Registration Practices Assessment Report HUMAN RESOURCES PROFESSIONAL ASSOCIATION Assessment Cycle (Cycle 3)

Transcription

1 Registration Practices Assessment Report HUMAN RESOURCES PROFESSIONAL ASSOCIATION Assessment Cycle (Cycle 3) Introduction Assessment Cycle Focus of this Assessment and Report Assessment Summary Specific Duties Specific duties assessed General Duty Assessment method Principles assessed s Specific Duty General Duty Assessment History Detailed Report Specific Duty 1. Specific Duty Information For Applicants 2. Specific Duty Timely Decisions, Responses and Reasons 3. Specific Duty Internal Review or Appeal 4. Specific Duty Information on Appeal Rights 5. Specific Duty Documentation of Qualifications 6. Specific Duty Assessment of Qualifications 7. Specific Duty Training 8. Specific Duty Access to Records General Duty Transparency Objectivity Impartiality Fairness Background Assessment Methods Specific Duties General Duty s and Recommendations Sources References AVAILABILITY OF REPORT is report is provided by the OFC to the regulatory body assessed. e OFC will post the full report on its website. In the interest of transparency and accountability, the OFC encourages regulatory bodies to provide the report to its staff, council members, the public, and other interested parties. 1

2 Introduction Assessment is one of the Fairness Commissioner's mandated roles under the Fair Access to Regulated Professions and Compulsory Trades Act, 2006 (FARPACTA) and the Regulated Health Professions Act, 1991 (RHPA) collectively known as fair access legislation. Assessment Cycle One of the primary ways the OFC holds regulators accountable for continuous improvement is through the assessment of registration practices using a three-year assessment cycle. Assessment cycles alternate between full assessments and targeted assessments: Full assessments address all specific and general duties described in the fair-access legislation. Targeted assessments focus on the areas where the OFC made recommendations in the previous full assessment. Focus of this Assessment and Report e assessment is a full assessment. e OFC s detailed report captures the results of the full assessment. e assessment summary provides the following key information from the detailed report: duties that were assessed an overview of assessment outcomes for specific duty practices an overview of comments related to the general duty commendable practices recommendations 2

3 Assessment Summary Specific Duties Specific duties assessed e regulator has been assessed in all of the specific duties. Comments e regulatory body has demonstrated all of the practices in the following specific-duty areas: Information for Applicants Timely Decisions, Responses and Reasons Internal Review or Appeal Information on Appeal Rights Documentation of Qualifications Assessment of Qualifications Training Access to Records General Duty Assessment method e regulator selected the following assessment method for the assessment of the general duty: a. OFC practice-based assessment (following the practices in the Assessment Guide) b. Regulator practice-based self-assessment (following the practices in the Assessment Guide) c. Regulator systems-based self-assessment (in which it explains systemically and holistically how it meets the general duty) Principles assessed e regulator has been assessed on all of the general duty principles: transparency, objectivity, impartiality and fairness. Comments e Association exhibits a high degree of transparency regarding its regulatory duties through a regulatory affairs webpage that includes webinars, newsletters and a blog dedicated to the role of the Registrar. e Association has designed its assessment criteria to minimize subjectivity in the decision-making process, by establishing numeric quantitative criteria by which applicants are assessed. Policies and training provide guidance on maintaining impartiality in the decision-making process. Policies also facilitate fair and equitable access to the Association s certification system. s A commendable practice is a program, activity or strategy that goes beyond the minimum standards set by the OFC assessment guides, considering the regulatory body's resources and profession-specific context. Commendable practices may or may not have potential for transferability to another regulatory body. e regulatory body is demonstrating commendable practices in the following areas: Specific Duty Information for Applicants 1. Certification process flowcharts guide applicants through each level of certification and include prospective requirements scheduled for implementation in the next 2 years. 2. e Association provides a compelling description of requirements and rationale thereof for each level of certification, linking the two through functional competency matrices in the HR Professional Competency Framework. ey also provide links to sections on the website where processes and steps are described in more detail, including how to appeal an assessment result. 3

4 Internal Review and Appeal 1. Information about appeal rights is thoroughly documented on a dedicated webpage, with a supplemental guide to appeals and a Frequently Asked Questions (FAQ) document that provides additional detail. Documentation of Qualifications 1. e Forms webpage links to application forms for each certification requirement. ese forms detail documentation requirements for each level of certification. Assessment of Qualifications 1. Committees responsible for making assessment decisions are provided with scoring templates and guides for all assessment procedures. 2. e Association does an exemplary job of describing exam development and scoring methodologies, using examples and plain language to illustrate complex criteria. e exam content is clearly linked to the Competency Framework. 3. All of the assessment criteria are stated in ways that enable assessors to interpret them consistently. 4. e Association provides oversight to ensure consistency and accuracy of decisions: a. e Office of the Registrar acts as a document clearing house for all adjudicative Committees, thereby ensuring consistency in information processing. b. e Association retains legal counsel to interpret legislation, regulation, and bylaws for adjudicative Committees. is guidance safeguards the legitimacy and objectivity of the adjudicative process. c. e decision-making power of Committees is balanced by the existence of an appeals mechanism. 5. e Association s policies include a Code of Conduct for adjudicative Committees. is policy sets out definitions, rules of conduct and procedural protocols that guide Committee members should a conflict of interest arise. ese safeguards help to minimize the risk of bias in the decision-making process. ese procedural rules are also covered during training of new Committee members. General Duty Transparency 1. e HRPA website provides information about governance and the Association s statutory duties in a clear and accessible manner. e website, recently upgraded, has new resources such as a regulatory newsletter and a blog for posts and updates from the Registrar. 2. e Association s coursework and experience requirements can be met through alternate methods, through a combination of education, designations and / or experience. 3. e Association s website provides information on certification examinations and preparatory resources, among other ample resources available to assist applicants in meeting the HRPA s registration requirements. 4. e Association s online portal enables applicants to track the status of their application. 5. e Association has a strong public interest orientation, including website posting of: a. competencies for HRPA board members b. the strategic plan c. webinars on the HRPA regulatory role and mandate 6. e Association has produced an on-line cultural competency pre-assessment tool to assist internationally-educated HR professionals in understanding cultural competence. Objectivity 1. All of the assessment criteria are stated in numeric quantifiable forms that enable assessors to interpret them consistently. Fairness 1. e HRPA Competencies document links the new multi-stage certification framework to the competencies of the profession. e framework and competencies capture a continuum of HR practice, from entry-level to senior practitioner. is linkage demonstrates that the Association has established a substantive basis for the certification requirements, making it a fair assessment of human resources competence. Assessment History e OFC did not assess the HRPA in the assessment cycle. is is because this is the regulator s first assessment of registration practices. 4

5 Detailed Report [1] Specific Duty In this section, a check mark indicates, within that area of the specific duty, whether a regulator demonstrated the practice, partially demonstrated the practice, did not demonstrate the practices or if the practice is not applicable in certain situation. Recommendations are made for partially demonstrated and non-demonstrated areas. 1. Specific Duty Information for Applicants FARPACTA s. 7 RHPA, Schedule 2, s e regulator describes requirements for registration on its website. [Transparency] e Certified Human Resources Guides (CHR) provide a compelling description of requirements and rationale thereof. ey also provide links to sections on the website where processes and steps are described in more detail, including how to appeal an assessment result. 2. e regulator describes all the steps in the registration process on its website, including any processes for assessing qualifications. [Transparency] e certification flowcharts guide applicants through each level of certification and include prospective requirements scheduled for implementation in the next 2 years. Each level of certification has a dedicated guide, while the webpages summarize information in a clear and accessible manner. 3. e regulator provides information on its website about how long the registration process usually takes, including the time required for assessing qualifications. [Transparency] 4. e regulator publishes a fee scale on its website, showing all registration fees that are under the regulator's control, including the fees required for assessing qualifications. [Transparency] 5

6 5. e regulator ensures that the information required by practices 1-4 in this section is clear, accurate, complete and easy to find. [Transparency] 2. Specific Duty Timely Decisions, Responses and Reasons FARPACTA, s. 8 and s. 9 (1) RHPA, Schedule 2, s.20 (1) *Only applies to regulatory bodies governed by FARPACTA 1. If a regulator rejects an application, it gives written reasons to the applicant. [Fairness, Transparency] 2. e regulator makes registration decisions, and gives written decisions and reasons to applicants, without undue delay*. [Fairness] 3. e regulator responds to applicants inquiries or requests without undue delay*. [Fairness] 4. e regulator provides internal reviews of decisions, or appeals from decisions, without undue delay*. [Fairness] 5. e regulator makes decisions about internal reviews and appeals, and gives written decisions and reasons to applicants, without undue delay*. [Fairness] 6

7 3. Specific Duty Internal Review or Appeal [2] FARPACTA, s. 7, s. 9 (2-3, 5) RHPA, Schedule 2, s. 15, s. 17, s. 19, s *Only applies to regulatory bodies governed by FARPACTA 1. e regulator provides applicants with an internal review of, or appeal from, registration decisions [3]. [Fairness] 2. e regulator implements rules and procedures that prevent anyone who acted as a decision-maker in a registration decision from acting as a decision-maker in an internal review or appeal of that same registration decision. [Impartiality] 3. e regulator provides information on its website that informs applicants about opportunities for an internal review or appeal. [Transparency] Information about appeal rights is thoroughly documented on a dedicated webpage, with a supplemental guide to appeals and a Frequently Asked Questions (FAQ) document that provides additional detail. e HRPA provides information about opportunities for an internal review or appeal through a dedicated, clearly-marked section of the website. e information contains a supplemental guide to appeals (About Internal Appeals at HRPA) and a Frequently Asked Questions document. is level of detail provides applicants with all the information they need to understand how to initiate an appeal and what happens after the appeal is initiated. 4. e regulator provides information on its website about any limits or conditions on an internal review or appeal. [Transparency] 4. Specific Duty Information on Appeal Rights [4] FARPACTA, s. 9 (4) RHPA, Schedule 2, s. 20, s. 21, s On its website, the regulator informs applicants of their right to request further review of, or appeal from, the review or appeal decision [5]. [Transparency] 7

8 5. Specific Duty Documentation of Qualifications FARPACTA, s. 10 (1) RHPA, Schedule 2, s. 22.4(1) 1. e regulator provides information on its website about the documents that must accompany an application to demonstrate qualifications. [Transparency] e Forms webpage includes links to application forms. ese forms are separated by each certification requirement, and detail what documents must accompany each form. 6. Specific Duty Assessment of Qualifications FARPACTA, s. 10 (2) RHPA, Schedule 2, s. 22.4(2) Only applies to regulatory bodies that develop and administer their own exams. 1. On its website, the regulator informs applicants about the process, criteria, and policies for the assessment of qualifications. [Transparency] 2. e regulator communicates the results of qualifications assessment to each applicant in writing. [Transparency] 3. e regulator gives its assessors [6] access to assessment criteria, policies and procedures. [Transparency] Committees responsible for making assessment decisions are provided with scoring templates and guides for the following assessments: Course Work Alternate Route Validation of Experience 8

9 4. e regulator shows that its tests and exams measure what they intend to measure. [Objectivity] e HRPA does an exemplary job of describing how the knowledge exams are developed using psychometric processes, and how scoring methodologies are calculated. Examples and plain language are used to illustrate complex criteria. e exam content is clearly linked to the Competency Framework. 5. e regulator states its assessment criteria in ways that enable assessors to interpret them consistently [7]. [Objectivity] All of the assessment criteria are stated in ways that enable assessors to interpret them consistently. Exams cut scores, or pass scores, are set for each exam. Program Content content evaluation has been simplified, as evaluators are required to identify 80 percent of content that matches Ontario approved courses Experience a baseline score is used to assess human resources content of work experience; a multiplier is applied to any content above this threshold to determine total experience 6. e regulator ensures that the information about educational programs that is used to develop or update assessment criteria is kept current and accurate [8]. [Objectivity] Not Applicable 7. e regulator links its assessment methods to the requirements/standards for entry to the profession or trade. [Objectivity] 9

10 8. e regulator requires that assessors consistently apply qualifications assessment criteria, policies and procedures to all applicants. [Objectivity] All of the assessment criteria are stated in ways that facilitate consistent decision-making: Exams cut scores, or pass scores, are set for each exam. Program Content content evaluation has been simplified, as evaluators are required to identify 80 percent of content that matches Ontario approved courses. Experience a baseline score is used to assess human resources content of work experience; a multiplier is applied to any content above this threshold to determine total experience. 9. e regulator uses only qualified assessors to conduct the assessments. [Objectivity] 10. e regulator monitors the consistency and accuracy of decisions, and takes corrective actions as necessary, to safeguard the objectivity of its assessment decisions. [Objectivity] e Office of the Registrar acts as a document clearing house for all adjudicative Committees, thereby ensuring consistency in information processing. e Association retains legal counsel to interpret legislation, regulation, and bylaws for adjudicative Committees. Counsel also provides advice on regulatory practice and general guidance on the adjudicative process. is guidance safeguards the legitimacy and objectivity of the adjudicative process. e decision-making power of Committees is balanced by the existence of an appeals mechanism. e appeals process provides another measure of assurance that Committees responsible for assessment are consistent and accurate in their decisions. 10

11 11. e regulator prohibits discrimination and informs assessors about the need to avoid bias in the assessment. [Impartiality] e HRPA implements a number of measures to prohibit discrimination and to inform assessors about the need to avoid bias in the assessment, including the following: e HRPA s Code of Conduct for Adjudicative Committees, enacted as part of the Association s by-laws, sets out definitions, rules of conduct and procedural protocols that guide Committee members should a conflict of interest arise. ese safeguards help to minimize the risk of bias in the decision-making process. ese procedural rules are also covered during training of new Committee members. e HRPA Accommodation Policy: provides the protection of rights of persons with disabilities under various federal and provincial statutes, explains the duty of the Association to provide reasonable accommodation, and describes the process for requesting accommodation in an examination setting. 12. e regulator implements procedures to safeguard the impartiality of its assessment methods and procedures. [Impartiality] 13. e regulator gives applicants an opportunity to appeal the results of a qualifications assessment or to have the results reviewed. [Fairness] 14. e regulator assesses qualifications, communicates results to applicants, and provides written reasons for unsuccessful applicants, without undue delay. [Fairness] 15. Regulators that rely on third-party assessments establish policies and procedures to hold third-party assessors accountable for ensuring that assessments are transparent, objective, impartial and fair. [Transparency, Objectivity, Impartiality, Fairness] 11

12 7. Specific Duty Training FARPACTA, s. 11. RHPA, Schedule 2, s. 22.4(3) 1. e regulator provides training for staff and volunteers who assess qualifications or make registration, internal review or appeal decisions. [Objectivity, Impartiality, Fairness] 2. e regulator addresses topics of objectivity and impartiality in the training it provides to assessors and decision-makers. [Objectivity, Impartiality] 3. e regulator identifies when new and incumbent staff and volunteers require training and provides the training accordingly. [Objectivity, Impartiality, Fairness] 8. Specific Duty Access to Records FARPACTA, s. 12 RHPA, Schedule 2, s e regulator provides each applicant with access to his or her application records [9]. [Fairness] 2. If there is a fee for making records available, the regulator gives applicants an estimate of this fee. [Transparency] 3. If there is a fee for making records available, the regulator review the fee to ensure that it does not exceed the amount of reasonable cost recovery. [Fairness] 12

13 General Duty FARPACTA, Part II, s.6 RHPA, Schedule 2, S.22.2 Transparency Maintaining openness Providing access to, monitoring, and updating registration information Communicating clearly with applicants about their status e Association exhibits a high degree of transparency regarding its regulatory duties through a regulatory affairs webpage that includes webinars, newsletters and a blog dedicated to the role of the Registrar. e HRPA has enhanced its website to streamline the delivery of information about the certification process. e site clearly lays out requirements for the new certification process, and layers information in progressively detailed pages and guides. is facilitates the understanding of the new process, which contains a staggered implementation timetable for some new requirements. Openness: Access: Clarity: e HRPA website provides information about governance and the Association s statutory duties in a clear and accessible manner. e website, recently upgraded, has new resources such as a regulatory newsletter and a blog for posts and updates from the Registrar. Webinars are posted on the site, on topics including the Association s regulatory functions, and the certification process. e Association conducts pre- and post-exam surveys of exam writers to identify areas of concern with administration and proctoring, and enables writers to include their own comments and concerns about the exam. Information about third-party assessment agencies does not acknowledge that these are fee based services. Indicating this would provide a greater measure of transparency and will better prepare applicants to approximate certification costs. Policies and procedures are available in documents on the website. Alternate routes of meeting requirements are described in discrete sections of the website. Ample information resources are available to applicants on the website, pertaining to examinations and other registration requirements and processes. e HRPA website was upgraded to provide better access to information. e Association s online portal enables applicants to track the status of their application. s 1. e HRPA website provides information about governance and the Association s statutory duties in a clear and accessible manner. e website, recently upgraded, has new resources such as a regulatory newsletter and a blog for posts and updates from the Registrar. 2. e Association s coursework and experience requirements can be met through alternate methods, through a combination of education, designations and / or experience. 3. e Association s website provides information on certification examinations and preparatory resources, among other ample resources available to assist applicants in meeting the HRPA s registration requirements. 4. e Association s online portal enables applicants to track the status of their application. 5. e Association has a strong public interest orientation, including website posting of: a. competencies for HRPA board members b. the strategic plan c. webinars on the HRPA regulatory role and mandate 6. e Association has produced an on-line cultural competency pre-assessment tool to assist internationally-educated HR professionals in understanding cultural competence. 13

14 Objectivity Designing criteria and procedures that are reliable and valid Monitoring and following up threats to validity and reliability e Association has designed its processes to minimize subjectivity in the assessment process. Reliability: Validity: Score sheets and guides are provided for Committees to facilitate consistent decision-making. Committee members are provided mandatory training when they join a Committee. Committee members are provided mandatory training when they join a Committee. Legal counsel is on retainer to the Association and available to provide clarification on regulatory and procedural issues to ensure decisions are valid. s All of the assessment criteria are stated in numeric quantifiable forms that enable assessors to interpret them consistently. Impartiality Identifying bias, monitoring, and taking corrective action Implementing strategies e Association defines what constitutes a conflict of interest and provides direction for staff about what they should do if a conflict of interest arises. When explaining this, the Association distinguishes between pecuniary and non-pecuniary conflicts. Identification of Bias: e HRPA Code of Conduct for Adjudicative Committees, enacted as part of the Association s by-laws, sets out definitions of conflict of interest. Staff and Committee training sessions explain the use of evidence in the decision-making process, rather than subjective opinion. Strategies: e Code of Conduct also provides rules of conduct and procedural protocols that guide Committee members where a conflict of interest may arise. e HRPA Accommodation Policy describes the protection of rights of persons with disabilities under various federal and provincial statutes, the duty of the Association to provide reasonable accommodation, and the process for requesting accommodation in an examination setting. ese safeguards help to minimize the risk of bias and discrimination in the decision-making process. ese procedural rules are also covered during training of new Committee members. 14

15 Fairness Ensuring substantive fairness Ensuring procedural fairness Ensuring relational fairness e Association has implemented a system of processes and procedures to support the new graduated certification framework. e Association has established information and accommodation policies to enable applicants with different needs to access the certification process fairly and equitably. Substantive Fairness e document What the Designations Require links the new multi-stage certification framework to the competencies of the profession, laid out in the HR Competencies document. e framework and competencies capture a continuum of HR practice, from entry-level to senior practitioner. e competencies were updated in 2013 following a pan-canadian review of professional HR practice. e CHR Guides provide a compelling description of requirements and rationale thereof. ey also provide links to sections on the website where processes and steps are described in more detail, including how to appeal an assessment result. While the association has begun to review fees on an annual basis, there is no written policy to guide this review. Procedural Fairness Prior to 2014, the Association undertook a series of initiatives that form the basis of its current approach to international applicants. ese included a position paper on integration of internationally educated HR professionals into practice, and a partnership to support bridging programs for IEHRP s. Currently, the Association provides various information resources on a dedicated IEHRP section of the website, alternatives to the coursework requirement for certification, a Cultural Competency professional development program. Relational Fairness e HRPA Accommodation Policy describes the protection of rights of persons with disabilities under various federal and provincial statutes, the duty of the Association to provide reasonable accommodation, and the process for requesting accommodation in an examination setting. s e HRPA Competencies document links the new multi-stage certification framework to the competencies of the profession. e framework and competencies capture a continuum of HR practice, from entry-level to senior practitioner. is linkage demonstrates that the Association has established a substantive basis for the certification requirements, making it a fair assessment of human resources competence. 15

16 Background Assessment Methods Assessments are based on the Registration Practices Assessment Guide: For Regulated Professions and Health Regulatory Colleges. e guide presents registration practices relating to the specific duties and general duty in the fair access legislation. A regulatory body s practices can be measured against the FARPACTA s specific duties in a straightforward way. However, the general duty is broad, and the principles it mentions (transparency, objectivity, impartiality and fairness) are not defined in the legislation. As a result, the specific-duty and general-duty obligations are assessed differently (see the Strategy for Continuous Improvement of Registration Practices). Specific Duties e OFC can clearly determine whether a regulatory body demonstrates the specific-duty practices in the assessment guide. erefore, for each specific-duty practice, the OFC provides one of the following assessment outcomes: all required elements of the practice are present or addressed Partially some but not all required elements are present or addressed Not none of the required elements are present or addressed Not Applicable this practice does not apply to the HRPA s registration practices General Duty Because there are many ways that a regulatory body can demonstrate that its practices, overall, are meeting the principles of the general duty, the OFC makes assessment comments for the general duty, rather than identifying assessment outcomes. For the same reason, assessment comments are made by principle, rather than by practice. For information about the OFC's interpretations of the general-duty principles and the practices that the OFC uses as a guideline for assessment, see the OFC's website. s and Recommendations Where applicable, the OFC identifies commendable practices or recommendations for improvement related to the specific duties and general duty. Sources Assessment outcomes, comments, and commendable practices and recommendations are based on information provided by the regulatory body. e OFC relies on the accuracy of this information to produce the assessment report. e OFC compiles registration information from sources such as the following: Fair Registration Practices Reports, audits, Entry-to-Practice Review Reports, annual meetings the regulatory body's: website policies, procedures, guidelines and related documentation templates for communication with applicants regulations and bylaws internal auditing and reporting mechanisms third-party agreements and related monitoring or reporting documentation qualifications assessments and related documentation targeted questions/requests for evidence that the regulatory body demonstrates a practice or principle For more information about the assessment cycle, assessment process, and legislative obligations, see the Strategy for Continuous Improvement of Registration Practices. 16

17 References 1. ^ Please note: Suggestions for continuous improvement appear only in the detailed report. Suggestions for improvement are not intended to be recommendations for action to demonstrate a practice, but are made solely to provide suggestions for areas that a regulatory body may consider improving in the future. 2. ^ In an internal "review," the Registrar has not made a decision but has made a proposal that results in the matter being reviewed and determined by the Registration Committee (or another Committee that fulfills that role). An internal "appeal" involves reconsideration of the Registrar s first-level decision (or the first-level decision of another party that fulfills that role). (George M. omson, Review of Appeal Processes from Registration Decisions in Ontario's Regulated Professions, November, 2005.) 3. ^ For regulators governed by the RHPA, the OFC will review processes: i) that deal with circumstances in which the Registrar proposes to deny registration or to impose terms, conditions, or limitations on a certificate of registration and refers the application to the Registration Committee; and ii) that address or govern work of the Registration Committee (or another committee that fulfills that role). For regulators governed by FARPACTA, the OFC will review processes that address opportunities for an internal review or appeal of decisions that are different from assessment decisions. For example, this may include decisions about or related to the following: rejecting an application; exempting an applicant from a registration requirement; granting special considerations; or issuing a licence with or without limitations or conditions. 4. ^ is further review or appeal is beyond the initial internal review or appeal referred to in FARPACTA, s. 9 (1 3, 5). 5. ^ Non-health regulators inform applicants of their right to appeal within the regulatory body, and as a last recourse, to the Divisional Court. Health regulators inform applicants of their right to appeal to the Health Professions Appeal and Review Board (HPARB). 6. ^ Assessors include staff and volunteers. 7. ^ If a regulator does not develop or administer its own exams, it is not assessed for this practice. 8. ^ is practice applies only to those regulators that conduct their own assessment of academic credentials and/or their own review of academic programs for equivalency. It does not apply to regulators that rely on a third party for these activities. 9. ^ Records may include: documents provided by the applicant; documents that describe the regulator s rationale for its decision; documents related to assessment of qualifications, such as exam results or credential assessment results; and documents related to accommodation requests, review requests, and appeals. 17