(Version 1.0)

The Disciplinary Board oversees the monitoring of the profession's disciplinary schemes. Rule 9.1(e) of the schemes states that one of the functions of the Board is setting and monitoring time frames for investigations and proceedings under the schemes.

The Board has updated its indicative time frames, based on experience to date. The Board will continue to review them in the light of reports from those operating the schemes. The Board encourages all those dealing with complaints under the schemes to do so as speedily as possible, and as is consistent with fair and thorough response to the Parties. The Board may make inquires into causes of delay where the target times are exceeded.

Indicative time frames

1. For the purposes of rule 9.1(e) the Board has set the following indicative time frames for investigations and proceedings under the schemes:

• investigation - normally up to 6 months; up to 12 months in larger or difficult cases;
• interim orders - normally heard within 3 weeks of application;
• Independent Examiner - normally reporting within up to 4 months from application, including 3 months for the Independent Examiner's own review;
• Adjudication Panel determinations:
  • normally within 6 weeks from receipt of Case Report for dismissal or referral to a Disciplinary Tribunal Panel;
  • normally within 6 further weeks where a sanction is offered, including 4 weeks for the Respondent (ie, the actuary or actuaries about whom the complaint is made) to consider the offer.
• Disciplinary Tribunal Panel hearings - normally within 6 months of referral to the Tribunal, up to a maximum of 8 months for more complex cases, including:
  • Drafting and service of Charge (including all the witness statements and clarifying admissions by the Respondent as to the alleged facts) by the Investigating Actuary on the Respondent and on the Clerk to the Tribunal - normally within 12 weeks from the date of referral from the Adjudication Panel, or from the date the Respondent elects to proceed directly to a Disciplinary Tribunal, up to a maximum of 16 weeks for more complex cases
  • Appointment of hearing date by the Chairman of the Disciplinary Tribunal Panel - normally proposed 2 weeks from receipt of Charge to allow time for the Disciplinary Tribunal Panel members to consider Charge under Rules 6.11 and 6.12. Normally a minimum of 4 week’s notice of the hearing date given to the Respondent
  • As indicated above, the Respondent will be expected to say if he is going to make an admission of misconduct and/or any facts related to the charges. In addition, he will be expected to give written grounds for his defence, normally within 6 weeks of receiving the Charge from the Investigating Actuary.
• Appeal Tribunal Panel - normally heard within 5 months following notification by the Respondent of the request for an appeal, including 12 weeks to prepare and exchange cases, up to a maximum of 16 weeks for more complex appeals, and a minimum of 4 weeks' notice of the hearing date for the parties.

2. These time frames are guidelines only. The overriding need is for a proper investigation and a fair hearing. The Board will therefore keep these time frames under annual review; earlier review will take place if need arises.

July 2007