Councils' Work and Activities | Professional Standards Councils

Professional Standards Schemes

Number of scheme participants over the past 10 years

FY 2010/11

As of 30 June 2021, there were 17 schemes in force nationally. The number of occupational association members subject to these schemes has increased over the year from 82,193 to 86,089.

Professional Standard Improvement Program Findings

Accountants

The accounting profession reported a number of improvements throughout the year including:

sourcing of professional indemnity insurance data and expert insurance data and information
conducting risk analysis with linkage to controls and evidence-supported strategies. New or emerging risks were identified, rated, and controlled
one association undertook an external risk review and implemented the risk management recommendations

Lawyers

There were improvements in several areas by solicitors including:

alignment with the AS ISO 19600:2015 compliance management system requirements
undertaking auditing activities to monitor compliance with the scheme participant’s obligation to disclose their limited liability to consumers
one association conducted root cause analysis on claims and complaints data, including an assessment of the actions that could have been taken to prevent the issue. The analysis was used to implement continuing professional development sessions targeting problem areas

Barristers

Noticeable improvements were observed across several bar associations including:

undertaking auditing activities to monitor compliance with the scheme participant’s obligation to disclose their limited liability to consumers
one association conducted their first annual continuing professional development audit
two associations responded to risks of sexual harassment by providing specialised training for complaint handlers

Built Environment

Some of the highest performing areas for the built environment sector included:

informing and educating scheme participants of their compliance obligations under the professional standards legislation and scheme
compliance with the Annual Membership Assurance Report verifying the number of scheme participants for the annual fee period
one association provided in-depth analysis of their comprehensive professional indemnity insurance claims data. The association used the insights to inform risk management strategies

Common Topics

Common areas of achievement

Requirements to disclose the scheme by member participants
Professional indemnity insurance standards
Compliance planning

Common areas for improvement

Discretionary caps and exemptions
Complaints and discipline systems improvements and root cause analysis
Scheme monitoring improvements

Professional Standard Improvement Program

Causes

Negligence – Communication / advice / administration
Misappropriation, misleading and deceptive
Lack of skill and competence

Root cause analysis as a risk management tool

To encourage and assist associations, the Councils have provided guidance to incorporate root cause analysis into their risk management strategies.

Identify trends from data
Implement root cause analysis using data sources
Formulate risk management responses that target the identified root causes
Monitor data and evaluate risk management strategies

Case Studies

A new application Framework with many benefits

In 2019, the Councils set out to redesign the way in which associations apply for a professional standards scheme. The delivery of this work represents a major outcome for the Councils on a core regulatory responsibility. The project followed human-centred design principles, engaged with key stakeholders in co-design, and utilised agile project management philosophy to produce a new Scheme Application Framework to a Pilot phase.

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For the first time, the Councils enable the creation of a scheme for strata managers

In April 2021, the Councils approved the Strata Community Association (NSW) Limited Professional Standards Scheme, expanding the national system for professional standards regulation to include, for the first time, strata managers and the users of their services. Strata Community Association (NSW) considers their achievement of a professional standards scheme as one of the most significant milestones in their Association’s 40-year history. Applying for a scheme was seen as transformational for their members in the recognition of improving occupational standards and consumer protection in the strata marketplace.

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A consumer protection lens: Sexual harassment risks in the legal profession

The Councils engaged with associations, legal services regulators, and academics to bring into focus the consumer protection and ethics issues involved in sexual harassment. The Councils identify and report on trends and emerging issues to assist efforts to improve professional standards.

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A new application Framework with many benefits

Find out more

For the first time, the Councils enable the creation of a scheme for strata managers

Find out more

A consumer protection lens: Sexual harassment risks in the legal profession

Find out more

A new application Framework with many benefits

Find out more

For the first time, the Councils enable the creation of a scheme for strata managers

Find out more

A consumer protection lens: Sexual harassment risks in the legal profession

Find out more

Forums Continued to Build the Professional Standards Community

The Councils delivered two Professional Standards Forums in the reporting period, to continue engagement with occupational associations and deliver encouragement and assistance for the development of associations’ self-regulatory capacity.