Professional Qualifications Bill factsheet: Information sharing
Updated 3 November 2021
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This is one of a series of factsheets exploring themes in the Professional Qualifications (PQ) Bill.
The PQ Bill was introduced to Parliament in May 2021. It will revoke an interim system for the recognition of professional qualifications from overseas, derived from EU law, which often means preference is given to EEA and Swiss professionals. The PQ Bill enshrines the autonomy of regulators in determining whether individuals are fit to practise. Amongst other matters, it provides the ability to empower regulators to conclude recognition agreements with their overseas counterparts.
Summary
This factsheet outlines what information regulators may need to share with other regulators across the UK and with their overseas counterparts, when that applies. It does not constitute guidance on how to comply with measures in the PQ Bill once enacted.
Why does information related to the recognition of professional qualifications need to be shared?
Sharing between regulators of information related to an individual’s professional qualification and experience can support professionals gain recognition to practise in other jurisdictions. It also helps regulators receiving the information determine an individual’s entitlement to practise, such as any information relating to disciplinary action or sanctions.
In many cases, information sharing between regulators already happens, but it is often done voluntarily. The PQ Bill will provide a consistent legal basis for information sharing between regulators to support decisions on entitlement to practise. This will apply when individuals with professional qualifications from one part of the UK are seeking to practise in another part of the UK, or where individuals with professional qualifications from the UK are seeking to practise overseas.
The measures in the PQ Bill support regulators in having the necessary information to regulate their professions effectively which can benefit consumers, public health and the environment. Individuals seeking to have their professional qualifications recognised may also benefit from collaboration between regulators through quicker decisions to allow them to provide their professional services in another jurisdiction.
What information needs to be shared?
The PQ Bill provides flexibility on the exact information to be shared, which is best determined by regulators as the experts in information related to their profession. For example, fitness to practise may for some professions consist of medical and eyesight tests, while for other professions it can be a broader assessment of professional conduct.
UK regulators will have to share information relating to an individual’s entitlement to practise, if requested, with their equivalent domestic or overseas regulator. This includes but is not limited to: information on entitlement to practise such as notice of registration documents or fitness to practise documentation; any evidence of professional misconduct against an individual; and whether an individual has ever been subject to disciplinary action, sanctions, or has ever committed a criminal offence inside or outside of practice.
The PQ Bill sets out certain conditions which must be satisfied before the sharing of information. These relate to how the request must be made, whether the regulator holds the information, and that sharing the information does not contravene data protection legislation. This balances the need for regulators to receive the information that they need while respecting regulator autonomy and avoiding placing them under undue burdens.
What does it mean in practice?
a. For applicants or regulators requesting information
Requests to share information can be made by the individual to which the information relates or by the corresponding UK or overseas regulator. If the request is made by the overseas regulator, the information can only be shared with the consent of the individual.
Where multiple regulators oversee a profession, an individual or regulator requesting the information should contact the appropriate regulator who holds the information. Where multiple regulators oversee a profession, the individual should visit those regulators’ websites which will indicate the regulator that holds the appropriate information. The information that regulators have to publish is set out in the information publication factsheet.
Where the request is by an overseas regulator there should be proof that the individual has consented to their information being shared.
b. For regulators who receive requests for information
Upon receiving a request for information from a domestic or overseas regulator of a corresponding profession or from an individual who is entitled to practise in the UK or a part of the UK, a regulator must check that:
- it holds the information requested
- the information requested clearly relates to a named individual
- the information is necessary to determine that individual’s entitlement to practise.
If the regulator is satisfied that all these conditions have been met, the regulator must release the information to the regulator in the other part of the UK or overseas. There is no set format that the information must be provided in, but it should be usable and complete wherever possible. Any sharing of information must also be done in accordance with data protection legislation.
There is no set time for a regulator to provide the information requested.
If any of the above 3 conditions are not met, the regulator does not need to share information. The regulator should inform the person who has requested the information that they are unable to meet the request, ideally explaining why the request cannot be met.
Scenario 1: A regulator in Scotland sharing information with an equivalent regulator in Wales under the domestic information sharing requirement
A professional qualified in and currently practising in Scotland is considering moving to practise their profession in Wales.
The individual’s profession is regulated by an oversight body with responsibility for the entire UK, but this body has delegated its functions to a separate regulator in each of the 4 nations of the UK, which each have jurisdiction in their respective nation. The individual, therefore, applies for recognition of their professional qualification in Wales.
Before granting recognition, the Welsh regulator wants to check whether there is any evidence of professional misconduct against the individual.
The Welsh regulator considers whether to ask the oversight regulator which has oversight responsibility for the Scottish regulator and which could request the information from the Scottish regulator or whether to ask the Scottish regulator itself.
Although the oversight regulator is a regulator under the definitions of the PQ Bill, the oversight regulator would not have the information at the point of request.
The Welsh regulator therefore approaches the Scottish regulator directly to provide the information. The Scottish regulator agrees to sharing as all the information requested is held by the regulator, is reasonable to help make the determination and does not breach data protection legislation.
The information provided by the Scottish regulator allows the Welsh regulator to determine that the individual is entitled to practise the profession in Wales as the individual has satisfied all the application requirements as well as the fit and proper person test.
Scenario 2: A regulator in the UK sharing information with an equivalent regulator in Canada under the overseas information sharing requirement
A UK qualified professional is applying to practise their regulated profession in Canada. They contact the Canadian regulator of the profession they practise to open an application.
The Canadian regulator needs to assess the individual’s aptitude to practise and their conduct at work, and so requires the individual to provide information on their fitness to practise. They identify that they need records pertaining to any professional sanctions the applicant has received in delivering their profession, in order to determine the entitlement of the individual to practise the profession.
The individual grants permission to the Canadian regulator to request this information directly from the UK regulator.
The Canadian regulator provides evidence of the individual’s consent and requests that the UK regulator provide information about the individual.
The UK regulator identifies that all the information requested is held, is reasonable to help make the determination, and does not breach data protection legislation.
They collate the requested information on the individual.
The Canadian regulator receives the fitness to practise document and sanction records over email, which enables the Canadian regulator to determine that the individual meets the standards required, enabling them to practise.
While these worked examples use particular countries, this is hypothetical: it is not necessarily indicative of any particular profession. The overarching steps to take would be consistent for all information sharing, but the ways in which those steps are taken, for example how requests are made or fulfilled, will be determined by the relevant regulator in keeping with what is most appropriate for the profession they are considering.