Mission Delineation for Professional and Industry Associations in the Regulatory Landscape (Professional Governance)

Introduction

Professional and industry associations often find themselves navigating a complex landscape alongside statutory regulators. While both may address matters of professional conduct and competence, the roles and approaches of these bodies can—and should—differ significantly. This article describes the challenges associations face when they attempt to mirror statutory regulators in their handling professional conduct grievance and disciplinary interventions - often leading to confusion and inefficiency. Clear mission delineation is essential to maintaining the integrity and distinct purpose of professional associations.

The Problem: Mimicking Regulatory Roles

In many instances, industry and professional bodies mistakenly believe that they must act as regulators, following a self-regulation model. This can stem from outdated notions of self-regulation or pressure from members and the public to adopt a hard-edged regulatory stance. However, regulatory responsibilities have largely shifted to statutory bodies, which operate under legislative mandates with statutory powers. When associations attempt to mimic the role of these statutory regulators, the result is often a “soft option” approach. This undermines more formal regulatory frameworks and can hinder the effectiveness of statutory bodies.

Associations that blur these lines can be perceived in two damaging ways:

• Undermining statutory regulators: By appearing to offer a softer or less rigorous alternative, associations can interfere with statutory processes, reducing the impact of sanctions or regulatory actions.
• "Booster" support: In other cases, associations may achieve little more than to act as the boosters or supporters of statutory bodies, offering only than a redundant layer of bureaucracy, weak processes, and soft remedies.

In both cases, associations risk losing credibility and focus. For professional and industry bodies to be effective, they must be clear about their mission and the unique value they offer to members.

A Distinct Mission for Associations

The key to success lies in ensuring that associations embrace their distinct role as membership organisations. Unlike statutory regulators, whose primary role is to protect public interest through enforcement, associations should focus on supporting their members' growth, competence, and ethical practice. For instance, consider:

• Regulators’ approach: "We detected three cases of unprofessional conduct and imposed sanctions."
• Associations’ approach: "We were alerted to three cases where a member’s conduct was called into question. We assisted the member to identify the issues at stake and to take corrective action."

This distinction underscores the supportive, developmental role that associations can play in maintaining professional standards, rather than adopting a prosecutorial function. Moreover, it highlights the advantage associations hold over statutory regulators, as they can foster innovation and best practices, moving beyond the limits of mere compliance.

Focus on Core Strengths

If the purposes for which your association is incorporated include objects such as:

·???????? Advancing your industry or profession

·???????? Improving business or professional business standards

·???????? Advancing education in your field

·???????? Advocacy

your professional conduct framework and intervention procedures should be carefully aligned with those purposes, rather than to objectives such as licensing or registration, setting qualifications and competency standards, or consumer protection, which are better left to the statutory schemes.

Conclusion

Professional and industry associations have a unique role to play in today’s regulatory environment. Yet they are often staffed by volunteers and may have little leverage beyond their members’ desire to remain members of what is often a voluntary association. That is not to deprecate the important role that committed volunteers play in providing peer-leadership and guidance within the scope of the expertise and experience. However, to avoid falling into the trap of mimicking statutory regulators, they must clearly delineate their mission and purpose. Doing so not only supports the work of statutory regulators but allows associations to serve their members more effectively by focusing on guidance, development, and the promotion of ethical standards.

By focusing on their objectives, associations have an opportunity in the current regulatory landscape to reposition themselves as leaders in professional growth, ethical guidance, and community-building—roles that statutory bodies often cannot fill.

Engage:

1. How can professional associations better communicate their distinct mission, ensuring they are not seen as mimicking statutory regulators?
2. What are the potential consequences for associations that fail to clearly delineate their role from that of statutory regulators?
3. In what ways can associations strike a balance between supporting their members and ensuring accountability without appearing to provide a “soft option”?
4. How can an association’s approach to professional conduct interventions be framed in a way that emphasises guidance and improvement rather than enforcement?

Andrew C Wood

https://bsky.app/profile/woodac.bsky.social