GUIDANCE
PUBLIC HEARINGS
Powers of the tribunal to proceed in private
Written applications for a private hearing
Extension of time to apply for a private hearing
Publication of defendant’s details
Other applications for private hearings
Reasons
Confidential information
This guidance is for anyone interested in how the Disciplinary Committee and the Appeal
Committee deal with complaints and applies to both types of proceedings. It sets out the detailed
arrangements for public hearings.
Hearings of formal complaints and appeals are normally open to the public. A case must always be
made out for any departure from this general rule.
Powers of the tribunal to proceed in private
The tribunal has the power to exclude the press or public from the whole or any part of a hearing,
whether or not the parties ask it to do so. The tribunal may consider whether to exercise its power
to exclude the public at any stage of a hearing or during a pre-trial review. When deciding whether
to exercise its power, the tribunal will consider whether the press and public should be excluded in
the interests of justice or for any other special reason, and whether the particular circumstances of
the case outweigh the public interest in holding a public hearing. Before it makes a decision to
proceed in private, the tribunal must also be satisfied that both parties have been given an
opportunity to make representations.
Written applications for a private hearing
A party must make a written application if, before the hearing has started, it wishes the whole or
part of any hearing to be held in private. The written application must be made to the tribunal
chairman and should set out the grounds on which the request for a hearing in private is made.
The application will be considered by the chairman of the tribunal appointed to hear the formal
complaint.
Any written application for a private hearing should be received by ICAEW within 14 days of the
date of the letter sent by the director of the Professional Conduct Department giving the date, time
and place for the hearing together with a copy of the formal complaint and supporting papers.
When a written application is received, it will be copied to all other parties (which will be either the
representative of the Investigation Committee or the defendant), who will be invited to make
representations. ICAEW must receive these representations within seven days of the date on
which a copy of the written application for the hearing to be held in private was sent out.
Representations should be addressed to the tribunal chairman. Any representations will be
considered by the tribunal chairman along with the original written application for a private hearing.
When considering the application, the tribunal chairman will apply the test identified under the
heading, Powers of the tribunal to proceed in private above.
Extension of time to apply for a private hearing
If, for good reason, a party is unable to apply for a private hearing within the required 14 days, the
chairman can consider a written application from a party to extend the 14-day limit by a further 14
days. The party making the application must be able to satisfy the chairman that it could not
reasonably be expected to have made the application within the 14 days originally allowed. The
chairman will consider the application for an extension and, if it is refused, will give his principal
reasons for refusing it in writing to the applicant. If the chairman grants an extension, the
application for a private hearing will be dealt with as if it had been made in time.
Publication of defendant’s details
If a written application for a private hearing has not been made before the start of a hearing, or if
an application has been refused, the defendant’s name, the terms of the formal complaint and the
date, time and place of the hearing will be published at icaew.com seven days before the hearing.
If a party has applied in writing for a private hearing or an extension, these details will not be
published until a tribunal chairman has made a decision on the application.
Other applications for private hearings
The tribunal may consider whether to proceed in private at any stage of a hearing. So, for example,
if a written application for a private hearing is refused by a tribunal chairman, or if an application for
an extension of time is refused, a party may ask the tribunal at the hearing to consider whether it is
prepared to proceed in private. This application would normally be made on the first day of a
hearing, but the power to sit in private can be exercised by the tribunal at any stage of a hearing,
and even if none of the parties have asked it to do so.
Although third parties who are involved in the proceeding are not entitled to anonymity, it may
sometimes be appropriate to protect their identity. This can be done by holding part of the hearing
in private if the criteria in the regulations are met. Alternatively, a party (the defendant or the
Investigation Committee) can apply to the tribunal to ask for the identity of a particular witness or
other person not to be revealed to the public. A tribunal will only agree to such a request if it is
satisfied that there is good reason. However, anonymity can never be guaranteed.
Reasons
The tribunal chairman will give the principal reason or reasons for any decision to grant or refuse a
written application for a private hearing or to refuse a written application for an extension of time.
Reasons will be given in writing to the parties.
When a tribunal exercises its power to hold the hearing or part of the hearing in private, it will give
the principal reasons for deciding to do so on the day it makes its decision, and in public. These
reasons will also be given by the tribunal in writing if the complaint is eventually found proved.
Confidential information
All written material and information provided by ICAEW or a defendant in connection with
disciplinary proceedings is confidential, including any application to proceed in private.
Any members of the press or public attending a hearing are entitled to hear what is said but they
are not entitled to see written material.
The only written material that will be made available routinely to the press and public will be the
notice of the hearing and a copy of the formal complaint. These will be published at icaew.com
seven days before the hearing if the hearing is due to proceed in public.