Module 1c Flashcards
Regulatory Framework Application
Describe the duties of the Audit and Practice Review Committee.
- Establishes policy for selection of registrants for audit or practice reviews
- appoints assesors for conducting audits and practice reviews
- Establishes policy specifying pre-approved education courses or other action that may be required following a audit or practice review
- impose restrictions on the practice of registrants based on the findings of a practice review
- refer matters to the IC if there are reasonable grounds that registrants continued practice pose a threat to public interest
Describe criteria for selection of reviewer and registrant for a Competence audit
- 3 perecent of registrants are selected randomly and proportionately from all practice areas
- registrants selects peer reviewer
- exemption possible with previous successful completion of a Competence Audit
Desribe the criteria for selection of reviewer and registrant for a Practice Review.
- referral to APRC from IC regarding need
-referral to APRC from Registrar regarding need - APRC determines the need
based on a referral from the
Registrar regarding CPD - An assessor is appointed by a
committee
Describe the requirements and processes for a competence audit
Competence Audit
- The peer reviewer must notify the Registrar or the
Audit and Practice Review Committee if the
registrant fails to comply with the timelines and
requirements set in the bylaws regarding the
competence audits.
- If at any time during an audit, the peer reviewer
concludes there is reason to believe the registrant
might have acted in a manner that constitutes
professional misconduct or conduct unbecoming
a registrant while engaged in the practice of
professional forestry, the peer reviewer must
notify the Audit and Practice Review Committee of
that conclusion in their report.
-A practicing registrant may volunteer for a
competence audit during a registration year by
notifying the ABCFP before June 30 of the year
during which the competence audit will be
completed.
- Registrants selected for a competence audit may
be exempted where there has been a satisfactory
competence audit of the registrant in one of the
previous three registration years.
Describe the actions or outcomes that may result from competence audits.
- issued notice of non-compliance and charged late fees
- reviewer/auditor must notify registrar
- registrant fails to pay late fees with notice of non-comliance, registration can be cancelled
- audit and practice review committee may refer assessors report to IC
- failure to comply may warrant practice review
- may request registrant to enter into an agreement imposing limits or conditions on practice
- professional misconduct may authorize practice review
Describe the duties of registrants with regard to audits and practice reviews, including the provisions for non-compliance.
- the registrant fails to provide their peer reviewer with required info in the specified timeline the peer reviewer must notify the registrar and registrar may deliver a notice of non-compliance along with specified fees and timeline both must be met by.
Competence Audit
The purpose of a competence audit is to assess registrants’ competence (skills, knowledge, and ability), including registrants’ understanding of ethical and professional standards, FPBC bylaws, guidance, and policy. These audits are typically conducted by a peer reviewer and verify general competence, continuous professional development activities, professional development plans, and competence declaration records.
Peer Reviewer
A forest professional chosen by the auditee who conducts a competence audit
Professional Conduct Audit
The purpose of a professional conduct audit is to assess a registrants’ performance in applying ethical and professional standards. These audits are performance-based and will be conducted by an assessor appointed by the audit and practice review committee to verify professional conduct in professional services and products completed.
Professional Conduct Auditor
An assessor appointed by a committee that conducts a professional conduct audit
Practice Review
Practice reviews may only be authorized by the Audit and Practice Review committee after a notification or referral from a peer reviewer, professional conduct auditor, registrar, or the Investigation Committee.
The purpose of a practice review is to assess and verify registrants’ professional practice performance in applying ethical and professional standards, including demonstrated use of FPBC bylaws, guidance, and policy within an identified scope of practice related to the scope and context provided in the notification or referral.
Unlike annual audits, Practice Reviews are initiated in response to other outcomes.
What criteria is considered in determining a candidate’s suitability for appointment as an assessor for professional conduct audits and practice reviews?
The Audit and Practice Review Policy criteria requires assessors to be practicing RFT or RPF registrants with at least 10 years of experience in one or more practice areas.
- they must be in good standing with ABCFP
- have experience auditing or assessing forest activities
- and have knowledge of the ABCFP bylaws and PGA
Preparing for a competence audit
- keep records of self-assessment and PD plans
- have records of CPDS and learning outcomes
- maintain records of professional work including rationales for decisions and advice
- keep your resume of professional work and references up to date
- seek peer review and advice on matters that are high risk to the public interest
Explain the duties of the Registrar
- responsible for determining if complaint is accepted by FPBC
- During complaints process: may decline to accept complaint, request additional information, deliver a report to IC summarizing why complaint was not accepted, must notify complaintant and respondent of acceptance or decline, refers complaint to IC or APRC
- during investigation registrar is involved in: requesting respondents opportunity to comment, notifying respondent if investigation is discontinued, resolving complaints through alternative complaint, notifying respondent if complaint is refered to APRC, requesting written response of investigations report
- During Discipline registrar is involved in: issuing citation, joining complaints, severing complaints or amending citation if deemed necessary, delivering citation and any amendments to respondent, delivering notice of hearing (30 days before), retains prosecution for hearing and pre-hearing, invites respondent to pre-hearing matters, notifys respondent of the assessed costs payable and issues time alloted to pay costs
Explain the duties of the Investigations Committee
- oversee and decides on best resolution of complaints
- authorizes investigation and assigns an investigator or refers to APRC
- IC reviews and considers investigation report prepared by the lead investigator and they may issue further investigation
- Issues citation for discipline hearing OR
- dissmisses complaint
- resolves through alternative complaint resolution
- resolves concerns through respondents agreement to consent
- take any action within IC authority to resolve complaint
- At any time during investigation before discipline hearing IC may discontinue investgation due to lack of evidence
- OR in exteme cases if there is probable cause that the respondents practices poses threat to interest of public use extrodinary action
Explain the duties of the Discipline Committee
- registrar may give authority to DC to issue or rescind a citation for a discipline hearing
- chair of DC must appoint panel made up of DC memebers to conduct hearing
- hearing panel may hold a pre-hearing conference where respondents legal counsel may attend
- during hearing the panel may grant an adjournment of a hearing, allow introduction of evidence, make any other direction it considers appropriate
- hearing panel may issue extrodinary action during a hearing
- after hearing, panel must deliver its decision with written reason to the registrar, the complaintant, and the respondent
- if cost associated, hearing panel must assess amount of cost payable
Explain the duties of a registrant in the complaint process
- Respond within 14 days to a complaint against them.
- Participate in interviews requested by an
inspector/Registrar. - Appear before the investigation committee when asked to do so
- Provide information requested by the lead
inspector/Registrar to be relevant evidence in
support of the investigation including files,
records or other documents, even if that
information is confidential. - Comply with any written notice issued by the
investigation committee within seven days of
receipt of the request or such further time as
permitted by the requestor. - Provide the lead inspector/Registrar with access
to the premises where regulated practice is
conducted.
Describe the complaints process
- Bylaw 12-2
- any person may deliver a complaint in writing to the registrar
- complaint must allege conduct or practice of a registrant that if proven would constitute: incompetence, professional misconduct, conduct unbecoming of a registrant, or a breach of the act or bylaws
- If Registrar declines compliant, must deliver a report to IC
- IC then has 30 days to accept report or direct regitrar to act
- Before referring complaint to IC or APRC complaint if deemed immediate action to protect public registrar must deliver report to IC
- IC may order after review, protection of identity of complaintant to be disclosed to respondent or any tother person which can be requested from complaintant in writing
Describe the investigations process
-IC authorizes investigation of it’s own motion or on info from registrar or referred from APRC
- Respondent then has the opportunity to comment. If IC authorizes under its own motion they must notify the respondent
- Respondent must resond within 14 days of reciept
- The investigation is then conducted with appropriate steps: requesting information, interviewing respondent , the complaintant, or any other relevant person
- Lead investigator must provide interim reports on progress of investigation to IC and provide updates to complainant
- Leadinvestigator prepares report after investigation to IC
- Before IC reviews report, respondent must provide written response to report within 14 days
- IC may discontinue investigation before preparation of report if there is not enough evidence and the complaintant and respondent must be notified of termination
- At any time before ciation of discipline hearing the IC may direct registrar or lead investigator to attempt to resolve through alternative complaint resolution which may include educational courses, or action approved by the APRC, or for the respondent to pay a cost
- At any time beofre discipline hearing IC may refer complaint to APRC
- At any time before discipline hearing IC may order extordinary action if there is propbable cause that the respondents practices poses harm to the public interest
- After investigation IC must review and consider report where they may order further investigation or amendments to report
- IC then decides action to take which may result in a discipline hearing
- notice must be given of action to complaintant and respondent where respondent must give written response within 14 days
Describe the discipline process
- Citation of hearing must be delivered to respondent
- panel of DC members are appointed
- panel must then issue notice of hearing
- registrar retains prosecution and respondent may chose legal counsel
- hearing must be conducted orally unless panel directs to hearing or portion of hearing to be conducted in writting
- Registrar invites respondent or legal counsel on behalf of resondent to participate in pre-hearing meeting in private with FPBC to discuss the following: procedural issues, admission or agreed statement of facts, diclosure of information or records, style of hearing, witnesses, estimated length of hearing, possible resolution through ACR, possible referral to APRC, and possible diciplinary actions
- At any time before hearing panel may hold a pre-hearing conference held in private where respondent or respondents legal counsel may attend and may still be held in the absence of respondent if reasonable notice was given
- pre-hearing conferences may be held to fix date, time or place of hearing, for discovery or production of information or records, decisions on hearing or portion of hearing in writting or video, or any other matters that may aid in the dispostion of the ciation
- hearing must be held in public unless directed by panel to be held in private
- hearing panel must provide notice to all person required to attend or to produce files, records, or other documentation
- hearing panel is not bound by the legal rules of evidence in a hearing
- hearing panel must transcribe hearing in writting or audio recording
- at any time the panel may issue extrodinary action
- After the hearing the panel must deliver its decision and reason to registrar, complaintant, and respondant which may include suspension of registration
Describe the actions that may result from complaints, investigations, and disciplinary processes
- dismissal of complaint
- alternative complaint resolution
- consent order
- citation of discipline hearing
- If a registrant is proven to have committed:
- professional misconduct
- conduct unbecoming of a registrant
- and/or incompetent performance of professional forestry
the action taken against them may be one or more of the following: - reprimand
- fine of up to 100 000 (2000 for trainees)
- assignment of costs
- imposition of conditions
- suspension or cancellation of registration
- Undertake other remedial programs or appear before a committee
For trainees the discipline action may be:
- undertake further training
- reprimand
- impose penalty not exceeding 2000
- cancel enrolment
Describe the ABCFP requirements for public disclosure
Bylaw 13 sets out the detailed requirements regarding the register as well as public disclosure
requirements. The bylaws establish the conditions and requirements under which the Registrar will disclose information regarding complaints and investigations, or publish notices on the
FPBC website regarding decisions or actions taken regarding the following:
- Extraordinary actions
- Reprimand or remedial action by consent
- Consent orders
- Citations and notices of hearing
- Discipline decisions
- Registrants convicted of an indictable offence.
conduct unbecoming a registrant
conduct of a registrant that
- brings regulatory body or its registrants into direpute
- undermines the standrads, methods or principles of the profession
- undermines the principle of upholding public safety and protection of the environment
confidential information
- information, written or oral, provided by a person for the purpose of an investigation, audit or hearing
- under agreement the info will be kept confidential
