Delegated powers policy
Revised July 2012
Contents
1.
Introduction .............................................................................................................................................. 3
2.
Scope of delegated powers .................................................................................................................... 3
Disciplinary cases .................................................................................................................................................. 3
Suitability assessment ........................................................................................................................................... 3
3.
Exceptional mitigating circumstances .................................................................................................. 4
Disciplinary cases .................................................................................................................................................. 4
Suitability assessment ........................................................................................................................................... 4
4.
Powers delegated by Council in respect of disciplinary cases .......................................................... 4
5.
Powers delegated by Council in respect of suitability assessment .................................................. 4
6.
Screening of cases disposed of by way of delegated powers ........................................................... 5
Disciplinary cases .................................................................................................................................................. 5
Suitability assessment cases ................................................................................................................................. 5
Appendix 1 ........................................................................................................................................................ 6
1.
Delegated powers in respect of disciplinary cases ....................................................................................... 6
2.
Delegated powers in respect of student applications ................................................................................... 6
Appendix 2 ........................................................................................................................................................ 7
1.
Members in Practice renewal process.......................................................................................................... 7
2.
CPD monitoring process ............................................................................................................................... 7
Revised July 2012
1.
Introduction
1.1
Conduct and Compliance, on behalf of Council has undertaken a full risk assessment of cases by
type. On the basis of this risk assessment, Council is satisfied that in a number of circumstances it
is appropriate for Conduct and Compliance to take decisions on behalf of the relevant decision
making authority.
1.2
AAT’s Disciplinary Regulations for members (‘the Disciplinary Regulations’) permit Conduct and
Compliance to complete investigations and proceed with making recommendations as if it were the
Investigations team (IT) in accordance with paragraph 25.
1.3
Paragraph 26 of the Disciplinary Regulations compels Conduct and Compliance to exercise its
powers in accordance with any relevant policy issued from time to time by Council. This document
is the policy to which those paragraphs relate.
1.4
In respect of applications for membership, Article11(1) states that no person shall be admitted to
membership unless and until they meet the relevant requirements in respect of professional
standards, amongst other criteria, as determined by Council. Those professional standards
requirements are detailed within AAT’s Insolvency policy and Convictions policy
1.5
Membership assessors have the authority to make decisions in respect of admission. However,
Council intends for decision making in a number of circumstances, to be undertaken by Conduct
and Compliance as if it were the membership assessor.
1.6
For the purposes of this document any reference to ‘he’ will be equally applicable to ‘she’.
2.
Scope of delegated powers
Disciplinary cases
2.1
Council has delegated powers to Conduct and Compliance to take disciplinary action against a
member by way of consent in defined circumstances as detailed in section 5 below.
2.2
In these circumstances, Conduct and Compliance has the authority to undertake any necessary
investigations relating to the case and make recommendations as articulated in this policy as if it
were the IT as convened in accordance paragraphs 22 and 23 of the Disciplinary Regulations.
2.3
Where, by virtue of the individual circumstances of any case, Conduct and Compliance considers
that making a decision in accordance with the provisions detailed within this policy may result in
unfairness or injustice to the member under investigation, the case may be escalated to an IT
comprising a member of Conduct and Compliance and a member of the Investigations Committee.
The investigation shall then proceed in accordance with paragraph 24.
Suitability assessment
2.4
The Insolvency policy and the Convictions policy both identify a number of circumstances whereby
Conduct and Compliance may admit an applicant to student membership without remitting the
matter to a membership assessor.
2.5
Likewise, a number of circumstances have been identified whereby applicants may not be
permitted to membership.
Revised July 2012
2.6
These circumstances have been replicated here for the purposes of clarity in capturing all
delegated powers collectively.
3.
Exceptional mitigating circumstances
Disciplinary cases
3.1
Where a member cites exceptional mitigating circumstances the case shall be referred by Conduct
and Compliance to an IT and the investigation shall proceed in accordance with paragraph 24 of
the Disciplinary Regulations, as the existence (or not) of exceptional mitigating circumstances may
have an impact on:
(i)
Whether a finding of misconduct is sustainable; and/or
(ii)
The appropriate level of sanction to be imposed.
3.2
It will be for the member to prove the existence of these circumstances.
Suitability assessment
3.3
Exceptional mitigating circumstances may not be considered for the purposes of using delegated
powers. If exceptional mitigating circumstances are cited by an applicant in cases whereby an
applicant may not be permitted to membership, Conduct and Compliance may refer the application
for consideration of a membership assessor.
4.
Powers delegated by Council in respect of disciplinary cases
4.1
Council has delegated powers to Conduct and Compliance pursuant to paragraphs 25 and 26 of
the Disciplinary Regulations to dispose of cases falling into the following categories without
remitting the case to an Investigations Team for consideration:
(i) non-renewal of licence
(ii) student malpractice
(iii) summary convictions
(iv) non-compliance with continuing professional development
(v) non-compliance with Money Laundering Regulations and/or AAT guidance.
4.2
The powers delegated to Conduct and Compliance in respect of the cases falling into the
categories detailed above are detailed in part 1 of Appendix 1.
4.3
Where Conduct and Compliance has made a recommendation in accordance with the provisions of
this policy, the member may refuse to consent to that recommendation and have their case
considered by a Disciplinary Tribunal in accordance with paragraph 49 of the Disciplinary
Regulations.
4.4
Where the member provides his consent to the recommended order in accordance with paragraph
46 of the Disciplinary Regulations, the matter shall be published in accordance with paragraph 50
of the Disciplinary Regulations.
5.
Powers delegated by Council in respect of suitability assessment
5.1
The Insolvency policy sets out the Association’s position in respect of insolvency related matters
which may impact on an applicant’s suitability for student membership of AAT.
Revised July 2012
5.2
The Convictions policy sets out the Association’s position in respect of convictions which may
impact on an applicant’s suitability for student membership of AAT.
5.3
The powers delegated to Conduct and Compliance in respect of student suitability assessment are
detailed in part 2 of Appendix 1.
5.4
Where a member of Conduct and Compliance reviews an application, and considers that the
circumstances of the particular application are not proportionately addressed by the powers
delegated in accordance with this policy, they may refer the application to a Membership Assessor
in accordance with the provisions detailed in the Insolvency policy and/or Convictions policy.
5.5
Where Conduct and Compliance has declined an application, the applicant may have a right of
appeal in accordance with the provisions of the Appeals Policy and Procedure.
6.
Screening of cases disposed of by way of delegated powers
Disciplinary cases
6.1
In order to ensure that Conduct and Compliance are appropriately exercising their delegated
powers, the Investigations Committee shall be tasked with considering a sample of 5% of cases
concluded by Conduct and Compliance on at least an annual basis and report the outcome of that
review to Council.
Suitability assessment cases
6.2
All decisions made regarding suitability assessment applications for student membership shall be
countersigned by a member of the Conduct and Compliance management team who will affirm that
delegated powers have been used appropriately in accordance with the provisions of this policy.
6.3
Membership Assessors shall be tasked with considering a sample of 5% of cases signed off by
Conduct and Compliance on at least an annual basis and report the outcome of that review to the
Regulation and Compliance Board through the Suitability Assessment case report.
Revised July 2012
Appendix 1
1.
Delegated powers in respect of disciplinary cases
Category
Non renewal of practicing licence
Sanction
•
Expulsion - see Appendix 2 for the procedure to be
followed prior to exercise of this power.
•
Severe reprimand
•
Fine of £50
•
Debarred from sitting assessments for a period of
six months
•
No further action
•
Letter advising of future conduct pursuant to paragraph
•
42 of the Disciplinary Regulations
Subsequent road traffic offence
•
Standard procedure applies
Non-compliance with the policy on
continuing professional development
•
Expulsion - see Appendix 2 for the procedure to be
followed prior to exercise of this power
•
Expulsion
•
Fine £500
•
Recovery of costs incurred by AAT in monitoring
compliance
Student malpractice
Summary offences
First road traffic offence
Non-compliance with the Money
Laundering Regulations from time to time
in force and/or AAT’s guidance on anti
money laundering compliance
2.
Delegated powers in respect of student applications
Category
Permission
Bankruptcy
Discharged
•
Admit to student membership
Undischarged
•
Refuse student membership
Individual Voluntary Arrangement
•
Admit to student membership
County Court Judgement
•
Admit to student membership
Formal or informal arrangement with
creditors
•
Admit to student membership
Summary conviction not relating to:
fraud, dishonesty or financial crime
•
Admit to student membership
Revised July 2012
Appendix 2
1. Members in Practice renewal process
1. Six weeks prior to the expiry of the licence or registration email sent to MIPs advising that their
licence or registration will expire on 1 January, 1 April, 1 July or 1 September (depending on
which renewal month they have been assigned). A deadline is given (approximately 3 weeks
prior to expiry date) by which to submit their application & they are advised that this is to allow
time to process their application & send their new licence/registration letter before their current
one expires. Advised that failure to renew is a breach of the MIP regulations.
2. Three weeks prior to expiry date a reminder letter sent to MIPs who have not submitted any
renewal documents and to MIPs who have submitted part of their renewal but have elements
outstanding. They are advised to submit their completed renewal by the expiry date. Advised
that failure to renew is a breach of the MIP regulations & late applications will only be considered
if there is a good reason for the delay and will incur a £75 late renewal fee.
3. Ten days prior to expiry date a final reminder letter sent to MIPs who have not submitted any
renewal documents and to MIPs who have submitted part of their renewal but have elements
outstanding (this is not done if a letter has been sent to chase for further information as final
reminder messages are included in this). They are advised to submit their completed renewal by
the expiry date. Advised that failure to renew is a breach of the MIP regulations & late
applications will only be considered if there is a good reason for the delay and will incur a £75
late renewal fee. Informed that late applications will be passed to Conduct and Compliance
without further notification.
4. Five days prior to expiry date calls made to MIPs who have either completed part of their renewal
or have not submitted any renewal documents to inform them that they need to renew, how to do
this, the deadline and the consequences of failing to renew. If no contact made then where
possible a voicemail is left with clear information about what is required.
5. Progression team may grant extensions if MIP contacts us before expiry date and has mitigating
circumstances why they are unable to renew by the deadline. Mitigating circumstances include
illness or bereavement. Holidays/being busy are not considered to be mitigating circumstances.
* subject to bank holidays & Christmas
2. CPD monitoring process
1. Process initiated with “warning” letter which puts the member on notice that they have been
selected for CPD monitoring.
2. Initial letter sent to member inviting them to provide information within one month of the date of
the letter (deadline given).
3.
Reminder letter sent upon expiry of the deadline with an opportunity to call the CPD surgery for
advice.
4. Telephone call three weeks after reminder session where the member is talked through the
process, and what they need to do, and given a final deadline before the case is passed to
Conduct & Compliance.
5. Final reminder sent confirming detail of the telephone conversation, and providing a final
deadline of two weeks from the date of the letter.
6. Upon expiry of this deadline the members is considered to be in breach of their obligations in
accordance with the CPD policy.
Revised July 2012