Councils' Work and Activities 2021/22

As of 30 June 2022, there were 18 schemes in force nationally. The number of occupational association members subject to these schemes has increased from over 86,000 to over 93,000.

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Rachel Webber, WA member of the Professional Standards Councils

Professional Standards Schemes

The number of occupational association members subject to schemes has seen sustained growth over the last 10 years. This reflects the continued improvement in the operation and coverage of schemes.

Bar and line graph showing the sustained growth of occupational association members over the last 10 years.

Professional Standard Improvement Program Findings

Accountants

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

  • engaging with brokers and insurers to facilitate members accessing affordable professional indemnity insurance
  • undertaking comprehensive auditing activities to monitor compliance with membership entry requirements
  • enhancing by-laws and membership policies to improve member awareness of professional indemnity insurance requirements.

WA: 4,311

NT: 216

SA: 2,733

QLD: 7,501

NSW: 16,166

ACT: 946

VIC: 12,340

TAS: 557

Solicitors

There were improvements in several areas by solicitors including:

  • conducted monitoring and compliance activities to ensure scheme participants have appropriate professional indemnity insurance
  • one association reviewed risk management strategies to identify new risks and controls to mitigate the risks
  • two associations conducted root cause analysis on claims and complaints data to identify actions to prevent the risk and enhance early and targeted intervention programs.

WA: 2,187

NT: 0

SA: 1,738

QLD: 6,818

NSW: 17,499

ACT: 0

VIC: 5,464

TAS: 0

Barristers

Noticeable improvements were observed across several bar associations including:

  • identifying new and emerging risks and implementing controls to manage these risks
  • one association conducted a continuing professional development audit and utilised the findings to develop a Competency Framework
  • two associations implemented changes and initiatives to respond to risks of sexual harassment and bullying
  • one association undertook an audit to monitor compliance with the scheme participant’s obligations to disclose their limited liability status and utilised the findings to conduct a continuing professional development session.

WA: 266

NT: 0

SA: 242

QLD: 1,021

NSW: 2,338

ACT: 0

VIC: 1,421

TAS: 0

Built Environment

Achievements observed in the built environment sector included:

  • undertaking comprehensive activities to inform scheme participants of their obligations and ensure compliance with the professional standards legislation and scheme
  • compliance with the Annual Membership Assurance Report verifying the number of scheme participants for the annual fee period and annual fee payments
  • two associations conducted root cause analysis using data inputs and identified risk management strategies to mitigate the identified risks.

WA: 537

NT: 72

SA: 437

QLD: 1,343

NSW: 4,474

ACT: 496

VIC: 1,885

TAS: 119

Common Topics

Common areas of achievement

Three common areas of achievement have been identified. These are areas where there were positive developments and improvements in performance of professional standards schemes.

  • Scheme administration and Annual Membership Assurance Reporting
  • Conducting risk analysis and utilising root cause analysis as a risk management tool
  • Continuing Professional Development

Common areas for improvement

Three common areas for improvement have been identified, each of them continuing over from the previous year. The Councils are continuing to encourage and assist associations to improve in these areas.

  • Complaints and discipline system improvements
  • Scheme monitoring improvements
  • Discretionary caps and exemptions
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Professional Standard Improvement Program

Icon of clock alongside the words '100% of Professional Standards Improvement Program reports provided on time by regulated associations in 2021 and 2020. Icon of clock alongside the words '100% of Professional Standards Improvement Program reports provided on time by regulated associations in 2021 and 2020.
13 (2020) down to 12 (2021) claims exceeding 50% of the monetary ceiling. Supported by a downward tracking arrow. 13 (2020) down to 12 (2021) claims exceeding 50% of the monetary ceiling. Supported by a downward tracking arrow.
Causes
  1. Negligence – Communication / advice / administration
  2. Misappropriation, misleading and deceptive
  3. Unknown/other
71% (2020) up to 79% (2021) regulated associations that implemented Root Cause Analysis. 87% of these associations incorporated elements of Root Cause Analysis into risk management strategies during 2021 compared to 83% in 2020. 71% (2020) up to 79% (2021) regulated associations that implemented Root Cause Analysis. 87% of these associations incorporated elements of Root Cause Analysis into risk management strategies during 2021 compared to 83% in 2020.

Root cause analysis as a risk management tool

In 2019, the Councils introduced root cause analysis methodology as a practical risk management tool for associations to use to detect underlying causes of complaints and claims.

Of the 79% of associations that implemented root cause analysis in 2021, 87% incorporated elements of root cause analysis into their risk management strategies, a 4% increase on 2020.

Case Studies

Forums Continued to Build the Professional Standards Community

The Councils delivered two online Forums in the reporting period, continuing engagement with occupational associations and delivering encouragement and assistance for the development of associations’ regulatory capacity.

The October 2021 Forum was on ‘Continuing professional development in the regulation of professional standards’; the April 2022 Forum was on ‘Responding to risk – insurance and improvement strategies’.

Video presentation on Risk Management by Mr John Rogers at the October 2021 Professional Standards Forum.
Screenshot of video call showing April 2022 Forum participants.

A clearer, simpler, and more efficient Scheme Application Framework

Released in June 2022, the new Scheme Application Framework was developed in response to association feedback regarding the previous Application Guidelines and Template, which occupational associations found overly technical, cumbersome, and difficult to follow.

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Close up image showing a hand holding a pair of glasses and notebook

Read more in the Councils' 2021/22 Annual Report

Cover of Professional Standards Councils' 2021/22 Annual Report Councils' Work and Activities Chapter