Discipline Board – meetings and notes

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.