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2021 Annual Report of the CAS Discipline Committee

The CAS Rules of Procedure for Disciplinary Actions (as amended May 3, 2009, by the Board of Directors) require an annual report by the Discipline Committee to the CAS Board of Directors and the membership.

This report shall include a description of the Discipline Committee’s activities, including commentary on the types of cases pending, resolved and dismissed. The annual report is subject to confidentiality requirements.

2021 Activity

As noted in the 2020 Annual Report of the Discipline Committee, the Discipline Committee was asked in December 2019 to make inquiry concerning a matter that involved 67 individuals, 21 of whom were CAS members and the remainder CAS candidates.

The matter involved potential violations of Precept 1 of the Code of Professional Conduct by CAS members and of Rules 1 and 2 of the CAS Code of Professional Ethics for Candidates by the CAS candidates.

The inquiry concluded in the first quarter 2021; the Discipline Committee sent letters to affected members and candidates regarding the conclusions of the inquiry. A report on this matter was finalized in March 2021 and forwarded to the CAS Executive Council meeting for review and action.

The Discipline Committee chair discussed findings and recommendations with the CAS Executive Council at its June 2021 meeting. Following deliberations by the Executive Council, the report is scheduled for action by the CAS Board at its February 2022 meeting.

In February 2021, a complaint was received alleging that a candidate had materially violated Rules 1 and 2 of the CAS Code of Professional Ethics for Candidates by posting inappropriate messages on social media.

In accordance with the CAS Rules of Procedure for Disciplinary Actions involving Candidates, the chair of the Discipline Committee requested that the subject candidate respond to the allegations. Considering the candidate’s response and remedial actions, the Discipline Committee chair dismissed the case with professional guidance to the candidate.

There were no cases pending before the Discipline Committee as of December 31, 2021.

—Pat Teufel, Chairperson of the 2021 Discipline Committee
January 10, 2022