Councils' Work and Activities 2022/23

As of 30 June 2022/23, there were 18 schemes in force, 17 nationally. The number of occupational association members subject to these schemes has increased from 93,000 to over 95,000.

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Professional Standards Authority Council member, Ms Catherine (Cate) Wood AM

Professional Standards Schemes

The number of association members subject to schemes has increased over the year from 93,163 to 95,187.

Australian map graph showing the average number of persons by state and territory in professional standards schemes during the period 1 July 2022 to 30 June 2023.

Average number of persons by state and territory in professional standards schemes during the period 1 July 2022 to 30 June 2023.

WA: 7,592

NT: 269

SA: 5,167

QLD: 17,250

NSW: 41,505

ACT: 1,400

VIC: 21,401

TAS: 666

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.

Number of members in associations operating a scheme over the past 10 years

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New reporting guidelines

In 2022, the Councils released the new Annual Professional Standards Report Template and Guidance to associations. This integrates and aligns reporting with the new Scheme Application Framework and streamlines annual reporting requirements.

It is designed to reduce duplication and minimise the volume of required information, focus on changes to systems, and highlight association achievements and areas for continuous improvement.

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

Observations from association annual reporting on schemes

Accountants

Achievements observed across the accounting associations included:

  • each association reviewed and updated risk management plans including existing risks, risk ratings, and the strategies to manage risks to ensure they are current and applicable
  • two associations analysed complaints and professional indemnity insurance claims data and identified risk management strategies to mitigate the identified risks
  • one association launched a new program to assess compliance with professional and ethical requirements and embedded root cause analysis into compliance assessments to understand drivers of non-compliance.

Solicitors

Achievements observed across the solicitor sector included:

  • each association conducted monitoring activities to ensure compliance with limited liability disclosure requirements
  • one association reviewed its risk management and compliance framework, which included a review of existing risks, ratings and strategies and identifying areas for further risk management action, and development of a process for ongoing review of priority risks
  • one association contributed to a review of the conduct rules by consulting with members and providing feedback and recommendations on the changes.

Barristers

Achievements observed across several bar associations included:

  • the conduct of monitoring activities including audits of member compliance with limited liability disclosure and continuing professional development requirements
  • the implementation of risk management initiatives including guidelines, resources, training and continuing professional development sessions to respond to risks of sexual harassment and ethical issues
  • one association implementing a mentoring program to connect junior and senior professionals to support skills development.

Built Environment

Achievements observed across the built environment sector included:

  • identified new and emerging risks and controls to manage these risks
  • one association conducted comprehensive analysis of professional indemnity insurance claims data including claims trends to identify emerging issues, and risk management strategies to address these
  • one association conducted education initiatives including an event to inform consumers about issues and developments in the sector and a webinar to educate members about the operation of the professional standards scheme.
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Association annual reporting outcomes and trends

Icon of documents alongside the words '100% of Professional Standards Improvement Program reports provided on time by regulated associations in 2021 and 2022. Icon of documents alongside the words '100% of Professional Standards Improvement Program reports provided on time by regulated associations in 2021 and 2022.
12 (2021) down to 10 (2022) claims exceeding 50% of the monetary ceiling. Supported by a downward tracking arrow. 12 (2021) down to 10 (2022) claims exceeding 50% of the monetary ceiling. Supported by a downward tracking arrow.
Causes
  1. Negligence in communication / advice / administration
  2. Misappropriation, misleading and deceptive conduct
  3. Miscellaneous issues
In 2021, 79% of associations reported use of elements of root cause analysis. 87% of these associations reported elements of risk management strategies informed by root cause analysis. In 2022, 72% of associations reported use of elements of root cause analysis, 85% of these associations reported elements of risk management strategies informed by root cause analysis. In 2021, 79% of associations reported use of elements of root cause analysis. 87% of these associations reported elements of risk management strategies informed by root cause analysis. In 2022, 72% of associations reported use of elements of root cause analysis, 85% of these associations reported elements of risk management strategies informed by root cause analysis.

Code of ethics

In October 2022, the Councils’ released a new guidance note to assist associations in developing, implementing and revising their codes.

The four-part guidance series is a practical resource with a particular focus on ensuring that codes of ethics are oriented towards improving professional standards and increasing consumer protections.

Case Studies

Scheme benefits and professional indemnity insurance
Consistent with the goals of the Professional Standards Councils’ Strategy 2025, the Councils continued to promote better utilising the benefits of professional standards schemes, focusing on professional indemnity insurance. A Roundtable was held in August 2022 to build on this work and to foster closer collaboration between professional associations, the insurance sector and government regulators.
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Targeting education and CPD programs — addressing risks identified from complaints, claims and compliance monitoring data
Continuing professional development (CPD) and education programs are most effective when targeted at identified areas of need. The Western Australian Bar Association, the Bar Association of Queensland, and other associations utilised complaints and claims data to identify risks to inform targeted CPD programs.
Read case study 
Use of root cause analysis to inform risk management responses
The Australian Property Institute Valuers (APIV) reported continued use of root cause analysis as a tool to analyse risks and inform risk management responses. Using aggregated complaints data and consumer and member feedback, APIV analysed issues and identified how these issues arose by applying the “5 whys” causative analysis technique.
Read case study 
Scheme benefits and professional indemnity insurance
Consistent with the goals of the Professional Standards Councils’ Strategy 2025, the Councils continued to promote better utilising the benefits of professional standards schemes, focusing on professional indemnity insurance. A Roundtable was held in August 2022 to build on this work and to foster closer collaboration between professional associations, the insurance sector and government regulators.
Read case study 
Targeting education and CPD programs — addressing risks identified from complaints, claims and compliance monitoring data
Continuing professional development (CPD) and education programs are most effective when targeted at identified areas of need. The Western Australian Bar Association, the Bar Association of Queensland, and other associations utilised complaints and claims data to identify risks to inform targeted CPD programs.
Read case study 
Use of root cause analysis to inform risk management responses
The Australian Property Institute Valuers (APIV) reported continued use of root cause analysis as a tool to analyse risks and inform risk management responses. Using aggregated complaints data and consumer and member feedback, APIV analysed issues and identified how these issues arose by applying the “5 whys” causative analysis technique.
Read case study 
Scheme benefits and professional indemnity insurance
Consistent with the goals of the Professional Standards Councils’ Strategy 2025, the Councils continued to promote better utilising the benefits of professional standards schemes, focusing on professional indemnity insurance. A Roundtable was held in August 2022 to build on this work and to foster closer collaboration between professional associations, the insurance sector and government regulators.
Read case study 
Targeting education and CPD programs — addressing risks identified from complaints, claims and compliance monitoring data
Continuing professional development (CPD) and education programs are most effective when targeted at identified areas of need. The Western Australian Bar Association, the Bar Association of Queensland, and other associations utilised complaints and claims data to identify risks to inform targeted CPD programs.
Read case study 
Use of root cause analysis to inform risk management responses
The Australian Property Institute Valuers (APIV) reported continued use of root cause analysis as a tool to analyse risks and inform risk management responses. Using aggregated complaints data and consumer and member feedback, APIV analysed issues and identified how these issues arose by applying the “5 whys” causative analysis technique.
Read case study 

Forums continued to serve the needs of the professional standards community

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

The October 2022 Forum was delivered on the topic of ‘Innovation in complaints systems’; the March 2023 Forum was on the topic of ‘Fit-for-purpose regulation: lessons from reviews’.

Three people standing together and having a conversation at a Professional Standards Forum
Group of eight participants sitting around a table with notebooks and drinks, having a discussion at a Professional Standards Forum

Read more in the Councils' 2022/23 Annual Report

Cover of Chapter 1 of Professional Standards Councils' 2022/23 Annual Report - 'Professional Standards Councils' work and activities'