Appendix 10.7 Special Interest Groups Modus Operandi CONTENTS

Transcription

1 Appendix 10.7 Special Interest Groups Modus Operandi CONTENTS 1. Introduction Objectives Definitions Admission to Membership Subscription Clearance policy for press releases and other statements or guidance. Newsletters are SIG disclaimer authorised From an Individual From a SIG From the ICAEW Powers, Authorities and Responsibilities of the Committee Composition of Committee The Committee shall consist of: Election of New Committee Members Duties of the Committee Committee Meetings Annual Health Check Technical Enquiries Services Sending of and receipt of documents Plans and Budgets Conferences and Events Variation of modus operandi Interpretation....7 Appendix 1 - Creation of a new SIG Creation of a new SIG Early-Life Support Set-up Check List Research Committee Business Plan Financial performance Newsletters Subscriptions Events... 9 Appendix 2 - SIG Annual Health Check Purpose Process Review Format Appendix 3 - SIG Closure Closure of a SIG Process Performance Evaluation Exit Strategy Closure check list Page 1 of 12

2 1. Introduction (a) There are currently twelve groups: Charity & Voluntary Entertainment & Media Farming & Rural Business Forensic Healthcare Insolvency Interim Management Non Executive Directors Public Sector Solicitors Tourism & Hospitality Valuation (b) New SIGs may be created if there is adequate potential see Appendix Objectives (a) The SIGs provide pro-active support to subscribers on specific matters. They have three principal objectives: To foster the improvement of knowledge and competence amongst members To exchange information and experience for these purposes and to encourage best practice To provide information and assistance to subscribers 3. Definitions (a) The male gender is used throughout this document but shall be read as importing the female gender. (b) Words within this modus operandi have the same meaning as the definitions in the Royal Charter and bye-laws except that the following words within this modus operandi have the meaning specified below: Chairman Vice/Deputy Chair Editor Committee Director, Member Services Head of Member Service Delivery SIGs Manager Chair of SIGs means the Chairman of the SIG and its Committee means the Vice/Deputy Chairman of the SIG and its Committee means the Editor of the SIG newsletter means the Committee of the SIG means the person appointed to the post of Director, Member Services by the Chief Executive of the ICAEW means the person appointed to the post of Head of Member Service Delivery by the Director of Member Services means the person appointed to the post of SIGs Manager of the SIG by the Director of Member Services means the person that has been nominated to be the overall Chair of the SIG Committees. This person chairs the twice yearly Chair of SIGs meeting Page 2 of 12

3 ICAEW Subscriber means the ICAEW of Chartered Accountants in England & Wales means a person which has subscribed to the SIG, and subscribers and subscription shall be construed accordingly where the context allows Member Services Department (MSD) Technical Services Department (TSD) Member Services Board (MSB) means the Member Services Department of the ICAEW means the Technical Services Department of the ICAEW means the Member Services Board of the ICAEW Nominating Committee SIG means the Nominating Committee of the ICAEW means a Special Interest Group of the ICAEW 4. Admission to Membership (a) Any member of the ICAEW is entitled to join the Group and receive all membership benefits. (b) Non-members may apply to join the Group and receive all membership benefits on paying a higher subscription. 5. Subscription (a) The SIG is empowered to charge a subscription to ICAEW members and a higher subscription to non-icaew members. (b) The rate(s) of subscription shall be as determined by the ICAEW from time to time in accordance with the procedure set out in paragraph 9.5 below. (c) The subscription will be due and payable on 1 January in each year. (d) Failure to pay the subscription within three months of the due date will mean that the subscriber in question shall cease to be able to participate in SIG affairs and otherwise enjoy the benefits the SIG provides. 6. Clearance policy for press releases and other statements or guidance. Newsletters are SIG disclaimer authorised 6.1. From an Individual (a) Providing there is a comprehensive disclaimer, to the effect that the views expressed are those of the authors individually and not the ICAEW, no specific clearance is required to publish anything a SIG wishes in its newsletter, or at training events or conferences. However it is not acceptable to take action or make comment that could be deemed detrimental to the SIG or the ICAEW in any way. When dealing with other organisations it is necessary to discuss this with the SIGs Manager or Head of Member Service Delivery to ensure that no conflicts of interests arise and that all parties are aware of any potential consequences and actions. Page3of 12

4 6.2. From a SIG Where a SIG issues separately published "guidance" that is badged as coming from the SIG itself, rather than being the view of an individual author, clearance is required both prior to commencement and publication. Such clearance may only be given after timely consultation with the most appropriate staff member of the Technical Strategy Department (TSD). In these instances the SIG will be allowed to qualify the guidance with "Issued by the ICAEW, prepared by members of the XXSIG", or similar wording. This will ensure that appropriate credit is publicly given to its source From the ICAEW (a) No SIG is authorised to make representations to third parties on policy issues in the name of the ICAEW. (b) If a SIG believes that a representation should be made, it should alert the most appropriate staff member of TSD, where technical issues exist, via the SIGs Manager. Subject to resource availability and priorities, TSD will work with the SIG to provide technical input to develop a representation. In these cases the representation will be made by the ICAEW, with specific acknowledgement of the SIG. (c) If individual members of the SIG wish to make representations without going through these procedures, or to express views in public which do not reflect representations made in accordance with these procedures, they should be made as individual responses, or as from their firms, and without mention of their position as ICAEW volunteers. 7. Powers, Authorities and Responsibilities of the Committee The Committee shall have the following powers and authorities (a) Communicate with and receive communications from SIG subscribers regarding their needs, concerns and opinions, both current and future. (b) Provide information to the ICAEW about the needs, concerns and opinions of SIG subscribers. (c) Provide representation of SIG subscribers through channels to be agreed and established. (d) Identify and recommend the provision of services of relevance to SIG subscribers in accordance with operating guidelines and ICAEW policy. (e) Ensure that the services delivered through the SIG remain fit for purpose. (f) Propose an annual business plan for approval by the Member Services Board of the ICAEW and to operate within it subject to the financial authority limits and other financial principles of the ICAEW. (g) The Committee has no authority to use the ICAEW s name or speak on the ICAEW's behalf without the appropriate clearance as detailed in section 6. Nor is the Committee authorised to bind the ICAEW by contract into any activity. (h) The Committee has no authority to use the ICAEW s name or speak on the ICAEW s behalf to any sponsors, partners or exhibitors that are associated with a SIG unless authorised by the Head of Member Service Delivery (i) The Committee must comply with ICAEW policy and decisions at all times. (j) Chairmen/Committees must not act in any way that is detrimental to the ICAEW. (k) The Committee shall conduct its business in accordance with the Scheme of Delegations approved by Council on 4 July 2003, in particular the rules for the coordination of the work of committees. (l) The Committee shall take decisions by a simple majority of those members of the Page4of 12

5 Committee present and voting. Decisions of the Committee shall, where required by the ICAEW s Scheme of Delegations, be subject to further approval by the Member Services Board, the Board and the Council. 8. Composition of Committee 8.1. The Committee shall consist of: (a) A minimum of four and a maximum of fifteen members. (b) Non-ICAEW members may be allowed to join a Committee, subject to the discretion of the Committee, however the majority of any Committee should be made up of ICAEW members. (c) Observers, whose knowledge or connections will add to the strength of the SIG, may be invited to attend meetings. (d) Non-ICAEW Committee members may not be appointed as Chairman. (e) If a Committee member misses two or more Committee meetings in any one year, for reasons other than illness, they may be deemed to have retired. The annual health check (see Appendix 2) will record their absence Appointment of New Committee Members (a) The MSB shall elect the Chairman of each SIG every two years. (b) The existing Chairman can, if the MSB wish, be reappointed for a further period of two years. (c) Committee members are elected for a two year period. (d) A Committee member may resign from his position at any time by giving written notice of two months to the SIGs Manager. (e) Every two years Committee members are eligible for reappointment for a further two years. (f) Every two years, advertisements can be placed in SIG newsletters requesting those who wish to be considered for Committee membership to submit their CVs in writing to the SIGs Manager for consideration by appropriate parties. (g) Notice of the names of all candidates shall be sent by the SIGs Manager to the MSB at least a week before the next meeting. (h) Members (including Chairmen) should not serve for more than three terms of two years. 9. Duties of the Committee 9.1. Committee Meetings (a) The Committee will have no fewer than three and no more than four full Committee meetings per year. Exceptions may apply to new or soon-to-be launched SIGs. (b) If the Committee wish to have more than four meetings in any year they must seek and gain approval from MSD as soon as it becomes apparent that this may happen. (c) At least five clear days notice of a new meeting shall be given, unless the Chairman certifies in writing that an emergency exists, in which case one clear day s notice may be given. (d) A minimum of four members must be present for a Committee meeting to take place. (e) Each member of the Committee and of any Sub-Committee shall have full rights of participation in its proceedings, including speaking and voting on any item Page5of 12

6 before the meeting. (f) Voting at Committee and Sub-Committee meetings shall be by simple majority. In the event of an equality of votes, the Chairman of the meeting shall have a casting vote in addition to his original vote. (g) The Chairman will control the meetings. In his absence, the Deputy Chairman will chair the meetings. (h) The Committee will ensure accurate minutes, which are signed by the Chairman, are undertaken at all meetings. (i) Any dispute, alteration or amendment to the rules must be proposed and duly discussed at Committee meetings. Any alterations will be subject to the approval at the Chairmen of SIGs meeting. (j) MSD will provide resource to attend and minute committee meetings. (k) MSD will reimburse expenses for a maximum of four committee meetings per annum in accordance with ICAEW policy concerning volunteer expenses Annual Health Check (a) The SIGs Manager and Chairman of Special Interest Groups will undertake an annual health check on all Groups. See Appendix 2 for details. (b) The annual health checks will be submitted to the Member Services Board for its December meeting to seek approval for the continuation or cessation of any Group Technical Enquiries Services (a) A basic technical enquiries service, whereby the Committee provide the ICAEW with the response is offered to SIG subscribers. The Committee should reply to the ICAEW s Information Centre rather than directly to the SIG subscriber Sending of and receipt of documents (a) The SIGs Manager of the SIG shall arrange for the sending of all documents and all other procedural arrangements required by this modus operandi. (b) The effective date of receipt by the SIG of any document or other communication required in accordance with this modus operandi shall be the date of receipt by the Manager of the SIG or other nominated addressee. (c) Documents required to be sent to subscribers to the SIG in accordance with this modus operandi shall be sent by or by such other delivery system as the Committee shall determine. Documents shall be deemed to have been received two days after posting or despatch. (d) The accidental omission to send such documents to a subscriber to the SIG entitled to receive them, or the non-receipt of such documents, shall not invalidate the activity to which the documents relate Plans and Budgets (a) The Committee will prepare an annual business plan in May each year and send it to the Director of MSD for approval by the Member Services Board. (b) The annual business plan will include as a minimum, the following information: Proposed annual subscription fee Target subscriber numbers Timing and content of conference Timing and content of newsletters Any proposed new activity (must break-even) (c) The Committee will prepare an income estimate based on their annual business plan. A full budget forecast will then be prepared by MSD for discussion and agreement with the Committee, in accordance with the ICAEW s planning and Page6of 12

7 budgetary cycle. (d) The budget forecast will then be subject to approval by the Member Services Board. (e) The SIG s accounting year shall end on 31 December each year. (f) The Committee will ensure all agreed activities are carried out e.g. newsletter deadlines are adhered to, planned activities are executed to schedule etc. (g) MSD will fund the delivery of a maximum of four newsletters per year, and will assist with the sourcing of technical articles. (h) MSD will provide assistance with the creation of marketing plans and materials. (i) MSD will fund the delivery and maintenance of dedicated web pages for each SIG. (j) MSD will promote the SIGs, including ensuring the inclusion of SIGs on the ICAEW annual subscription form. (k) MSD will arrange appropriate media training for each chairman. (l) Any non-standard activity will be charged at cost, eg research, press receptions, etc. (m) The Head of Member Service Delivery will have budgetary control and authorisation responsibility for all SIG activity. All requests must be authorised by the Head of Member Service Delivery. (n) Where disputes arise there will be an appeal process to the Chairman of SIGs and the Director, Member Services. (o) Income generated by the SIG subscriptions may be used to defray any element of the SIG s expenditure within that year or, subject to appropriate approval for any purpose designed to raise the standards or reputation of its members. (p) Any profit arising from the operation of the SIGs will accrue within MSD s overall budget, and therefore to the ICAEW s general fund Conferences and Events (a) MSD will fund the delivery of a maximum of one annual conference, subject to minimum attendance levels being achieved. (b) The delegate fee to attend a SIG event will be waived for Committee members. (c) Committee members may claim their train fares and overnight accommodation when attending SIG events in accordance with ICAEW policy concerning volunteer expenses. 10. Variation of modus operandi (a) The Committee may propose any variation to this modus operandi for consideration by the Member Services Board. (b) No variation of the modus operandi shall become effective until it has been approved by the Member Services Board. (c) In the event that the Member Services Board wishes to vary the modus operandi other than on the recommendation of the Committee, the Committee shall be given the opportunity to consider such changes and present its views to the Member Services Board before any changes are approved. 11. Interpretation (a) The ruling of the Chairman, in consultation with the Director, Member Services Department, on any matter within this modus operandi shall be final. Page7of 12

8 Appendix 1 - Creation of a new SIG 1. Creation of a new SIG (a) Any requests for the creation of a new SIG should be made to the Director of Member Services (b) A check list is provided in section 3 for guidance on the requirements and considerations for the creation of a new SIG. (c) Any new SIG created in an area where TSD already has an established committee should not duplicate that committee. An example would be a Financial Services SIG, where TSD already has a highly-regarded committee in place. (d) Consideration will be given to the forming of a shadow committee for 12 months prior to the launch of a new SIG. 2. Early-Life Support (a) MSD will fund the set-up and management of a new SIG for a maximum of two years. (b) MSD will provide the following support, as detailed in sections 9.1, 9.5 and 9.6: Provide resource to attend and minute committee meetings. Reimburse expenses for a maximum of four committee meetings per annum in accordance with ICAEW policy concerning volunteer expenses. If the Committee wish to have more than four meetings in any year they must seek and gain approval from MSD as soon as it becomes apparent that this may happen. Fund the delivery of a maximum of four newsletters per year, and assist with the sourcing of technical articles. Provide assistance with the creation of marketing plans and materials. Fund the delivery and maintenance of dedicated web pages for each SIG. Promote the SIGs, including ensuring the inclusion of SIGs on the ICAEW annual subscription form. Arrange appropriate media training for each chairman. Fund the delivery of a maximum of one annual conference, subject to minimum attendance levels being achieved. (c) If the SIG has failed to reach break-even in this period it will be wound down. (d) Break-even will be calculated to include overhead allocation. 3. Set-up Check List 3.1. Research Has any Research been undertaken? If not, has a research plan been drafted and agreed with the Research Centre? Is there evidence to support setting up a new SIG? If yes, by what criteria is it judged to be a good idea? Eg demand, niche service, revenue/profit potential, political weight, linkage with other organisations Committee Has a pool of members from business and practice been identified to sit on the Committee? Has a potential chairman been identified? Will the Committee made up of people with expertise in this field of work? Page 8 of 12

9 3.3. Business Plan Have clear objectives been set for the SIG? Has a business plan for the year been produced? Has a launch plan been produced? Is there a strategic plan for the following year? Has a Media Relations Manager been identified? Has a PR and marketing plan for the year been drawn up, including launch activities? Have other Departments of the ICAEW that can help the SIG been identified? Has a list of key journals/influential magazines been researched? Have other key organisations been identified and an approach strategy planned? 3.4. Financial performance Has a budget been produced detailing direct costs and projected profits? When is the new SIG forecast to break even? Is there a possibility of this new SIG making a loss? If yes, has a contingency plan been drawn up? 3.5. Newsletters Has a newsletter Editor been identified? How many issues are planned per year? Have sources of articles been identified? Has a potential sponsor been identified? 3.6. Subscriptions How many subscribers does the SIG want to achieve by the end of the year? Will subscribers be limited to ICAEW members only? If not, who else could be targeted? How and when will new subscribers be targeted? 3.7. Events Has a seminar/course/conference been planned for the year? Is there evidence to support demand for these events? Are there any key industry issues that present an opportunity to host an event? Appendix 2- SIG Annual Health Check 1. Purpose (a) The annual health check provides an opportunity to review the activities undertaken by each SIG and to measure how it is meeting its objectives. This provides a view regarding the ongoing success and sustainability of each Group. (b) The results of the health checks will be submitted to the Member Services Board for its December meeting to seek approval for the continuation or cessation of each Group. (c) It is proposed that a summary of the outcomes of all SIGs annual reviews will be presented to MSB on an ongoing basis, in order to endorse the findings and sanction any actions arising. Page 9 of 12

10 2. Process (a) The SIGs Manager and Chairman of Special Interest Groups will complete a review of each SIG using the following format. The review will be conducted in November of each year. (b) The results will be presented to the Committee for discussion and comment prior to their presentation at the MSB meeting. 3. Review Format Subscriptions What is the number of current subscribers? How does this compare with the planned/forecast number? How many members did not renew their subscription last year? How many new members have joined the SIG this year? How many SIG brochures were sent out this year? How many resulted in new subscriptions? Financial and Operational performance against plan How does the financial performance compare with the budget forecast? How does the operational performance compare with the plan? Which activities were particularly successful in financial terms? Which activities were particularly successful in PR terms? Which activities were planned but not undertaken, and why? Are other ICAEW Departments aware of the SIG? Did they promote the SIG through their mailings? Were SIG brochures displayed at their events? How many articles appeared in News Review, Practice Alert, Business Alert or Faculty newsletters? Committee Is the number of Committee members benchmarked to the number of subscribers? Is the Committee made up of people with expertise in this field of work? Does the Committee have a clear understanding of its objectives? Has it failed any of its objectives? Is morale high among the Committee members? Do Committee members undertake work in between meetings? Have any Committee members missed more than 2 meetings? Do the Committee members respect and adhere to ICAEW policies? Have the Committee produced and agreed a financial and operating plan for the following year? Conferences & Events Did the Committee brainstorm topics and speakers? Did more than 2 meetings take place with third parties eg. event organiser? Was the marketing deadline met? How many potential sponsors and exhibitors were contacted? Did any sign up? Did the number of attendees meet the original expectations of the Committee? Did the conference break even or make a profit? How much press coverage was generated from the conference? Please list. Was the delegates' feedback positive? Were any other events run? Did the number of attendees meet expectations? Were the event objectives met? Did the event make a profit? Was the delegates' feedback positive? Page 10 of 12

11 Newsletters Have the copy deadlines for each issue been met? Were the newsletters mailed on time? Was any feedback sought from subscribers? Was the feedback generally positive? How many Committee members actively helped the Editor in sourcing or drafting articles? Did the newsletter have a sponsor? Do we have addresses for all members, if not how many are missing? Are the newsletters sent via hard copy to these members? Media Relations Did the MRM attend all meetings? Did the MRM give a Media Plan for the year to the Committee? How many press releases were generated this year? Did the Chairman and Vice Chairman receive media training for TV & radio interviews? Did the press coverage exceed the target? Has the SIG been able to make contact with outside organisations in this field? Were any topics for the SIG to lobby on identified? Were they implemented? Has the Committee responded to any Government Consultation papers? How many of these were turned into technical releases? Has the SIG been asked to comment on the work of outside bodies by other Departments of the ICAEW? Has the MRM worked effectively promoted the SIG? How many new members have joined as a result of the MRM's activities? Other activities Have any new relationships with other organisations been forged? Has a survey of members been undertaken? Were the results positive and effectively published? Did the SIG produce any help sheets? What has been the members' feedback to them? Were there any other key activities undertaken? What was the result? Appendix 3 SIG Closure 1. Closure of a SIG A SIG will cease operation if: The annual health check indicates a non-sustainable position There are indications that the SIG is no longer required by its members The ICAEW requests its closure 2. Process (a) The closure will be agreed by The SIGs Manager of Special Interest Groups, The Chairman of Special Interest Groups and the Head of Member Service Delivery. (b) Before any public communication of the planned closure the following documents must be provided to Head of Development: a performance evaluation an exit strategy Page 11 of 12

12 3. Performance Evaluation How many subscribers did the SIG have in each of the last 3 years? How many members did not renew their subscription last year? Has any research been undertaken as to why numbers are decreasing? Is the SIG running at a loss? how much? Have any solutions to turn the Group around been identified? Are they realistic/measurable/time scheduled/achievable? Is the SIG capable of breaking even and/or making a profit in the next six months? Is there a stable environmental situation? If not, what has happened to take away the role of the SIG? Are similar Groups in existence in the market place? What threats to the SIG have been identified? Do any other opportunities exist in the market place? Is there still a demand from members for this SIG? What evidence supports this? 4. Exit Strategy Has a plan been put in place to implement the closure of the Group? Is the Committee aware of the plan? Has a date been set for closure? Is it realistic? (See closure check list below) Is there any opportunity for knowledge transfer to other areas of the ICAEW? 4.1. Closure check list Communications plan to inform members. Communications plan to inform all ICAEW departments. Communications plan for media and all external bodies. Remove web pages. Remove SIG from ICAEW renewal forms. Remove all marketing and promotional literature from circulation and store cupboards. Cancel any outstanding events including venue, speakers, advertising materials, marketing activity, catering, accommodation, equipment hire, etc. Cancel any planned or commissioned articles or other technical material. August 2010 Page 12 of 12