Self-regulated professions

Previous   |   Table of Contents   |   Next

---

Appendix 1: Questionnaire

Competition Bureau
Professions Study
Information on Professions Regulations - Part i

Part 1: General Information

1.1 This questionnaire was completed by:

Name:

Position:

Organization:

Postal Address:

Telephone Number:

E-mail Address:

1.2 Please provide the web sites where the Competition Bureau can find all applicable current rules and regulations governing your profession, including all provincial statutes and legislation, bylaws, constitutions, codes or rules of conduct, regulations, protocols, procedures, guidelines and related documents.

If any of the above documents are not publicly available on-line, please provide a hard copy of these documents with your response to this information request.

Part 2: Organizational Characteristics of Your Profession

2.1 Is membership in a professional association required in order to become a full member of your organization or profession? Yes ______ No ______

If the answer is “Yes”, are there more than one such professional organizations for your profession in your province? Yes____ No____

If the answer is “Yes” again, please identify all such professional organizations in your province.

2.2 Please choose which category is true for the main organizational structure of your profession. (Please choose one and add comments if applicable) See Note 1.

Licensing and compulsory membership in a professional association
Licensing without compulsory membership in a professional association
No compulsory licensing and voluntary membership in a professional association ( = certification)
No compulsory licensing nor voluntary membership in a professional association (= certification)

2.3 Regulations are created…(please choose one)

exclusively by public authorities
exclusively by the responsible professional association
by public authorities and by the professional association
other (explain)

2.4 The implementation of the regulations is organized and controlled ….

exclusively by public authorities
exclusively by the responsible professional association
by public authorities and by the professional association
other (explain)

2.5 Please identify all provincial bodies that govern the regulations and codes of conduct for your professional organization (e.g. government departments or agencies, provincial colleges)

2.6 Disciplinary sanctions for failure to respect these regulations are decided…...

exclusively by public authorities
exclusively by the responsible professional association
by public authorities and by the professional association
other (explain)
there are no such sanctions

Please provide the number of all cases during the period 2001-2006 inclusive in which a member of your professional organization was sanctioned for failure to respect the rules or regulations governing advertising, pricing, exclusive rights, accreditation, “conduct unbecoming”, or participation in unauthorized business structures or practices. In each case, please provide the adjudicative decision including the identity of the parties involved..

Which organization(s) is responsible for processing, hearing and adjudicating complaints against professional members by other members or the public?

Part 3: Customers and Clients of Your Professional Services

3.1 Who uses your professional services? Please provide best estimates if actual revenue numbers are unknown

Private Households % of annual professional income_______

Government % of annual professional income_______

Other Public Sector % of annual professional income_______

Large Business % of annual professional income_______

Small and Medium Business % of annual professional income_______

3.4 For each of the four categories listed in question 3.1, what proportion of your customers/clients are insured for your professional services? (“insured for” means that a third-party covers the expense of the professional service e.g. a health insurance plan)

3.5 With regard to practice insurance for your members, must this insurance be purchased from an association to be effective or do your members have the option to purchase it from any source?

Part 4: Restrictions on Entry into Your Profession

4.1 Are there specific regulations or certification requirements that must be met before an individual may enter your profession in your province or territory or before gaining a professional title? Yes _____ No _____

4.2 If the answer is “Yes” to question 4.1, please identify the sections in applicable legislation, regulations, bylaws, codes or rules of conduct or other applicable document(s).

4.3 Please list up to ten services that your professional organization has an exclusive right to offer in your province and the estimated % of total member revenue obtained from each service for the years 1995, 2000 and 2005.

Exclusive services offered by your profession		% of Total Revenue
1.		1995 2000 2005
2.		1995 2000 2005
3.		1995 2000 2005
4.		1995 2000 2005
5.		1995 2000 2005
6.		1995 2000 2005
7.		1995 2000 2005
8.		1995 2000 2005
9.		1995 2000 2005
10.		1995 2000 2005

4.4 Are there specific regulations or restrictions on access by others to the market in your province for the services offered exclusively by your professional organization?

Yes____ No ____

If the answer is “Yes”, please identify these restrictions.

4.5 Please list up to five services that both your professional organization and other professional organizations have the right to offer in your province and identify those other professional organizations

Type of service	Other Professional Organization
1.
2.
3.
4.
5.

4.6 Please list up to five services that your professional organization does not have the right to offer in your province but which you believe you are qualified to offer. Please identify the professional organization(s) offering the service now and provide the justification for why you are excluded and why you believe you can offer the service identified. (Note: If there more than five services, please provide the identical information for each.)

Type of service	Other Entity	Justification
1.
2.
3.
4.
5.

4.7 Is a university or college degree a necessary precondition to become a member of your professional organization? Yes university _____ Yes college ______ No ______

If answer is “Yes”, which degree and what is the minimum duration of study? Please give exact information

Name of qualification:

Years of study:

4.8 Are higher education qualifications necessary for entrance to your professional organization? Yes ____ No ______

If the answer is “Yes” to question 4.8, of what duration? Please give exact information

Name of each qualification:

Years of study for each qualification:

4.9 Are there requirements in regard to a period of relevant practice or experience (e.g. articling) in order to become a full member of your professional organization?

Yes ______ No ____

If the answer is “Yes” to question 4.9, of what duration? Please give exact information

Additional relevant practice requirements:

Duration:

4.10 Is there a requirement to pass one or more special professional exams in order to become a full member of your professional organization and offer services that are restricted to your professional organization? Yes ______ No ______

If the answer is “Yes” to question 4.10, how many exams and provide the name of each. Also, what entity administers these exams?

4.11 Are further exams or continuing education required for the members of your professional organization? Yes ____ No _____

If the answer is “Yes” to question 4.11, please list these requirements and describe how continuing education is organized and controlled.

4.12 How does your professional organization deal with the admittance of individuals who are qualified to practice your profession in (a) other provinces and (b) other countries?

4.13 If a member leaves your professional organization for a year or more, is she or he required to re-qualify in order to practice your profession? If so, please identify all requirements.

Are there any restrictions on who may use the designation associated with your profession (e.g. medical doctor, chartered accountant, lawyer, etc.)

4.15 Are there limitations on the number of individuals who may enter your professional organization each year? (Assuming the individual has the prerequisite educational qualifications.) If so, please describe these limitations including identifying the mechanisms used to limit entry.

4.16 Is the establishment of a business in your profession restricted to specific forms of business structure or ownership (such as limited liability partnerships or public companies).?

Yes ______ No ______

If the answer is “Yes” to question 4.15, please identify the kinds of business structures which are not permitted: (check all that are applicable)

sole practitioners
limited liability partnerships
public limited companies
private company
other (please specify)

4.17 Is the establishment of a business in the profession restricted by quotas or economic needs tests? See Note 2. Yes ____ No _____

4.18 Are there regulations on compulsory professional indemnity insurance?

Yes ____ No ___

If the answer is “Yes”, what is the minimum amount in Canadian dollars which professionals must be insured? Per case ________________

Per Business _______________

Part 5 Regulations on Professional Conduct

5.1 Are there regulations or suggestions for the fees/prices for services your profession offers? Yes _____ No ______

If the answer is “Yes” to question 5.1, please identify the sections in the applicable legislation, regulations, bylaws, codes or rules of conduct or other applicable document(s).

If the answer is “No”, go to question 5.3

5.2(a) For each type of service your profession offers, please identify which of the following pricing applies:

binding minimum fees/prices for all services

binding maximum fees/prices for all services

binding minimum fees/prices for some services

binding maximum fees/prices for some services

non-binding suggested fees/prices

binding suggested fees/prices

other (please describe)

5.2(b) Are these binding or suggested fees/prices always respected in practice?

Yes____ No_____

If the answer is “No” to question 5.2(b), do enforcement mechanisms exist to ensure binding fees/prices are respected? If so, please identify these enforcement mechanisms.

5.2(c) If the answer is “No” to question 5.2(b), are actual fees/prices or lower on average than binding or suggested fees?

Higher _____ Lower _____

5.2(d) How are price lists determined in your profession?

5.2(e) How often are fee/price lists changed? Once a year _____

More than once a year _______ Other ____________ (please explain)

5.2(f) Are there any restrictions on particular pricing arrangements (e.g. contingency fees)? If yes, please specify these restrictions.

5.2(g) Please provide all fee/price lists (either binding or non-binding) for your profession for the years 1995, 2000, 2005 and 2006 for the province in which your profession provides service.

5.3 Are there regulations on advertising and marketing in your profession?

Yes ___ No _____

If the answer is “Yes” to question 5.3, please identify the sections in the appropriate legislation, regulations, bylaws, codes or rules of conduct or other applicable document(s).

If the answer is “No” to question 5.3, go to question 5.5.

5.4 Of what kind are these advertising and marketing restrictions?

all forms of advertising are strictly forbidden
most forms of advertising are forbidden
some forms of advertising are forbidden, these being:
direct mailing
price advertising
comparative advertising
other (specify)
1.
2.
3.

5.5 Are there regulations restricting geographical areas of service? Yes____ No _____

If the answer is “Yes” to question 5.5, please identify these regulations and the applicable legislation, regulations, bylaws, codes or rules of conduct or other applicable document(s).

If the answer is “No”, go to question 5.7

5.6 Of what kind are these regulations on location and diversification?

geographical restrictions on offering services e.g. territorial restrictions
restrictions on establishing branch offices
other (please specify)

5.7 Are there restrictions on multidisciplinary partnerships with other professionals? (e.g. accountants and lawyers)

If the answer is “No” to question 5.7, go to question 5.9.

5.8 If the answer is “Yes”, what are these restrictions on multidisciplinary partnerships?

any form is generally forbidden
incorporation is generally forbidden
some comparable licensed professions are allowed to cooperate in various commercial forms (including incorporation)
incorporation is allowed only with the comparable licensed professions but incorporation is forbidden
If other circumstances apply, please describe

5.9 Are there any regulations on specialization in your profession? See Note 3.

Yes _____ No ______

If the answer is “Yes”, how is specialization organized? Is there a right to the title for this specialization? May this specialization be advertised? Please describe?

Part 6 Other Instruments for Quality Control

6.1 Are there any special (voluntary) certification systems, which coexist alongside the traditional licensing or certification model? See Note 4.

Yes ______ No ______

If the answer is “Yes”, please describe these systems, their purpose, and provide your experience with these systems.

6.2 Does there exist any other special instruments of quality control not mentioned in the data sheet so far? Yes _____ No _____

If the answer is “Yes”, please describe each of them, their purpose, and provide your experience with each of them.

Part 7 Other Restrictions

7.1 Please identify any arrangements your professional association has negotiated with professional associations in other parts of Canada or internationally which gives your association the exclusive right to provide specific services. Please identify these services, the names and locations of these other professional associations and the date the arrangement was negotiated.

7.2 Please identify any other areas (other than those referred in Part 4 above where your professional association or others practicing your profession restrict entry into the profession or otherwise regulate the market conduct of members.

Competition Bureau
Professions Study
Information on Professions Regulations - Part ii

Part 8 Changes to the Regulatory Framework

8.1 Please give a brief overview of areas in which regulation of your profession has changed in the past ten years. If you wish to include a longer exposition, report, or study results, please provide a copy.

Area of Regulation	Changes to Regulation	Purpose for Changes	Date of Implementation
1.
2.
3.
4.
5.
6.
7.
8.

8.2 Please give a brief overview of areas in which regulations of your profession are currently being discussed. If you wish to include a longer exposition, reports, or study results, please indicate this.

Area of Regulation	Changes to Regulation	Purpose for Changes	Date of Implementation
1.
2.
3.
4.
5.
6.
7.
8.

Competition Bureau
Professions Study
Information on Professions Regulations - Part iii

Data on Your Profession

In the following sections data is requested for the years 1995, 2000 and 2005 .

Part 9 Membership of the Professional Body (See Note 5)

Please state, if known (this question refers to the professionals and firms in the province of your own professional body)

Total Membership of your Professional Body (by membership category - name as appropriate)	1995	2000	2005

Part 10 Stages of Access to the Profession

Please fill in the categories which are applicable to your profession.

	1995	2000	2005
newly admitted profession members in each year
trainees passing Final Qualifying Exams in each year
trainees writing Final Qualifying Exams in each year
professional trainees (in all stages of pre-qualifications)
new trainee entrants in each year
graduates from relevant disciplines, if known (e.g. law faculties etc.)

Part 11 Questions about the Profession as a whole

11.1 Professionals

	1995	2000	2005
Total # of professionals practising in your province
percentage of above self-employed (%)
percentage of above non self-employed (%)

11.2 Firms Practising the Profession in your province ( see Note 6 )

	1995	2000	2005
Total # of firms in your province
percentage of firms non-incorporated (%)
percentage of firms incorporated (%)

11.3 Size of Firms (in terms of Professionals)

Total # of firms in your province	1995	2000	2005
% of firms with 1 qualified professional
% of firms with 2 qualified professionals
% of firms with 3-5 qualified professionals
% of firms with 5-30 qualified professionals
% of firms with more than 30 qualified professionals

11.4 Size of Firms (in terms of Non-Professional Employees)

Total # of firms in your province	1995	2000	2005
% of firms with 0 employees
% of firms with 2 employees
% of firms with 3-10 employees
% of firms with 10-50 employees
% of firms with more than 50 employees

11.5 Size of Multi-branch Firms (note that this refers to points of access by clients/consumers of professional skills. A branch office is counted as a separate location)

Total # of firms in your province	1995	2000	2005
% of firms with 1 office in province
% of firms with 2-5 offices in province
% of firms with 5-20 offices in province
% of firms with 20-50 offices in province
% of firms with more than 50 offices in province

11.6 Cost Structure of Firms (Please enter best estimates for “median firm” in your province)

% of total costs	1995	2000	2005
Remuneration of Professionals
other wages and salaries
cost of professional insurance and risk
investment in office premises
investment in technology (e.g. computers)
on-going professional education (courses)
other costs (specify if possible)
Total Costs	100%	100%	100%

11.7 Average Revenues by Size of Firms (Please enter best estimates for “median firm” in your province average revenue in dollars)

	1995	2000	2005
Firms with 1 qualified professional
Firms with 2 qualified professionals
Firms with 3-5 qualified professionals
Firms with 5-30 qualified professionals
Firms with more than 30 qualified professionals

11.8 Average Revenues by Size of Multi-branch Firms (Please enter best estimates for “median firm” in your province average revenue in dollars)

Average revenues for

	1995	2000	2005
Firms with 1 office in province
Firms with 2-5 offices in province
Firms with 5-20 offices in province
Firms with 20-50 offices in province
Firms with more than 50 offices in province

Notes to the Survey Questionnaire

Note 1

Licensing indicates cases where there is a requirement for official/legal permission to offer specific services in the market. Such licensing is typically carried out by public authorities and/or the responsible professional association. Only licensed service providers are allowed to use a specific professional title.

Certification indicates cases where there is no requirement for licensing in order to offer specific services in the market, but usually where service providers are organized in one or more professional bodies and to obtain this certification they have to fulfil certain qualification (e.g. educational) requirements. Usually only the service providers certified in this way are allowed to use a specific professional title.

Note 2

In general terms this question deals with quantitative restrictions on the number of people who may enter the profession and offer the respective services. Such limits may be related to an economic needs test or other types of proviso, e.g., a limit to the number of professionals a community can support.

Note 3

Specialization may take different forms. A lawyer may, for example, acquire specific skills and some kind of additional certification in the field of family law. In this context “specialization” means that the respective member of the profession not only has the advantage of acquiring specific skills but that this specialisation is recognised by some kind of institutionalized certification. This may take place within the traditional licensing or certification model adopted by the profession, or as a separately organized grouping.

Note 4

For the term “certification” see Note 1. This question deals with special voluntary certification that, for example, may exist in the context of further specialisation (see Note 3) or international recognition.

Note 5

Membership of a Professional Body may not necessarily extend to all professionals in your field. Nevertheless, in this section information regarding your knowledge about the profession as a whole is sought. Please answer with concrete data, or where this is not available, with an estimate based on your knowledge of the profession. If it is an estimate, please identify it as such.

Note 6

This includes all firms whose primary business involves practicing the profession, e.g., accountancy firms and firms offering accountancy and legal services, but not an industrial firm employing some professional accountants.

---