Regulated Professions Issues

Statutory Regulation

A number of professions are regulated by bodies set up under legislation.  In some other cases, particular private bodies effectively regulate the professions on the basis of the private rules of their particular association.

In the case of legislative regulation, there is generally a monopoly for members of the statutory body or association.  It is unlawful to practice the particular professional or occupation without being a member and having the designated qualifications.

In the case of non-statutory bodies it is not unlawful otherwise to undertake the relevant businesses, but in practice, many such bodies are recognised as regulating and maintaining standards in their particular field so that membership is a pre-requisite to practise in the area.

Professions are generally governed by a governing council elected by the members.  There is usually a full-time chief executive and associated staff who maintain and regulate the profession.

Typically the association or body is financed by members of the profession. An annual fee or levy is payable.

Admission

The relevant rules usually set out the conditions for application and admission.  Generally, there is both a relevant qualification and training or other vocational experience is required. Evidence of good character is often required.

It is an offence to practise a statutory profession without being registered and being licensed to practise.  Persons may be prosecuted for undertaking the profession without the requisite licence  Membership of the profession is generally be a precondition for entitlement to use to a particular title.

In most cases, admission depends on both academic qualifications and vocational training. Legislation or associations rules lay down requirements for entry on the register.

Registers of members are kept. They are usually made public.  Registrations of additional qualifications an specialisations may be undertaken.

Practising Licensing and Renewal

There is usually a distinction between bare membership of the body and the continuing licence to practise. There may be registration of members as such and registration of practising members. Both are required in order to practise. A person may remain a member but cease to practise for a period, subject to insurance obligations in some cases.

Registration is often required to be renewed annually.  It is usually a condition of registration that the person is of continued good standing. Renewal fees are payable.

In the case of some professions, minimum public liability insurance is required. Cessation of practise may require run off cover.

The  bodies regulate in the public  interest,  the standards, skills and competence of thier members.I n recent years many professional bodies have instituted continuing professional development requirements.  This requires a certain amount of formal and informal training in each year as a condition of ongoing membership.

Standards and Discipline

Many professional organisations publish codes of conduct or ethical standards.  Breach of the codes and standards or conduct bringing the profession into disrepute lead to disciplinary procedures.

The system may allow for an investigation of complaints as to service.  It may be founded on complaints by members of the public or by investigations initiated by the body itself. In some instances, there is an ombudsman scheme designed to pay compensation for poor service or failure to meet reasonable standards

Irrespective of whether the organisation is constituted by Statute law or by private organisation the rules of natural justice must be followed in relation to disciplinary and conduct matters.  See our administrative law guide.

Generally, disciplinary matters are dealt with by a group within the association.  It may consist of members of the profession and members of the public or a mix.  The sanctions may run from censorship to fines, suspension or striking off from membership

Cases may also be referred to Court to confirm the strike off or ther serios sanctions.THis si becasue the imposition of very seriosu sanction requires a judiical decision.

Because disciplinary matters and the possible sanctions bear upon a person’s reputation and ability to earn a livelihood the Courts may review the standards of procedures applied.

Criticisms and Reform

In some areas, there has been criticism of the self regulatory aspects of professions.  More modern legislation has allowed for greater representation of members of the public or persons interested in the particular service to be represented in disciplinary and other matters.

There has been criticism of the dual representational and disciplinary / enforcement role of certain professional regulators or associations. In some cases, modern legislation has seprate the regulatory are representational roles

There is a tension between the maintenance of standards and the control and admission of new members.  Generally, professional bodies do not have a role in restricting numbers.  The Competition Authority has been highly critical of the restriction of numbers in some cases,  as a potentially serious breach of competition legislation.