HRPA s Regulatory Framework: Regulating the Human Resources Profession in Ontario

Transcription

1 : Regulating the Human Resources Profession in Ontario Claude Balthazard, Ph.D., C.Psych., CHRP Vice-President Regulatory Affairs Human Resources Professionals Association April 25, 2014

2 Housekeeping Slides, archived webinar, and Q&A will be posted on HRPA website on the Regulation and designation page in a few days Continuing professional development code will be given at the end of the webcast Time has been set aside for questions at the end of the webcast but you can submit your questions at any time All questions and their answers will be posted on the HRPA website

3 Why a series of webinars on professional regulation? Not so long ago, professional regulation was an unknown topic at HRPA. But now, with the passage of the Registered Human Resources Professionals Act, the whole topic of professional regulation has become more front and center. And yet, it is a topic that is still not particularly well understood. The purpose of this series of three webinars is to help HRPA members and others gain a better understanding of professional regulation, what it is and how it works.

4 Webinar series on professional regulation 1 What does it mean to be regulated? 2 HRPA s regulatory framework 3 What s next in regards to regulation?

5 Today s webinar What is regulation? Mandate and powers Governance Guiding principles for HRPA s regulatory activities Policy vs. adjudication Staff vs. volunteer roles A look at the machinery of regulation at HRPA Other aspects of professional regulation

6 What is professional regulation? Anything and everything that is done with the objective of minimizing or mitigating the risk to the public or to users of a professional service which follow from the practice of a profession could be considered professional regulation This is a broad definition that may challenge some conceptions as to what professional regulation is

7 It really isn t about powers To think of professional regulation as primarily to do with the exercise of powers is not an accurate view of what professional regulation is all about The powers are there to facilitate the protection and promotion of the public interest, but this is not what professional regulation is all about

8 The Registered Human Resources Professionals Act, 2013 The government has given us a job to do keep the public (businesses and employees) safe from incompetent and/or unethical HR professionals

9 Objects of the Association under the Registered Human Resources Professionals Act, The objects of the Association are, (a) to promote and protect the public interest by governing and regulating the practice of members of the Association and firms in accordance with this Act and the by-laws, including, (i) establishing, maintaining, developing and enforcing standards of qualification, (ii) establishing, maintaining, developing and enforcing standards of practice, (iii) establishing, maintaining, developing and enforcing standards of professional ethics, (iv) establishing, maintaining, developing and enforcing standards of knowledge, skill and proficiency, and (v) regulating the practice, competence and professional conduct of members of the Association and firms; (b) to promote and increase the knowledge, skill and proficiency of members of the Association, firms and students; (c) to promote and protect the welfare and interests of the Association and of the human resources profession; (d) to promote inter-professional collaboration with other professional bodies; (e) to address any other matter that relates to the regulation of its members that the Board considers appropriate.

10 Governing and regulating the practice of members of the Association and firms in accordance with this Act and the by-laws including: establishing, maintaining, developing and enforcing standards of qualification establishing, maintaining, developing and enforcing standards of practice establishing, maintaining, developing and enforcing standards of professional ethics establishing, maintaining, developing and enforcing standards of knowledge, skill and proficiency The view of professional regulation embedded in our Act Promote and protect the public interest regulating the practice, competence and professional conduct of members of the Association and firms

11 Professional regulation Complaints and discipline Guidance and standards Registration and certification Education and training Minimize and mitigate the risks posed to the public and users of the professional service Source: Professional Standards Authority (UK), The Performance Review Standards: Standards of Good Regulation, June 2010

12 Gatekeeper and police: A traditional but obsolete view of professional regulation Traditionally, the role of the professional regulator had been described as gatekeeper and police The idea was that professional regulators would set entrance requirements for the profession and that this would be pretty much be it unless something went wrong In reality, far from being sleepy or sluggish, professional regulation has become a challenging, multi-faceted, and dynamic endeavor

13 Old school vs. new school regulation Old school Gatekeeper and enforcer paradigm Reactive--once individuals were allowed into the profession, the regulator would only intervene when things went wrong Focus on registration/certification, complaints, and discipline New school Proactive the idea is to prevent problems from happening in the first p Quality assurance, requirements for continuing professional development, providing guidance to members, educational initiatives, and public outreach initiatives

14 New school regulation Proactive regulation necessitates a more strategic perspective New school regulation is risk-based New school regulation involves more analysis New school regulation involves more systems thinking

15 The PSA has been at the forefront of thinking about professional regulation and the influence of their work has reached well beyond health care and the UK

16 Strategic and operational Our Act stipulates a number of things that the Association must do, but it really doesn t say much about what the priorities should be, or what is the best allocation of resources to best fulfill our objects The strategic aspects of professional regulation are often overlooked

17 Understanding risk Understanding the risks posed to the public and users of the professional service is the starting point On a regular basis, in various media, there are stories where the employment relationship has gone wrong

18 Just this week Long-time employees in restaurants are pushed out by foreign workers under temporary foreign workers program City of Toronto Ombudsman files report documenting abusive management practices and problematic employment practices

19 What is a professional regulator to do? These problems may not require a regulatory response These problems may not involve regulated professionals (these problems may require some kind of regulatory response but not on the part of the professional regulator) On the other hand, there may be some response required on the part of the professional regulator

20 But what kind of response? Changing the educational curriculum to ensure that HR professionals understand these issues and can deal with them competently? Include these topics on the knowledge exam? Issue some guidance to members by means of a practice standard or guideline? Offer workshops, courses, or other programs to sensitize members to these issues? Work with government to develop better policies and rules? Ensure that these aspects are specifically dealt with in any quality assurance or practice inspection program? More vigilant prosecution of bad apples?

21 The real challenge of regulation The real challenge of professional regulation is working out how to best use all the regulatory tools at our disposal to ensure the protection of the public

22 Self-regulation Self-regulation is predicated on the assumption that it is members of the profession that are in the best position to make decisions about the regulation of profession Importantly, members of the profession who participate in the regulation of the profession must set aside their own self-interest and act in the public interest

23 Governance How the Association will operate Objects (purpose) Board composition Elections Powers of Board Powers of members Specific stipulations as to structure, process, and procedure

24 Role of the Board From our Act, we have: 8. (1) The Board of Directors of the Association shall manage and administer the Association s affairs in accordance with this Act and the bylaws. 67. (1) The Board may make by-laws necessary or desirable to conduct the business and carry out the objects of the Association.

25 By-laws In may places, the Act provides a sketch, or sets certain parameters However, there is much that needs to be filled in and this is the role of the By-laws By-laws are enacted by the Board, but must be ratified by the membership in order to be continued

26 Committees Board Standing Committees Policy and Oversight Committees Adjudicative Committees Human Resources and Compensation Committee Audit and Finance Committee Governance and Nominating Committee Professional Regulation and Standards Committee Registration Committee Experience Assessment Committee Continuing Professional Development Committee Educational Standards Committee Capacity Committee Review Committee Complaints Committee Discipline Committee Appeals Committee

27 Policy and oversight vs. adjudication Policy and oversight Setting requirements and standards Oversight over all activities carried out pursuant the administration of the Act Establishing committees Delegating specific activities to specific committees and to the Registrar Adjudication and determination Applying requirements and standards to individual cases Setting procedures as to how regulatory decisions are made

28 Policy and oversight committees The Professional Regulation and Standards Committee (PRSC) is the primary body that oversees and sets policy in matters of professional regulation Decisions of the PRSC are approved by the Board

29 The Professional Regulation and Standards Committee (PRSC) Standards and requirements for registration with, and certification by, the Association Educational requirements Policies relating to the exam Rules of Professional Conduct and practice guidelines Continuing professional development requirement

30 The Machinery of Regulation at HRPA Quality Assurance Complaints Certification Discipline A process map Registration Coordination Support Execution Appeal Exams and Other Programs Regulatory Committee Training Educating Members and the Public Maintaining Official Records and the Public Register

31 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

32 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

33 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

34 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

35 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

36 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

37 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

38 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

39 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Quality Assurance Complaints Discipline Appeals Staff functions Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

40 The Machinery of Regulation at HRPA Adjudicative Committees Registration Experience Assessment Educational Standards Certification Quality Assurance Complaints Registration Discipline Appeals Exams Staff functions and Other Programs Exams and other programs Regulatory committee training Educating members and the public Maintaining official records and the public register Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

41 The Machinery of Regulation at HRPA Registration Committee The Registration Committee considers submissions for registration with HRPA. Upon referral from the Registrar, the Committee determines whether applicants meet the requirements for the membership category applied for when there may be questions about this. This is the committee which reviews applications for membership when there may be concerns regarding good character. Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

42 The Machinery of Regulation at HRPA Experience Assessment Committee Educational Standards Committee Quality Assurance Complaints Certification Discipline Registration Coordination Support Execution Appeal Exams and Other Programs Regulatory Committee Training Educating Members and the Public Maintaining Official Records and the Public Register

43 The Machinery of Regulation at HRPA Experience Assessment Committee The Experience Assessment committee is responsible for making determinations as to the appropriateness and adequacy of experience of individuals who have applied for accreditation by HRPA (validation of experience and alternate route) in accordance with parameters developed by the Professional Regulation and Standards Committee and approved by the Board. (The name of this committee Registration Certification Exams and Other Programs is a bit of a misnomer, but relates to the fact that experience was, and is, often the last requirement to be met.) Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

44 The Machinery of Regulation at HRPA Educational Standards Committee The Committee is responsible for (1) making determinations as to the appropriateness and adequacy of coursework submitted to HRPA in fulfilment of HRPA s coursework requirement, and (2) approving courses for applicability against HRPA s coursework requirement upon application of qualified educational institutions in accordance with parameters developed by the Professional Regulation and Standards Committee and approved by the Board. Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

45 The Machinery of Regulation at HRPA Continuing Professional Development As part of the Association s quality assurance initiatives, the Continuing Professional Development Committee is responsible for making determinations as to the appropriateness and adequacy of recertification activities in relation to recertification processes in accordance with parameters developed by the Professional Regulation and Standards Committee and approved by the Board. Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

46 The Machinery of Regulation at HRPA Complaints Committee The mandate of the Committee is to investigate all complaints concerning allegations of professional misconduct. The Committee may authorize and direct the conduct of an investigation into allegations of misconduct. Should the Committee believe that there are reasonable and probable evidence that misconduct has occurred, and that the severity of the misconduct warrants it, the Committee will make a referral to the Discipline Committee. Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

47 The Machinery of Regulation at HRPA Discipline Committee The mandate of the Discipline Committee is to make determinations in cases where there may have been misconduct, incompetence, or incapacity, including the imposition of sanctions. The decisions of the Discipline Committee are appealable to the Appeals Committee and ultimately to Divisional Court. Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

48 The Machinery of Regulation at HRPA Appeals Committee The Appeals Committee responds to written appeals from parties affected by decisions rendered by any of the Experience Assessment Committee, the Continuing Professional Development Committee, the Complaints Committee, and Discipline Committee, decisions made by the Registrar. Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

49 The Machinery of Regulation at HRPA Exams and other programs Staff manages several programs: Administration of the National Knowledge Exam (NKE) Transcript processing Challenge exams Evening Academic Program Pre-approval for recertification credit program Processing requests for recognition of out-of-province CHRPs Prosecution of unauthorized use of the CHRP designation Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

50 The Machinery of Regulation at HRPA Regulatory Committee Training Staff is responsible for ensuring that members of regulatory committees are adequately trained to be able to fulfill their duties and responsibilities as members of regulatory committees. Registration Certification Quality Assurance Coordination Support Execution Complaints Discipline Appeal Exams and Other Programs Regulatory Committee Training Educating Members and the Public Maintaining Official Records and the Public Register

51 The Machinery of Regulation at HRPA Educating Members and the Public Staff has a responsibility for educating members and the public as to HRPA s regulatory mandate. This webinar, for example, would fall under this aspect. Certification Quality Assurance Complaints Discipline Registration Coordination Support Execution Appeal Exams and Other Programs Regulatory Committee Training Educating Members and the Public Maintaining Official Records and the Public Register

52 The Machinery of Regulation at HRPA Maintaining official records and the public register The Registrar is the keeper of records for regulatory activities HRPA s Privacy Officer ensures compliance with HRPA s Privacy Policy The register is the official list of all members of the Association mandated by statute The Registrar also issues certificates pertaining to registration with and certification by the Association Registration Certification Exams and Other Programs Quality Assurance Regulatory Committee Training Coordination Support Execution Complaints Educating Members and the Public Discipline Maintaining Official Records and the Public Register Appeal

53 Various topics Tribunals Natural justice The Statutory Powers Procedures Act, 1990 Rules of procedure Working in panels Independence Complaints that are frivolous, vexatious, in bad faith

54 Tribunals Our Discipline Committee is a tribunal in the same meaning as the Ontario Human Rights Tribunal or the Workplace Safety and Insurance Appeals Tribunal (WSIAT) Tribunals are court-like but usually not as formal in their processes as the courts (e.g., the rules of evidence are somewhat more relaxed)

55 Natural Justice Often misunderstood Synonyms are procedural fairness or due process Two basic factors: Provided with a fair opportunity to present one s case That the case be heard by an impartial judge or panel

56 The Statutory Powers Procedures Act, 1990 The Statutory Powers Procedures Act, 1990, (SPPA) defines the minimum standards for procedural justice when statutory powers of decision are exercised and there is a requirement for a hearing The SPPA applies to our discipline hearings

57 Rules of procedure Rules of procedure refers the how a committee will conduct its business Committees are masters of their own process (however, the principles of natural justice or due process will inform the rules of procedure)

58 Working in panels Most regulatory committees do their work in panels A panel is a sub-set of a committee Nonetheless, the panel has all the powers and authority as the Committee Panel members are appointed by the Chair of the committee

59 Independence Adjudicative panels are independent Adjudicative panels are not on the side of the member, or on the side of the Association, or on the side of the Public Members of adjudicative panel are to be impartial, free of bias or any reasonable apprehension of bias

60 Complaints that are frivolous, vexatious, made in bad faith, moot, or otherwise an abuse of process Many HR professionals feel vulnerable to complaints that would be made in retaliation by unions or dismissed employees or disgruntled employees This is why the Complaints Committee exists The Complaints Committee has the power to dismiss inappropriate complaints The good thing is that these decisions are made by fellow HR professionals rather than by individuals who know little or nothing about HR

61 Continuing professional development The purpose of the recertification requirement is to ensure that certified members are maintaining the required level of knowledge and skill required for certification

62 Rules of Professional Conduct define what constitutes appropriate professional behaviour for Human Resources Professionals registered with HRPA Incorporates HRPA s Code of Ethics Apply to all members, certified and non-certified

63 External Appeals Individuals who have been refused membership with or certification by HRPA or a member who has been subject to a disciplinary sanction under the by-laws may appeal to the Divisional Court from the refusal to grant membership or from the sanction.

64 Divisional Court The Divisional Court is a branch of the Superior Court of Justice. Every judge of the Superior Court of Justice is also a judge of the Divisional Court. The Divisional Court is the principal forum for judicial review of government action in the province of Ontario. The Divisional Court also hears statutory appeals from administrative tribunals in the province.

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66 Webcast Series on Professional Regulation 1 What does it mean to be regulated? 2 HRPA s regulatory framework 3 What s next in regards to regulation?

67 Claude Balthazard, Ph.D., C.Psych., CHRP VP Regulatory Affairs 150 Bloor Street West, Suite 200 Toronto, ON M5S 2X9