Press Round-Up: Regulatory and Professional Discipline - February 2023 - March 2023

Healthcare

General Medical Council (GMC)

The GMC has published a report entitled “Reviewing how we approach fairness and bias: Actions for 2023”, following its internal review of the risk of bias in its decision making.

The report makes 23 recommendations which the GMC intend to implement during 2023 to address potential bias in its processes and the way it operates.

Recommendations cover 5 main areas:

• The GMC’s approach to auditing the fairness of its work, which will be more consistent and will involve seeking more external feedback;
• Introducing a single set of decision-making principles to increase consistency across the organisation;
• Tailoring equality, diversity and inclusion (ED&I) training for GMC staff across different roles;
• Publishing more detailed data about GMC fitness to practise processes; and
• Making sure fairness and ED&I are embedded into the way the GMC operates in future, when the Department of Health and Social Care introduces a new regulatory framework for healthcare professionals.

The full report is available here.

General Dental Council (GDC)

The GDC has introduced some small but important changes to its fitness to practise processes, to improve case progression and reduce the impact that long-standing or multiple investigations can have on those who are subject to investigation.

These changes come in response to the Department of Health and Social Care’s publication of proposals for future regulatory reform of healthcare professionals, for which a clear timetable has not yet been provided.

The GDC state the improvements it has made to its fitness to practise processes aim to make best use of limited resources in the absence of regulatory reform, which is likely to be several years away.

Changes include:

• Closing cases that mirror an investigation being carried out by another authority such as the NHS or Medicines and Healthcare products Regulatory Agency. However, cases will not be closed where there is an ongoing policy inquiry or interim order, or where other fitness to practise investigations are open;
• The GDC will no longer automatically open an investigation referred to it from the NHS, where the NHS is investigating or managing the issues locally. The exception will be where there is a serious and immediate risk to public safety or confidence; and
• Some older cases being reviewed and closed following review and approval of the Registrar, where there is no realistic prospect of establishing that a dental professional’s fitness to practise is impaired.

More information about the changes the GDC will make to its fitness to practice processes made be viewed here.

 

Architects

Architects Registration Board (ARB)

The ARB have launched a consultation on its plans for a new regulatory framework for the education and training of architects.

A fundamental part of ARB’s role as the professional regulator responsible for setting the standards and registration of architects is to set clear requirements for the outcomes it expects in respect of education and training, to assure competence to practise.

The new approach which ARB is consulting on comprises proposals to improve diversity and access to the profession, focusing on outcomes rather than the learning process itself.

The proposals include:

• Changing the regulatory framework for educating and training architects from the current approach (Parts 1, 2 and 3) to require only 2 accredited qualifications. The new framework will be based on both Academic Outcomes (equivalent to Level 7) and Practice Outcomes (gained through professional practical experience);
• Introducing new learning (competency) outcomes, around which qualifications accredited by ARB will need to be designed upon. The new competency outcomes will replace the current criteria. There will be 5 core competency domains: Professionalism and Ethics, Design, Research and Evaluation, Contextual and Architectural Knowledge, and Management Practice and Leadership, which will reflect the competencies required of architects and the skills they will need to face current and future challenges, such as the climate emergency, emerging technologies, and the importance of fire safety;
• Requiring universities and other providers offering ARB-accredited qualifications to meet clearer and stronger standards focused on ensuring that students being awarded the qualification have met the outcomes, that there are sufficient resources in place to deliver the qualification, and that there is an organisational culture that will ensure consistent quality and support students;
• Establishing a new proportionate and risk-based quality assurance of qualifications, overseen by a new Accreditation Committee, which will replace the existing Prescription Committee and operate differently, with formal delegated powers from the Board to take decisions on accreditation of qualifications.

The consultation closes on Wednesday 10 May.

Read and respond to the consultation, here.

 

Legal

Solicitors Regulation Authority (SRA)

The SRA has published its report following its Conduct in Disputes Thematic Review, which was initiated in response to its concerns arising from strategic lawsuits against public participation (SLAPPs) and other types of abusive litigation.

The SRA carried out this thematic review to “better understand the practices and litigation techniques used by firms who act in privacy and defamation matters and provide reputation management services … [and] to assess how well the risks of abusive litigation were understood, identified, and prevented by firms and solicitors.”

The review involved visiting 25 claimant and defendant law firms who provide legal advice on reputation matters (typically matters relating to defamation, libel, or privacy). While the review was specifically focused on firms undertaking this type of work, the SRA makes clear that it will be promoting the findings of this review to all firms who undertake litigation.

The report sets out areas of good practice which the SRA observed during its review, areas where improvements need to be made, and checklists for law firms in respect of actions they should take, including ensuring that all fee earners:

• Know how to recognise a potential SLAPP and know what they must do;
• Know how to manage the risks in disputes;
• Know what facts and circumstances should be reported to the SRA; and
• Are competent and receive training on SLAPPs on how to identify and deal with potential SLAPPs cases, as well as more general training on conducting litigation.

Read the full report here.

Separately, the SRA has also confirmed, following public consultation, that reforms to its financial penalties’ regime will come into effect later this year, which will see:

• The introduction of a fixed-penalty regime for lower-level misconduct;
• Future fines for both firms and individuals linked directly to bandings based on percentages of income/turnover; and
• A pilot on the use of personal impact statements for cases involving sexual misconduct, discrimination or any form of harassment.

More information is set out in the SRA’s response to its consultation, here.

Bar Standards Board (BSB)

The BSB has set out its action plan in response to the Legal Service Board’s policy statement on ongoing competence.

The action plan, which covers the next 12 to 18 months, sets out the BSB’s approach to assuring the professional competence of barristers, and includes:

• Reviewing its approach to Continuing Professional Development on an ongoing basis, including the use of feedback and reflective practice to support learning and development;
• Looking at the role of chambers and employers in supporting high standards of practice;
• Reviewing the regulation of the early years of practice at the Bar to build on the expectations outlined in the Professional Statement;
• Improving its intelligence and data analysis capability to ensure that regulatory interventions are targeted and based on a broad range of evidence; and
• Strengthening its intelligence sharing arrangements with other regulators and the Legal Ombudsman.

The BSB’s action plan can be downloaded here.

 

Finance

Financial Reporting Council (FRC)

The FRC has published its 3-year plan, outlining its priorities and objectives for the period 2023-2026.

A £6.5m increase in its overall costs for 2023-24 is anticipated to reflect the delay in the passing of legislation to create the Audit, Reporting and Governance Authority (ARGA), which the FRC will transition into.

This delay, the FRC states, has meant some changes have had to be made to their previous 2022-25 plan, to re-prioritise work and focus on the changes the FRC can make using its existing powers and remit.

The FRC’s plan is now based on the planning assumption that ARGA will be created via legislation in 2024 rather than 2023. The FRC states it therefore expects most of the increase in operational capacity that it had previously planned for 2024 and 2025 will shift back by one year in line with the delay to ARGA.

The 2023-26 plan brings forward some activities to counter the delay of ARGA, including in relation to:

• The activities of its Regulatory Standards division to meet the FRC’s Position Paper commitments, which include engaging on non-financial reporting standards, Environmental, Social and Governance (ESG) and climate reporting; and
• The activities of its Supervision division, which will now take on several significant new responsibilities, including Local Audit systems leadership for England, statutory accountancy oversight, and supervising the new audit committee minimum standards.

The FRC’s 3-year plan 2023-2026 is available to download here.

 

Education - students

Office for Students (OfS)

The OfS has launched a consultation on tackling harassment and sexual misconduct, proposing that universities and colleges will need to maintain a register of personal relationships between staff and students.

The proposals form part of a wider consultation on regulating harassment and sexual misconduct in English higher education, including greater support for victims, and mandatory training for students and staff.

According to the proposals, the relationship register will apply to relationships between academic staff members and students where they have particular responsibilities for assessing the student’s work. If such a personal relationship is not disclosed, the academic staff will be liable for dismissal.

While the OfS is proposing for the introduction of this register, it is also seeking views as to whether there should be an outright ban of personal relationships between student and academic staff with responsibilities towards that student.

The OfS is also proposing to introduce a new condition of registration to address harassment and sexual misconduct, which if introduced, will require universities and colleges to:

• Introduce mandatory training for students and staff, to include ‘bystander training’ for potential witnesses to raise awareness of and prevent sexual misconduct;
• Publish a single document containing information about how the institution will tackle issues of harassment and sexual misconduct, how cases should be reported and how students will be supported through the process; and
• Ban the use of non-disclosure agreements (NDAs) in cases of harassment and sexual misconduct, and the enforcement of existing NDAs.

The consultation is open until Thursday 4 May.

Read and respond to the consultation, here.