saw complaints numbers finish at their lowest level for a number of years, there had been an increase in complaints numbers during the early weeks of 2023, with numbers in line with previous years (2022 being the exception).

Mr Mudge reported that in 2022 there were no applications made to Independent Examiners for reviews of decisions by the Investigation Committee to dismiss all or part of a complaint.

The Board was reminded that the role has now changed to ‘Independent Reviewer’ with effect from 1 January 2023, when the amended Regulations come into force.

4.TRIBUNAL GUIDANCE
The Board discussed a number of papers which considered existing processes and whether further guidance might be helpful. The following was agreed:

• Public wording setting out the key principles of the tribunal processes, to be shared with the parties to a tribunal process.
• Draft guidance will be presented to the Board in August in relation to the awarding of costs by tribunals.
• Further consideration will be given to whether there should be any guidance offered for defenders regarding legal support.

5.BOARD WORKPLAN
The Board noted its draft workplan for 2023, agreeing that this would remain a ‘live’ document to be amended in response to a changing regulatory and disciplinary landscape. A strategy session is scheduled for later in the year.

6.AOB
Noting that she will conclude her appointment at the end of February, the Board thanked the Chair for her excellent leadership over the past six years. Mr Mudge gave thanks for the Chair’s personal support to him and the other members of the team.

The Chair thanked everyone for their support, noting that it had been an honour for her to have held the post.

The new Chair will be Peter Anderson, the former Chair of the Discipline & Appeal Panel.

Published Note of the meeting of the ICAS Discipline Board on 12 December 2022  
(held at 10:00 via video conference)

Some matters have not been disclosed for reasons of confidentiality

Present:Lady Elish Angiolini (Chair), John Anderson (Lay Member), Liam Boyle CA, Andrew Jones (Lay Member), Robert Mudge (Executive Director of Regulation).

In attendance:Charlotte Barbour (Director of Regulatory Authorisations); Laura Spowart (Director of Investigations).

Apologies:There were no apologies.

1.BACKGROUND
This was the Board’s third and final meeting of 2022. No declarations of interest were noted.

2.REPORT FROM THE EXECUTIVE DIRECTOR OF STANDARDS / ACTION UPDATES
Having noted Mr Mudge’s report, the following points were discussed:

• Two appointments to the Board made by Council – a new Chair and a new CA member.
• Recent progress in relation to staffing and organisational changes in ICAS’ regulatory teams.
• Oversight inspection visits which took place in November (FRC and OPBAS).
• A recent decision to suspend a Practising Certificate by the Authorisation Committee.

Mr Mudge and Ms Spowart provided updates in relation to the Independent Examiners and the Investigation Committee.

3.UPDATES
Mr Mudge provided a Discipline & Appeal Tribunal update, noting that there had been no cases determined by a Discipline or Appeal Tribunal since the Board’s meeting in July, with no cases pending. The Disciplinary Appointments Committee (DAC) has made appointments to the new Discipline & Appeal Panel, which will come into being on 1 January 2023. DAC has directed ICAS to do more to advertise vacancies.

Ms Spowart referred the Board to her report and provided a verbal update on the recent actions of the Investigation Committee, which last met in plenary session on 7 December 2022, with an out of meeting update in September.  It was noted that there were fewer new cases than the historical averages. It is not known why or whether this trend would continue. However, there seems to have been greater complexity and an increase in the number of cases where the finding has been challenged.

Mr Mudge reported that in 2022 there had been no applications made to Independent Examiners for reviews of decisions by the Investigation Committee to dismiss all or part of a complaint.

The role will change to ‘Independent Reviewer’ from 1 January 2023, at which point the amended Regulations come into force. DAC has agreed to appoint four individuals as Independent Reviewers, with each having an initial term of three years.

4.ICAS REGULATION STRATEGY
The Board noted the Regulation Strategy which the Regulation Board is in the process of finalising. Mr Mudge explained that some aspects of the strategy may impact the disciplinary functions, and could influence the (Discipline) Board’s strategy discussions in 2023.

5.ANNUAL REPORT TO COUNCIL
ICAS General Regulation 9.10 requires the Chair of the Board to report annually to Council. The Chair presented her report for 2022 to Council at its meeting on 2 December 2022. The report summarised the work of the Board since the previous report to Council (December 2021) and was designed to provide assurance to Council that the Board was fulfilling its remit.

The Board noted the report and an update from the Chair on the Council meeting.

6.BOARD WORKPLAN
The Board noted its draft workplan for 2022/23, agreeing that this would remain a ‘live’ document to be amended in response to a changing regulatory and disciplinary landscape.

7.AOB
With no other business to discuss, the Chair thanked the Board members for their contributions over the course of the year, and drew the meeting to a close.

Published Note of the meeting of the ICAS Discipline Board on 22 July 2022  
(held at 10:00 via video conference)

Some matters have not been disclosed for reasons of confidentiality

Present: Lady Angiolini (Chair), John Anderson (Lay Member), Liam Boyle CA, Andrew Jones (Lay Member), Robert Mudge (Executive Director of Regulation).

In attendance: Charlotte Barbour (Director of Regulatory Authorisations); Laura Spowart (Director of Investigations).

Apologies: There were no apologies.

1. BACKGROUND

This was the Board’s second meeting of 2022.

No declarations of interest were noted.

2.REPORT FROM THE EXECUTIVE DIRECTOR OF STANDARDS / ACTION UPDATES

The Board noted the report from Mr Mudge, focusing on some key updates, including:

• Recent progress in relation to staffing and organisational changes in ICAS’ regulatory teams.
• Developments in relation to the Government’s audit reform agenda, with the expectation being that oversight of ICAS’ disciplinary functions will increase in the future.
• In September, Council will consider the amalgamation of the Discipline & Appeal Panels; if approved, the single Panel will come into force at the beginning of 2023.
• The recent session on unconscious bias in decision-making which was made available to all Board and Panel members, and which was well-received.
• Regulatory landscape: the updates on the regulatory landscape, for audit, AML, insolvency and tax were all noted.

Mr Mudge and Ms Spowart provided updates in relation to the Independent Examiners and the Investigation Committee.

3.DISCIPLINE AND APPEALS TRIBUNALS CASES - REVIEW

Recent cases determined by Discipline and Appeal Tribunals were presented to the Board, with a view to considering if there were learning points and any other relevant follow-up action that might be appropriate. The focus of the discussions was on the Tribunal processes, rather than the facts of the cases. In discussing the cases, the Board had regard to feedback forms completed by the Tribunal members, which were agreed to be very helpful.

Several follow-up points were identified which will be progressed by the Executive.

4.BOARD GUIDANCE

The Board considered and approved a new guidance document which had been prepared to assist new and existing members in discharging their role on the Board (covering constitution, conduct, and various practicalities).

5.BOARD WORKPLAN

The Board noted its draft workplan for 2022/23, agreeing that this will remain a ‘live’ document to be amended in response to a changing regulatory and disciplinary landscape.

The Board intends to schedule a dedicated strategy session in 2023.

6.AOB

With no other business to discuss, the Chair thanked the Board members for their contributions, and drew the meeting to a close.

Published Note of the meeting of the ICAS Discipline Board on 18 March 2022  
(held at 10:00 via video conference)

Some matters have not been disclosed for reasons of confidentiality

Present:Dame Elish Angiolini (Chair), John Anderson (Lay Member), Andrew Jones (Lay Member), Robert Mudge (Interim Executive Director of Regulation).

In attendance:Charlotte Barbour (Director of Regulatory Authorisations); Laura Spowart (Interim Director of Investigations).

Apologies:Liam Boyle CA.

1. BACKGROUND

This was the Board’s first meeting of 2022; Mr Mudge was welcomed as the new Interim Executive Director of Regulation.

No declarations of interest were noted.

2. REPORT FROM THE EXECUTIVE DIRECTOR OF STANDARDS / ACTION UPDATES

Mr Mudge referred the Board to his report, speaking to a number of key developments, including:

• An update on various staffing and organisational changes in ICAS’ regulatory teams.
• Recent developments with the FRC, including ongoing work on PIE audit registration and the Joint Audit Register.
• OPBAS and AML regulatory work within ICAS, including actions in relation to Russian sanctions.
• BEIS’ recently-issued consultation on the future of insolvency regulation in the UK.
• Confirmation of ICAS’ re-recognition as a PAB and RAB in the Republic of Ireland.

Mr Mudge and Ms Spowart provided updates on the recent work of the Discipline and Appeals Tribunals, the Investigation Committee, and the Independent Examiner.

3. BOARD PURPOSE/WORKPLAN FOR 2022 AND BEYOND

Board members reviewed a paper summarising the Board’s purpose, and discussed potential items for the Board’s workplan for 2022 and beyond, including:

• Reviewing the tribunal processes on the basis of learning points from previous cases.
• A possible review of the size and make-up of the Discipline & Appeal Panels.
• The possible introduction of a fitness to practice model.
• Reviews of regulations and guidance.
• A focus on evaluation and training processes.

4.AOB

With no other business to discuss, the Chair thanked the Board members for their contributions, and drew the meeting to a close.

Published Note of the meeting of the ICAS Discipline Board on 1 October 2021
(held at 09:30 via video conference)

Some matters have not been disclosed for reasons of confidentiality

Present:Dame Elish Angiolini (Chair), John Anderson (Lay Member), Liam Boyle CA, Andrew Jones (Lay Member), Michelle Mullen (Executive Director of Standards).

In attendance:Ian Bettison (Equality, Diversity & Inclusion Manager), Laura Markham (FRC), Robert Mudge (Director of Investigations).

1. BACKGROUND
   The meeting was observed by Laura Markham, an employee of the FRC engaged in the ongoing inspection of ICAS’ regulatory and governance functions.
   
   For the final item only, the Board was joined by Ian Bettison, ICAS’ Equality, Diversity & Inclusion Manager.
   
   There were no apologies for the meeting, and no declarations of interest were noted.
2. REPORT FROM THE EXECUTIVE DIRECTOR OF STANDARDS / REGULATORY LANDSCAPE
   With the Board having noted her report, Miss Mullen provided an update on the findings of oversight inspection visits undertaken by the FRC and OPBAS.
   
   Mr Mudge answered questions from the Board in relation to complaint numbers, trends, and timescales.
3. ICAS SANCTIONS GUIDANCE
   The Board reviewed, discussed, and approved amendments to the Sanctions Guidance which had been proposed by the Investigation Committee following a review of two aspects: (i) financial penalties for individuals who have been excluded from membership, and (ii) discounts on penalties for early admissions.
4. INDEPENDENT EXAMINERS
   The Board reviewed and discussed the new proposed terms for the appointment of individuals to ICAS’ Independent Examiners Panel, providing feedback which Miss Mullen confirmed she would relay to the Disciplinary Appointments Committee.
5. PUBLIC REPORTING 2021
   The Board noted the public investigations report for 2021, praising its content and presentation.
   
   The Chair will be attending Council’s final meeting of the year to present the Board’s annual report, which will be drafted over the next few weeks.
6. EDI PRESENTATION
   Mr Bettison shared a PowerPoint presentation entitled ‘EDI – the journey so far’ and provided a summary of what ICAS has done in this space, why it’s so active, and what improvements are planned for the future.
   
   After questions from the Board, the Chair thanked Mr Bettison for his presentation, with the Board pleased to note the recent progress which has been made.
7. AOB
   Following the recent expiry of her term of appointment, the Board noted its thanks to Tricia McAuley for her service as a lay member on the Board.

Published Note of the meeting of the ICAS Discipline Board on 10 December 2020

(held at 09:00 via video conference)

Some matters have not been disclosed for reasons of confidentiality

Present:Dame Elish Angiolini (Chair), John Anderson (Lay Member), Liam Boyle CA, Andrew Jones (Lay Member), Trisha McAuley (Lay Member), Michelle Mullen (Executive Director of Standards).

In attendance:Lord Wallace of Tankerness, Robert Mudge (Director of Investigations).

1. BACKGROUND

This was the Board’s final meeting of 2020. With the ongoing Covid-19 pandemic continuing to restrict access to CA House, the meeting was held remotely, via Microsoft Teams.

The Chair welcomed Liam Boyle, who was attending his first meeting, having recently been appointed as a CA member of the Board. The Board also welcomed Lord Wallace, the Chair of the Regulation Board, who had been invited to attend the meeting as an observer.

There were no apologies for the meeting, and no declarations of interest were noted.

2. REPORT FROM THE EXECUTIVE DIRECTOR OF STANDARDS

With the Board having noted her report, Miss Mullen provided an update on some key items:

• Developments in a previous tribunal case.
• ICAS’ regulatory role in the Republic of Ireland.
• The ongoing review of ICAS by various oversight regulators.
• Complaint numbers in 2020 (which have shown no obvious decline).

3. ANNUAL REPORT TO COUNCIL

The Board noted its annual report to Council. The Chair spoke about her presentation of the report to Council on 4 December. She believes that the content of the report reflects the hard work of the Board throughout 2020.

4. ICAS REGULATION BOARD UPDATE

Lord Wallace thanked the Board for inviting him to attend the meeting. All present agreed that, whilst ensuring that their independence is maintained, it is a good idea to have open lines of communication between the Discipline and Regulations Boards. The Chair noted that she is scheduled to attend the Regulation Board’s meeting in February.

Lord Wallace provided an update on the work of the Regulation Board by referring to the Regulation Board’s recent report to Council.

Reflecting on comments made by Lord Wallace’s regarding diversity in ICAS’ governance, the Board acknowledged that this is an area where further action is required. Miss Mullen confirmed that this is being considered across ICAS, with the newly renamed EDI Committee driving the agenda. The Board welcomed the suggestion that the chair of this committee is invited to attend a Board meeting in 2021.

5. EVALUATION

Having provided feedback, the Board approved a new process for the evaluation of members of the Board and the Discipline and Appeal Panels, to be rolled out in 2021.

6. TRAINING

Miss Mullen took suggestions from Board members in respect of a training programme for 2021. With new Tribunal members due to appointed shortly, the Board discussed the importance of induction measures.

Published Note of the meeting of the ICAS Discipline Board on 23 October 2020

(held at 09:00 via video conference)

Some matters have not been disclosed for reasons of confidentiality

Present: Dame Elish Angiolini (Chair), John Anderson (Lay Member), Andrew Jones (Lay Member), Trisha McAuley (Lay Member), Michelle Mullen (Executive Director of Standards).

In attendance: Robert Mudge (Director of Investigations).

1. BACKGROUND

With CA House remaining closed due to the Covid-19 pandemic, the meeting was held remotely via Microsoft Teams.

There were no apologies for the meeting, and no declarations of interest were noted.

2. REPORT FROM THE EXECUTIVE DIRECTOR OF STANDARDS

Miss Mullen provided the Board with some key regulatory updates from the year to date, including:

• The steps which ICAS has taken to maintain operations throughout the Covid-19 pandemic, ensuring no gaps in regulatory activities.
• Recent monitoring visits undertaken by ICAS’ oversight regulators.
• ICAS’ increased focus on issues relating to equality, diversity and inclusion (EDI).
• An update on the pending consultation from BEIS on audit regulation.

3. PUBLIC NOTICES

The Board reviewed and approved draft public notices following the recent conclusion of two tribunal cases.

4. DISCIPLINE AND APPEAL TRIBUNAL REGULATIONS

The Board reviewed proposed changes to the Discipline & Appeal Tribunals Regulations, which included amendments relating to virtual hearings, as well as some changes to processes.

The Board agreed to recommend the amendments to the Constitutional Panel, which has the power to refer them to ICAS’ Council.

5. DIGITAL PAPERS

The Board agreed that appropriate steps should now be taken by ICAS to ensure that papers are shared electronically with the members of the Discipline and Appeal Tribunals.

6. EMPLOYMENT TRIBUNAL FINDING

The Board noted the recently released decision in the case of Mr R Somerville v Medical Practitioners Tribunal Service and Nursing and Midwifery Council, which comments on the legal status of tribunal members.