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About the FRC FRC Structure Case Management Committee

Case Management Committee

The Case Management Committee advises on the handling of disciplinary cases. Each case will be assigned a group of at least 3 Case Management Committee members.

Each group’s functions include:

  • monitor the conduct of any investigation and/or disciplinary proceeding and the merits of the approach taken by Executive Counsel;
  • advise the Executive Counsel of any factors that the Executive Counsel should consider when deciding whether to proceed with a Formal Complaint.

In addition, Case Management Committee members will also be appointed as Settlement Approvers.

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Case Management Committee Terms of Reference

Membership

The Board shall appoint a member of the Conduct Committee to be the Chair of the Case Management Committee.

The Conduct Committee shall appoint up to 20 other members to the Case Management Committee, including but not limited to other members of the Conduct Committee.

The persons appointed to the Case Management Committee shall include, but not be limited to, persons having legal, accounting or actuarial expertise and experience.

No member of the Case Management Committee shall be:

  • an officer of any of the accountancy or actuarial professional bodies;
  • a current employee, member, director or officer of the FRC, or subsidiary company of the FRC; or
  • a practising auditor or an individual who has during the previous 3 years:
    • carried out statutory audits;
    • held voting rights in an auditing firm;
    • been a member of an administrative management or supervisory body of an audit firm;
    • been a partner, employee, or otherwise contracted by an audit firm;
    • been an employee, member, director or officer of the FRC, or subsidiary company of the FRC.

Members of the Case Management Committee will be appointed for terms of up to 3 years and may be reappointed for two further three year periods.

Case Management Committee Groups

The Chair of the Case Management Committee, having regard to the matters to be considered by the group / Committee and the availability, experience and expertise of Committee members, may appoint groups of the Case Management Committee:

Under the Audit Enforcement Procedure:

  • To constitute a Case Management Committee Group comprising 3 members, who may undertake functions under Rules 4, 5, or 6 of the Audit Enforcement Procedure where these have been delegated to it by the Conduct Committee, in relation to particular information considered by the Case Examiner to amount to an Allegation.

 Under the Accountancy and Actuarial Schemes:

  • To constitute a Case Management Committee Group to act in accordance with the FRC Accountancy and/or Actuarial Schemes in relation to a particular matter. 
  •  A Case Management Committee Group appointed by the Chairman in accordance with paragraph 7(5) of either Scheme shall comprise at least three members of the Committee to perform the functions set out in paragraph 4(3)(i) and (ii) in relation to the investigation.

The Conduct Committee, having regard to the matters to be considered by the group and the availability, experience and expertise of Committee members, may appoint a group of the Case Management Committee:

Under the Auditor General Disciplinary Rules

  • To constitute an Investigating Committee to act in accordance with the Auditor General Disciplinary Procedure Rules in relation to a particular matter.

References to a group of the Case Management Committee include each of the groups mentioned above.

Quorum

The quorum for Case Management Committee meetings shall be 6 members.

The quorum for a Case Management Committee Group, when undertaking functions under the Audit Enforcement Procedure as delegated by the Conduct Committee, shall be 3 members.

The quorum for meetings of any other Case Management Committee Group shall be in accordance with the provisions of the relevant Procedure or Scheme or the Auditor General Disciplinary Rules.

Secretary

The Company Secretary or his/her nominee shall act as Secretary of the Case Management Committee (the Secretary) or any Case Management Committee Group.

Frequency of Meetings

The Case Management Committee shall meet at least once a year or as required at the call of the Chair.

A Case Management Committee Group shall meet as required.

Attendance at Meetings

Only members of the Case Management Committee shall have the right to attend Case Management Committee meetings and only members of a Case Management Committee Group shall have the right to attend meetings of that Committee Group. However other individuals may be invited to attend all or part of any Case Management Committee or Case Management Group meeting as and when appropriate.

Notice of Meetings

Unless otherwise agreed, notice of each meeting, confirming the venue, time and date, together with an agenda of items to be discussed and supporting papers, shall be forwarded to each member of the Case Management Committee or each member of the Case Management Committee Group as applicable, and any other person required to attend, no later than 5 working days before the date of the meeting.

Minutes of Meetings and Confidentiality

The Secretary shall minute the proceedings and resolutions of all meetings of the Case Management Committee, including recording the names of those present and in attendance. Minutes of Case Management Committee meetings shall be circulated to all members of the Case Management Committee and Conduct Committee. Decisions of Case Management Committee Groups will be recorded in accordance with the provisions of the Scheme under which the Group was appointed.

All matters considered by a Case Management Committee Group shall remain confidential to that Committee Group subject to the reporting responsibilities at paragraph 11 and any applicable publication requirements and associated Publication Policy.

Voting

Matters considered by the Case Management Committee or a Case Management  Committee Group when undertaking functions under the Audit Enforcement Procedure, will be decided by majority vote and no member may abstain from a vote. The Chair of the Committee does not have the casting vote.

Responsibilities

The Case Management Committee shall perform any function as shall be determined by the Conduct Committee from time to time.Case Management Committee Groups shall exercise

  • those functions delegated to a Case Management Committee Group appointed in accordance with paragraph 6(5) of the Accountancy Scheme including:
    • monitoring the progress of the investigation and/or any disciplinary proceedings;
    • providing input and challenge to the Executive Counsel’s consideration of the adequacy of the evidence of a case;
    • where Executive Counsel determines that there is evidence to proceed, providing input on whether it is in the public interest to proceed to a tribunal hearing;
  • those functions delegated to an Investigating Committee appointed in accordance with paragraph 5 of the Auditor General Disciplinary Procedure Rules including deciding whether there is a case to answer and if appropriate, referring the case to a Disciplinary Committee
  • those functions under the Audit Enforcement Procedure delegated to a Case Management Committee Group by the Conduct Committee including:
    • considering all documentation and representations placed before it by the Case Examiner;
    • referring the Allegation for investigation where it considers there is good reason to investigate an alleged failure to comply with the relevant requirement;
    • directing whether an investigation shall be delegated to a Recognised Supervisory Body;
    • indicating whether an investigation must be overseen by a Case Management Committee Group; and
    • overseeing any case where the Conduct Committee or a Case Management Committee Group determines that it should do so.

In undertaking its responsibilities, any Case Management Committee Group will have regard to the guidance issued by the Conduct Committee.

Reporting Responsibilities

The Case Management Committee Chair shall report to the Conduct Committee on the activities and proceedings of Case Management Committee at Conduct Committee meetings no less than 4 times a year.

The Case Management Committee Chair shall provide an annual report to the Conduct Committee which will include trends, patterns and learning points observed from the cases considered by the Case Management Committee Groups and shall make whatever recommendations to the Conduct Committee it deems appropriate on any area within its remit.

Other

The Case Management Committee shall have access to sufficient resources and is authorised to seek information from the FRC executive in order to carry out its responsibilities.
 
Approved by the FRC Board with effect from 17 June 2016