Minutes

To be used for all roles over 3 months

Disciplinary Board
15 September 2015, 14:00 18:00
Exchange Crescent, Edinburgh

Attending: Jane Irvine, Chair (JI)

Alan Phillips (AP)
Simon Martin (SM)
Gordon Sharp (GS)
Keith Oliver (KO)
Athene Heynes (AH)

Apologies: Brian Duffin

Alan Botterill
Steve Presnell

Via phone: None

Executive Staff: Christine McConnell, (CMcC) Secretary
Suzie Lyons (SL)
Michael Scott (MS)
Catherine Mouat (CM) (note-taker)

Item Title
1.

Action

Welcome and minutes

1.1

The Chair welcomed everyone to the meeting and noted apologies. A particular
welcome was extended to AH who was attending her first Board meeting as a Lay
member.
The Chair also announced that the DAC have confirmed KOs appointment as the
new Chair when she steps down at the end of the year.
GS declared a potential conflict of interest regarding determinations as he knows
some of the parties. AH declared a potential conflict relating to knowledge of the
Independent Examiner cases. It was agreed that any potential conflicts could be
handled when any issues involving potential conflicts were considered.
The minutes of the last meeting held on 9 June 2015 were agreed as a true and
accurate record of the previous meeting for publication subject to an amendment to
item 4 and redaction of item 17.

1.2
2.

CMcC

The ongoing action list was also agreed with the exception of the items which are
on the agenda.

Role of Independent Examiner Targeted Consultation

2.1

2.2

Consultation document - the Board expressed their approval of the draft

consultation document (Appendix 1), subject to correction of a few minor typos;
these to be advised to SL by Friday 18 September.

All

Process the aim is to meet the timetable outlined in the cover paper and
Appendix 2. It was acknowledged that this is a tight deadline but it is considered to
be achievable.
The Board agreed it would be beneficial to include some users within the targeted
consultees. It was suggested that the FRCs Actuarial Stakeholder Group could be
used and SL will discuss this when she meets with the FRC on 23 Sept. It may also
be possible to contact any advocates/barristers involved in the disciplinary process

SL

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Item Title

Action
It was also agreed that the CEO should be made aware of the consultation to allow
him to alert any interested parties.

2.3

3.

Sample Questions (Appendix 3) it was agreed to expand the first question on the
second page (page 25 of the papers) impact of IE scheme on innocent
respondent.

The role, challenges and opportunities of an IA

This item is deferred to the November meeting owing to the Chair of the IA pools
unavailability at this meeting. The Chair of the IA pool to be invited to the November
meeting.

4.

SL

CMcC

International comparator regulators: India

MS spoke to the paper prepared by Kirsty Mavor (Case Manager).
The Board agreed this was a very interesting and valuable paper. The Chair suggested
holding a separate meeting to discuss these papers once a few more have been prepared
with a view to comparing the contents and consolidating knowledge on global regulation
and comparing how schemes deal with similar issues. This to be added to the action list
and discussed in about 12 months time,
It was agreed that going forward it would be helpful to include some cultural information on
each country, for example relating to whistleblowing and bureaucracy, respecting that
different countries deal with matters in a way different from the UK.

CMcC

MS

MS advised that the paper for the next meeting would relate to South Africa.
5.

Publication Guidelines
The Board discussed the contents of a paper provided by the Judicial Committees
Secretary.
The Board discussed how members of the public/ other members would find out about any
adverse disciplinary findings against actuaries. Whilst the determinations are currently
published on the IFoAs website for two years, and summarised in the Actuary magazine,
the possibility of adding a link to the members record in the online actuarial directory was
suggested.
The Board would like to revisit this issue at the next meeting and requested a paper to
confirm IFoA policy in relation to Rule 11.12 of the IFoAs Disciplinary Scheme. The
Board asked that the paper includes:

Clarification of current online directories are numbers (ii) and (iii), relating to
Members/Actuarial directory the same?

SA

Is two years the accepted period for published determinations and does this meet data
protection requirements?

The Board recommends, with a view to recognising the public interest in establishing if an
actuary has been disciplined:

Consistency between what is published on the IFoAs website and a members

records.

One source easily found for the public to find out about an actuarys disciplinary
record.

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Item Title
6.

Action

Disclosure Policy
The Board approved the draft policy on disclosure of unused material. This policy should
be made available to the public on the IFoAs website and on the Discussion Board. The
overarching principle is a prompt, completely transparent process.

7.

CMcC

Update on Regulation Board activities

CMcC spoke to this paper, the contents of which were noted by the Board.
JI advised that she had spoken to Des Hudson and asked the Board to note that more
alignment with risk assessment/horizon scanning will be discussed at tomorrows joint
meeting with the Regulation Board.

8.

With regards to the Annual Exchange of Letters with the FRC summarising regulatory
work, Board members were asked to read these and consider where the Disciplinary Board
sits in relation to the Regulation Boards regulatory strategy.

All

The Board requested the link to this exchange of letters be added to the Disciplinary
Boards discussion forum.

CM

Case Progress Report

MS spoke to the paper and summarised the case updates. He highlighted the six linked
cases submitted to an adjudication panel via advisory reports and that, for the first time,
two drink driving cases had been considered by an adjudication panel.

MS

The Board had a query regarding the figures on the Case balance sheet and asked that
this be checked.
MS also tabled two Independent Examiner reports received recently relating to a linked
investigation. In both cases the panels decision was upheld. These to be included with
the papers at the November meeting for further consideration.
Two revised determinations were also tabled. The originals had recently been published
on the IFoAs website and have been replaced with these revised versions with a covering
erratum message. The changes were relating to a sub-set of the charge which had been
mis-recorded. The Board requested a report for the November meeting giving an update
on this matter.
9.

CMcC

SL

Disciplinary Appointments Committee update

The Board noted the contents of the paper provided by the Judicial Committees Secretary.
With regards to the annual appraisals of Board Members, the Board discussed whether
Board attendance records should be published. It was noted however that attendance is
evident from the published minutes of each meeting. It was suggested also that
attendance information may be drawn out in the Annual Report.

10

Management Board Update

This new report from Management Board provides all IFoA Boards and Committees with
an update on Management Board activities.
The Board agreed this is a useful and interesting report and wished their thanks to be
passed to Management Board.

CMcC

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Item Title
11

Action

Training for Pool Members

CMcC spoke to the paper and draft agenda which encompasses proposals PH had made
together with ideas expressed by the Board at the last meeting.
Some Board members questioned whether using the same legal firm to deliver this training
and present the IFoAs cases at disciplinary tribunal panels could constitute a conflict of
interest. The Board did not reach a conclusion on this but it was agreed that CMcC would
raise the matter with Kingsley Napley and report back to the Board.

CMcC

The Board discussed the proposed agenda and format of the training.
This included:

Content of agenda. The Board suggested that the session on governance could be
reduced but that the sessions on the equality/ diversity and on carelessness should
certainly be included

12.

Audience should there be a combined training session for Investigation Actuaries

(IAs) and disciplinary pool members or should they require separate training events (or
part together/part split)?

It was agreed that CMcC, SA, SM, AH and KO form a sub-group to reach a decision on
these items and report back at the November meeting.

CMcC

It was also agreed that PH be thanked for his input and kept informed on final agenda.

CMcC/SA

AOB (including items from the for noting section of the agenda
12.1

Raising awareness of the Scheme and engagement programme for 2015.

The Board noted the good progress being made as outlined in the contents of
Paper 13.

12.2

The Board discussed the new online discussion forum which some found easier to
navigate than others. Overall it was agreed that this is a good communication tool
for the Board and the Board members hope to use it effectively over the coming
months.
The Board requested that forthcoming panel dates and the FRC exchange of letters
(see item 7 above) be added to the forum.

CM

The Board also requested that Board minutes be posted on the forum for
agreement post meeting.

CM

12.3 The Board discussed whether Board Members should attend disciplinary tribunal
panels. It was agreed that they would find this of interest and could perhaps
consider attending one per year. However, whilst attendance was recommended, it
would be on a voluntary basis. Board members should advise the Judicial
Committees Secretary should they wish to attend.
Date of next meeting 11 November in London

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