1. International Conference of Legal Regulators Competence on Admission 27 September 2012 Professor Andy Friedman University of Bristol CEO, PARN Professional Associations Research Network

2. Outline  PARN and PARN information base  The three pillars model  Ethical competence  Judging Character and Suitability

3. About PARN PARN is a centre of knowledge and expertise on issues relating to professionalism and professional bodies including regulatory bodies and learned societies PARN is a member-led organisation providing a research enriched network for over 130 professional bodies in the UK, Ireland, Canada and Australia PARN offers specialist knowledge-based services, events and training on subjects such as governance, CPD, member relations, ethics, standards & regulation

4. PARN Information Base General survey under the label of the International Benchmarking Survey: 2003, 2006, 2009 planned 2012 Member Enquiry System >200 information based on member- generated questions Most research projects involve surveys, interviews and workshops/focus groups

5. Selection of books Friedman and Hanson (2010) Professional Standards Regulation, Bristol: PARN Friedman (2012) Continuing professional development: Lifelong Learning of Millions, London: Routledge Friedman (2007) Ethical Competence and Professional Associations, Bristol: PARN Friedman, Daly & Andrzejewska (2005) Analysing Ethical Codes of UK Professional Bodies, Bristol: PARN

6. PARN’s Professional Standards Regulation Research Projects for FSA (Financial Services Authority) professional standards and measuring benefits of types of support for them literature review on measuring effectiveness Projects for PARN members structure of regulation among organisations professional standards for professional registers

7. Three Pillars of Professional Standards Regulation 1. Entry Standards Set and develop standards of competency and conduct and use these as criteria for admittance or registration 2. Complaints and Discipline Accept and investigate complaints, hold hearings based on investigations and punish those found guilty possibly by suspension or expulsion. Run an appeals process. 3. CPD and positive supports for ethical competence Set and monitor CPD policy and ensure that it is followed. Support ethics content and provide other forms of guidance and publicity on ethics

8. Contrary trends towards all graduate entry and increasing the number of entry routes associated with widening access Rising concern with character perhaps connected to ease of plagiarism, but different approaches to ‘suitability’ Accreditation of employer education Balance from general to applied knowledge and skills Supervised experience, pre and post qualifications connected with concern for graduate competence “Fit to practise vs. Fit for purpose” Pillar 1: Trends and Issues

9. Defining ethical competence For professionals ethical competence: Builds on knowledge and technical competence Requires experience of professional practice Is based on ethical principles Is essential for building trust

10. Ethical Competence Knowing when and how to apply knowledge, skills and expertise and when to forbear, based on ethical principles For professionals knowing how to perform professional services as prescribed by ethical codes of professional bodies and as prescribed in some competency frameworks Knowing how to react to situations which are not precisely prescribed in codes, but which involve the ‘ spirit ’ of codes. What is ‘right’ & ‘not right’ taking into account client needs and what is morally correct & sensitive to the situation of clients and other stakeholders in a broad sense.

11. SRA Suitability Test 1. Criminal offences – convictions and possibly for warnings 2. Disclosure – on application 3. Behaviour not compatible with expected – dishonest, violent discriminatory, misuse of position for money or in relation to vulnerable people or demonstrating you cannot be relied on to discharge your regulatory duties 4. Assessment offences – plagiarism or cheating 5. Financial evidence – cannot manage your finances, bankrupt 6. Regulatory history – subject of disciplinary finding, refused registration or other breaches 7. Evidence – in mitigation …Supporting the professionalisation of professional bodies.

12. Accreditation of Residency Programs American Accreditation Council for Graduate Medical Education Professionalism 1 of 6 competencies required to take certification exam but this can be embedded in an overall grade American Board of Internal Medicine criteria similar but require a separate grade for professionalism component Papadakis et al 2008 Ann Intern Med, 148: 869-876 judgements of professionalism 66,171 resident trainees 1990- 2000 ‘Residents with low professionalism score had nearly twice the chance of being subsequently disciplined by a state licensing board.’ …Supporting the professionalisation of professional bodies.

13. Professionalism judged on 9 point scale by tutors according to following criteria Aspire to altruism Accountability Integrity Commitment to excellence Duty Service Honor Respectful to other healthcare professionals responsible Reliable Punctual Cooperative Displays initiative Provides effective leadership Maintains legible and timely records …Supporting the professionalisation of professional bodies.