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Commissaire aux plaintes en matière dereconnaissance des compétences professionnelles

Competence-based Approaches and

Professional Regulation: A Balancing Act

Presentation by Me André Gariépy, Commissioner,at the World Health Professions Regulation Conference

Geneva, Switzerland,18 May 2014

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Content

• The Office of Commissioner

• Regulatory framework: A balancing act

• Competence-based approaches

• Issues with competence-based approaches

• Words of advice for regulators

• Appendix – The Québec Professional System

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The Office of Commissioner

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• Created in response to recommendations from The Inquiry Commission on Diversity and Integration in Québec (Bouchard-Taylor Commission, 2007-2008)

• Bill passed at the end of 2009 by the National Assembly of Québec

The Office of Commissioner

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• An oversight entity granted independence and wide investigation powers

• Specialized in the registration process and the recognition of professional competence

• Administratively attached to the Office of the Professions, an agency which already has oversight functions over the 45 professional regulatory bodies

The Office of Commissioner (cont.)

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1. Receive and examine individual complaints concerning the recognition of competence by the regulatory bodies

2. Verify the mechanisms for recognition of competence (in a more systemic way compared to case-by-case)

3. Monitor the collaboration between the education and the professional systems (re: bridging programs and internships)

Functions-Mandate

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Functions-Mandate (cont.)

• Also responsible for overseeing the implementation by regulatory bodies of their obligations under applicable trade, mobility and mutual recognition agreements

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1. Conformity- Laws, regulation, policies

2. Critical analysis- Question the legal framework and policies

• If unexpected and undesirable outcomes

• If unreasonable and unfair

- Principles and good practices in the field of recognition of professional competence

Types of analysis

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• Administration- Resources (types and level, competencies)

- Work organisation

• Methods- Assessment and evaluation

- Standards

• Procedure

What is under scrutiny

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Principles Guiding theCritical Analysis

• Equality

• Fairness - Procedural- Substantive- Relational

• Objectivity

• Transparency

• Openness

• Consistency

• Effectiveness

• Efficiency

• Reasonableness

• Accountability

• Ongoingimprovement

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Regulatory Framework : A Balancing Act

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Regulatory Framework

• Objectives of regulation– Public safety and protection

– Quality of services

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Regulatory Framework (cont.)

• Competing policy issues impacting professional regulatory framework– Public protection

– Social justice

– Democracy (level of autonomy and accountability)

– Demographics and labour market

– State delivery of services (ex.: health)

– Trade liberalization, mobility, and globalization

– Economic development

– Education and training

– Immigration

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• Governments are more involved in the public interest debate over regulation– More accountability, oversight and

intervention

• Balancing act between the competing policy issues– Determining the need for regulation and the

design of the framework

– Setting the entry-to-practice requirements (minimum, optimum, maximum)

Regulatory Framework (cont.)

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Competence –based Approaches

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Competence-based Approaches

• Moving beyond the traditional diploma (credits and topics) approach

• New ways to demonstrate your competence

• New understanding– Knowledge and skills involved in a profession– Through analysis of the practice and its context– Useful for training, regulation, registration,

qualifications recognition, continuing education• Coherence

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Competence-based Approaches (cont.)

• Qualities for better regulation and registration– Precision– Transparency– Comprehensiveness– Coherence– Sufficient neutrality for international profiles

comparison

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Issues with Competence-based Approaches

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Issues

• Qualities at risk of becoming a disadvantage– Too much precision and comprehensiveness

• One could get carried away with the methodology• The compulsion toward the ultimate tool and

process• Bringing to light new skills and stating the relative

importance of skills– Technical, non-technical, communication, cultural, “soft”

skills”, etc.– Linkage between skills and a real public protection issue– Possible overstatement of the importance of some skills

(ex.: organizational context)

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Issues (cont.)

• Qualities at risk of becoming a disadvantage (cont.)– Elaborate or sophisticated systems

• The mirage of technology

• The mirage of self-declared simplification

• The technical and financial aspects may generate cumulative tinkering of the principles and objectives of a registration/qualifications recognition process, or of the experience of applicants

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Issues (cont.)

• Qualities at risk of becoming a disadvantage (cont.)– Costs!

– Barriers to qualifications recognition embedded in the competency profile and the assessment method

• Justification and fairness of requirements, assessment, and additional training

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Issues (cont.)

• Role of third parties– Involved in the analysis and the

implementation of the competency approach• Expertise and capacity

– Vested with responsibilities in the assessment and professional registration process

• Issues of legal standing, governance, responsibilities and oversight

• Accountability to regulatory bodies and governments

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Issues (cont.)

• Not all jurisdictions are using the competency-based approaches

– How can we relate to these jurisdictions in fairness?

• The education system is not always on board in implementing competency-based approaches for a profession

• Possible disconnect between the gap training needs and the training offerings

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Words of Advicefor Regulators

From a Commissioner’s perspective

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Words of advice

• Think about why you do it– The purpose: regulation

• What are we describing? • The profession as we see it or as it is? • Or, the safe entry-level competencies?

– Avoid replicating what others are doing

– Integrate in your process the balancing act between competing policy issues

• But be true to the regulation purpose

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Words of advice (cont.)

• Don’t let others tell the story of your profession– Competency-based is a methodology

at your service, not the other way around

– Get involved in the thinking and the design

– Make some reality checks along the way

– Make sure you understand the methodology and the tools you’ll be using afterward

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Words of advice (cont.)

• Maintain the ability to use other approaches, or translate your competency-based tools into other approaches– For qualifications recognition in the

registration process

– Ex.: Traditional diploma (topics and credits) approach

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Words of advice (cont.)

• Be constantly aware of the possible adverse effects– Are we doing too much?

• Stay in control of your standards and of the third parties acting on your behalf

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Words of advice (cont.)

• Equality

• Fairness - Procedural- Substantive- Relational

• Objectivity

• Transparency

• Openness

• Consistency

• Effectiveness

• Efficiency

• Reasonableness

• Accountability

• Ongoingimprovement

• Principles worth keeping in mind

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Thank you!

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Contact Info

André Gariépy, Lawyer, C.Adm.Commissioner for Complaints concerning the Recognition of Professional Competence,Government of Québec

Telephone : +1 (514) 864-9744Email : commissaire@opq.gouv.qc.caWebsite : www.opq.gouv.qc.ca/commissaire

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AppendixThe Québec Professional System

• Protecting the public is a State mandate• Harmonized system for all professions• Public interest and consumer sensitivity• One basic model for institutions, procedures and

disciplinary complaints mechanism for the public− Professional Code, in force since 1974− Complementary professions’ specific legislation if needed− Similar regulation and mechanisms for the public− Now 53 professions (366 000 individuals) regulated

under this model

• Under State orientation and supervision− Mainly through the Office of the Professions

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• Degree of autonomy and self regulation− Through Professional Orders (regulatory bodies)

− Role of professionals in the regulation scheme: specialists running a specialized public entity

− The Orders can initiate regulation/By-law on important professional matters but, to get the approval, must engage in a dialogue with public authorities about the relevance and the modalities

AppendixThe Québec Professional System (cont.)

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• Cooperation between Professional Orders− Through the Québec Interprofessional Council

• Accountability and transparency− Check and balance approach− Oversight government agency

• The Office of the Professions with the Commissioner for Complaints

• Investigation powers

− Main regulations/By-laws examined then approved by public authorities and made public

− Annual public reporting on activities• Content of the report established by regulation/By-law• Report submitted to the National Assembly

AppendixThe Québec Professional System (cont.)

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• Accountability and transparency (cont.)− Presence of representatives of the public on

• Board of Directors of the Office of the Professions• Board of Directors and Executive Committee of

Professional Orders• Advisory Committee on Investigation Review • Disciplinary Council (through a lawyer presiding)

− Subjected to the Access to information Act• For information on public protection related

activities

AppendixThe Québec Professional System (cont.)

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• Information on the professional system

– Office of the Professions of Québec (French only)www.opq.gouv.qc.ca

– Québec interprofessional Council(French, English, Spanish)www.professions-quebec.org

AppendixThe Québec Professional System (cont.)

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National Assemblyof Québec

Minister Responsiblefor Professional Laws

Office of the Professions (with the Commissioner for Complaints)

Interprofessional Council

Professional Orders(Regulatory Bodies)

Assembly of Members

Board of Directors Executive Committee

Disciplinary CouncilConciliation and Arbitration of Accounts

Committee on Investigation ReviewCommittee on Training

Syndic (disciplinary investigation)Committee on Professional Inspection

Other Functions and Committees

Professions Tribunal

Members

The Québec Professional System

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Contact Info

André Gariépy, Lawyer, C.Adm.Commissioner for Complaints concerning the Recognition of Professional Competence,Government of Québec

Telephone : +1 (514) 864-9744Email : commissaire@opq.gouv.qc.caWebsite : www.opq.gouv.qc.ca/commissaire