Self-Regulating Your Profession

By Randy Lindner

Distinguishing professional competencies in the eyes of the public and the regulatory community is becoming increasingly important. By its very title, a credential suggests that members have the knowledge and skills that are required to be a member of a profession. It also suggests that the members will perform in a manner that is both professional and ethical.

For a member, then, a credential becomes a method with which to differentiate oneself—an asset in the marketplace. A credential also benefits the profession by providing established standards of professional practice. The profession is able to regulate itself by using the standards that are developed through the credentialing program.

The public benefits from credentialing by being assured that members of a profession are competent and ethical, and that there is a degree of protection when the public engages their services. This is of particular importance for emerging professions when the public is looking for assurance of competence and safety.

Additionally, credentialing holds the profession accountable for adherence to professional ethics and competent practice; therefore, the sponsoring organization must assure that the process for credentialing is fair and has provision for appeal and due process. The sponsoring organization must also understand that there is potential liability associated with credentialing programs.

For the association that is thinking about launching a credentialing program, there are a number of items to consider, including: the type of credential to be offered, what form of regulation to employ—self-regulation, government regulation; or a partnership of self- and government regulation; standards of professional practice; and how to measure competency.

The discussion of which form of professional regulation to use should include the following:

• Which form of regulation best fits your membership and their profession;
• What is your foundation for regulating membership (i.e., definition of the profession and core competencies, how to test and credential, code of ethics, ethical conduct review process, etc.);
• Will regulation create unreasonable barriers to entry into the profession or association (i.e., are requirements so restrictive that they create an elitist society);
• Will regulation apply to all members of the profession or just members of your association;
• Should you plan to eventually expand beyond voluntary self-regulation of membership to a larger scope of regulating the profession in which you partner with government?

SELF-REGULATING: SHOULD IT BE VOLUNTARY OR MANDATORY?
Self regulation of a profession can be either voluntary or mandatory, depending on the intent of your credentialing program.

Voluntary self-regulation. If your intent is to define your membership by providing recognition that they meet predetermined qualifications or standards, then voluntary self-regulation (the process of certification) is adequate. This message can be communicated to the public to provide a level of comfort that professional standards exist and are met by those members who are certified.

Mandatory self-regulation. If your intent is to define the profession and protect the public, then mandatory compliance with regulatory standards (the process of registration) is required. This partnership of self regulating and government is necessary because government must enact legislation that gives your association recognition as the credentialing body for the profession.

Mandatory shared-regulation. If practice and public protection are of utmost importance, then mandatory compliance where the association serves as the credentialing body and government sets the standards and licenses the professionals (the process of licensure) is necessary. This approach raises issues for an association that operates in multiple states, and for members who move from state to state or practice in multiple jurisdictions, and the impact of both on the regulatory process.

ASSURING PROFESSIONAL COMPETENCE
As a credentialing body, your association must be prepared to meet two important responsibilities beyond the process of providing the credential: first, provide or partner with other providers to offer programs that assure professional competence (education), and, second, provide a process for ethical conduct review.

The education program should include four key elements:

1. A definition of standards for the education of a professional to be credentialed in your profession/occupation;
2. Provision for actual training programs that members of the profession can take to meet the established standards of education;
3. A standardized examination that members of the profession can take to demonstrate that they meet the established standards;
4. Continuing education/professional competence programs, including CEUs that are reviewed and approved by your association or an independent third party as supporting the standards of education.

Continuing education can also be viewed as a revenue opportunity for your association. As such, it requires a carefully thought-out strategy and process in order to be a successful revenue generator.

The process for ethical conduct review also includes four key elements:

1. A definition of the complaint process needs to be clearly defined for members of the profession, for government (in order to receive government’s recognition as a self-regulated profession), and for the public;
2. Disciplinary action must be part of the complaint process, especially if your association wants to assure the public that you are protecting them from harm;
3. Confidentiality policies must be part of the complaint process in order to protect all parties involved, and to keep the details of the case private;
4. Training must be provided to everyone involved in the process to maintain quality and consistency.

Assuring professional competence raises a variety of other issues for your association. Most important among these is your association’s professional liability when you become involved in such actions as credentialing and ethical conduct review. Anti-trust issues, created when you become the gate keeper of the profession, and international issues, created by non-U.S. citizens who are not subject to U.S. laws and regulations, also need to be carefully weighed.

SUMMARY
Credentialing is an excellent way to provide value to your membership, while assuring government and the public that, as a self-regulating organization, you are maintaining levels of conduct and professionalism that protect the public from harm. A number of considerations must be weighed when deciding what type of credentialing program to offer your membership. Many associations who are new to credentialing, or whose members are in an emerging profession, begin by offering a voluntary self-regulating

(certification) program that only applies to their members. Later, after they have refined their processes, they consider mandatory self-regulation (registration) in partnership with government in order to gain recognition as the credentialing body of the entire profession.

Randy Lindner, CAE is President and Chief Operating Officer of Bostrom Corporation.