FPBC Exam 1d - Regulatory Framework II

Define "competence audit" - ANS an audit conducted by an FPBC registrant peer auditor to ensure competence requirements are being maintained. Define peer reviewer - ANS a peer reviewer or assessor assigned to conduct a competence audit Define professional conduct audit - ANS a formal audit conducted by an FPBC assessor assigned by the registrar. Examines professional conduct, areas of practice, and work history. Which legislation enables the ABCFP to conduct audits? - ANS Professional Governance Act Pt 6 Div 3 List the three primary duties of the audit and practice review committee - ANS To establish policy for routine/random practice reviews/audits and: -Appoint assessors for the purpose of conducting audits and practice reviews - Establish policy specifying pre-approved education courses or other action that may be included in an undertaking or consent requested by the investigation committee. -Impose restrictions on registrants based on review findings - Refer matters to Investigation committee if a registrant's continued practice poses a threat to the public interest. Name the members of the Audit and Practice Review Committee - ANS Chair, at least two additional registrant committee members, and at least one lay member How many practicing registrants are audited for practice annually, and when do the audits occur? - ANS Three percent, selected randomly fin February. How many practicing registrants are audited for professional conduct annually, and when do the audits occur? - ANS One percent of registrants, occurs after completion of renewals in February. Other than random selection, how are registrants identified for professional conduct audits? - ANS results, trends, issues or concerns identified as a result of ABCFP complaints, investigations, discipline or competence audits • risk of significant harm to the environment or public or other group within specific practice areas, professional services or geographic areas How may registrants be exempted from audits? - ANS • completed a competence or professional conduct audit in any of the previous three registration years • illness, injury, or family emergency • jury duty, or • verified leave of absence from employment (e.g., maternity/paternity leave) supported by a declaration of non practice (i.e., did not provide any professional services, work or products for the duration of employment leave), in a form specified by the committee What information must be provided to an assessor in a professional conduct audit? - ANS • the registrant's job description and a detailed description of work duties, any required competence declarations and professional development records, and samples of professional work product, and • any further information or documentation requested by the assessor that is related to verifying the registrants' professional conduct What information must be provided to an auditor in a competence audit? - ANS the registrant's job description, job profile or list of key functions and professional services required • competence declaration for the current registration year and any other annual competence declarations within the previous three years • current continuous professional development records • samples of professional services and work products. • other information, documents and records requested by the peer reviewer that illustrate professional services and work products related to verifying the registrants' competence Who may serve as a peer reviewer for a competence audit - ANS if the registrants is: • a practicing RPF or RFT registrant; • in 'good standing' (see bylaw 1 definition); and • not in a real or perceived conflict of interest with the practicing registrant selected for audit, as a result of, o personal, family, business, or other relationship (e.g. direct employee/employer of registrant selected for audit). How may the committee authorize a practice review? - ANS notification provided by a peer reviewer or assessor under bylaw 11-5 • notification provided by a assessor 11-6 • referral by the registrar under bylaw 10-2 (Continuing Professional Development) • referral by the registrar under bylaw 12-2 (Complaints, Investigation and Discipline) • referral by the investigation committee under bylaw 12-11 (Complaints, Investigation and Discipline). What situations can exempt a registrant practice review based on continuous professional development non compliance? - ANS • illness, injury, or family emergency • jury duty, or • verified leave of absence from employment (e.g., maternity/paternity leave) supported by a declaration of non practice (i.e., did not provide any professional services, work or products for the duration of employment leave), in a form specified by the committee. What items must a practice review contain? - ANS • inspecting files, records or other documents in the registrants possession and control relating to the registrant's practice • requesting that the registrant provide a competence declaration • requesting that the registrant provide written responses to inquiries • interviewing the registrant in person or by video conference or by telephone • requesting the committee issue a written notice to the registrant under section 63(5)(a) of the Act in support of the practice review • Verifying practice results in the field if possible and where practicable How long does the registrant have to find a peer reviewer, and how must they consent to be a peer reviewer? - ANS 28 days, formally in writing. Name conditions under which the Audit and Practice Committee may authorize a practice review - ANS - non compliance with scheduled audits (Section 11-5&6 (9)) - Findings of act contravention, failure to comply with standards/conditions under the act, professional misconduct or conduct unbecoming a registrant, or incompetency in areas of professional forestry. - referral due to non compliance with continuing professional development - referral by registrar due to complaints/investication/discipline