Capacity and Capability Portfolio Holder:
Key Objective:
IPS will conduct itself in accordance with best practice in organisational governance by: • Having arrangements in place for Board renewal in 2013/14 and succession plans in place for the Chairman and Chief Executive. • Further developing its financial planning models for the future. • Ensuring that capacity and capability is in place during 2013 to meet changing organisational needs, keeping this under review and amending as necessary.
Board members’ portfolio review
At the beginning of 2013 the annual skills audit of the Board members was carried out. The results showed that Board members had a good range of skills to enable performance in their portfolio areas. The skills audit was particularly beneficial when recruiting new Board members in August 2013 following the reassignment of portfolio areas, after the terms of office ended for Thelma Brown and Andrew Middleton.
The current holders of the portfolios are: • Capacity and Capability - David Gilbertson • Consumer and Stakeholder Engagement - Patrick Bligh-Cheesman • Education and Standards - Harvey Sandercock • Enforcement - Ian Chivers • Entity Authorisation and Supervision - Hilary Daniels • Practitioner Authorisation and Supervision - Sandra Barton
Governance documents IPS’ governance documents were reviewed at the beginning of 2013. The documents comprise the Code of Conduct for Board Members, Standing Orders and Matters Reserved to the Board. We found no changes were required.
IPS and CILEx also reviewed the IPS/CILEx Protocols and Service Level Agreements (SLAs). The Agreements and Protocols maintain independence and transparency at all levels of IPS and CILEx’s business. A substantial review was carried out in relation to IPS’ oversight of awarding functions. This led to amendments to the SLAs and Protocols which will be implemented in
2014.There were also minor adjustments to incorporate the changes in the work carried out by CILEx departments which provide services to IPS.
Internal Governance Rules The LSB considered the annual return on Internal Governance Rules (IGRs). It remains satisfied that IPS and CILEx comply with the requirements for separation of regulatory and representative functions.
Regulatory Standards Self-assessment
IPS carried out work in 2013 to meet the actions it set for itself in its Regulatory Standards Self-assessment in 2012.
Key Performance Indicators
IPS monitors its performance against Key Performance Indicators (KPIs). The KPIs are divided into three areas and relate to the IPS Board, IPS as a whole and the IPS complaints handling procedure. IPS continued to meet KPIs relating to the Board. The complaints handling targets were challenging and IPS was extremely close to meeting them.
Risk Register We maintain and review the IPS risk register. It is used to identify and assess risks in our key areas of work and the action IPS takes to control or mitigate risks. Quarterly reports were produced to bring changes to risks to the attention of the Board.
Organisation capacity and restructure IPS has expanded significantly as an organisation. This growth took place to enable us to deliver on our increased practitioner authorisation and supervision activity and to enable us to begin work to implement the practice rights schemes. IPS has been restructured into five teams: Business Development, Client Protection, Enforcement, Entity Authorisation and Supervision and Practitioner Authorisation and Supervision.
David Gilbertson Independent Board Member
Professional standards for specialist lawyers
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