Risk Reference
Sheet
R A
Professional Failure to Register and Regulatory License in a Fair and/or
Authorities/ Consistent Manner
Colleges
Healthcare professionals must meet rigorous requirements prior to obtaining a license to practice. Prior to
making a decision, the regulatory authority must thoroughly review the healthcare professionals education,
training, any relevant practice experience, and any disciplinary or practice restrictions from other jurisdictions
to ensure that only qualified, knowledgeable and ethical healthcare professionals become licensed. To
mitigate complaints, the process should be fair, consistent, transparent and timely.
Data and Information
Failure to register and license in a fair and/or
consistent manner claim facts:
y Failure to register and license in a fair and/or
consistent manner is the highest ranked risk in
term of costs and represents about 33% of all
professional regulatory authorities’/colleges’ claims
costs;
y The majority of the claims costs for professional
regulatory authorities/colleges are incurred under
the Human Rights coverage;
y The highest claim in this area settled for over
$75,000.
Highest ranked risk in terms of cost.
Represents 33% of all professional Regulatory
Authorities’/ Colleges claim costs.
The highest claim in this area settled for over $75,000.
Common themes seen in HIROC claims files include:
y Lack of standardized/consistent screening and
evaluation practices for registration and licensure
between provinces/territories, in particular for
foreign trained practitioners;
y Delays in suspending and/or revoking a license,
particularly if the discipline or specialty is in high
demand but short supply;
y Failure to clearly communicate steps of the
re-registration process;
•
Delays in updating member information on
publically accessible website to reflect
current qualifications and/or findings;
y Inconsistent use of terminology to describe
specialties and ‘license to practice’ for
foreign trained practitioners across
provinces/territories;
y Inconsistent practices for assessing and
granting licensure/registration to foreign
trained practitioners (including those
undergoing the assessment phase)
between provinces/territories.
© 2014 HIROC. For quality assurance purposes. For use by HIROC subscribers and members only.
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Risk Reference
Sheet
R A
Professional Failure to Register and Regulatory License in a Fair and/or
Authorities/ Consistent Manner
Colleges
HIROC Claim Examples
Case 1 – A physician was a recognized specialist, however, this information was not displayed on the
College’s website. The physician contacted the College to request that her specialty be posted on the website. After numerous complaints regarding the delay in updating the website, her specialty was posted after
one year. The physician sued claiming defamation and loss of income.
References
y
y
y
y
HIROC claims files.
College of Physicians and Surgeons of British Columbia. (2011). Annual Report.
Federation of State Medical Boards. (2011). New directions: shaping the future of medical regulation. Annual Report.
Millbank Memorial Fund. (2008). Medical regulatory authorities and the quality of medical services in Canada and the United States.
© 2014 HIROC. For quality assurance purposes. For use by HIROC subscribers and members only.
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R A
Professional Failure to Register and Regulatory License in a Fair and/or
Authorities/ Consistent Manner
Colleges
Mitigation Strategies
Reliable
RoutinePractices
Practices
Documentation
Reliable Routine
Implement
a standardized
policy/protocol
Implement
a standardized
policy/protocol
regarding
Ensure complete, consistent, and timely
regardingfor
application
for registration/licensure
application
registration/licensure
which:
documentation (‘audit trail’) of all actions taken
• which:
Is fair, timely and transparent to practitioners/members,
in response to applications for registration and/or
timely and
transparent
to practitioners/and
other
professional
regulatory
authorities/colleges
• Is fair,
licensure such as:
members,
other professional regulatory
other
stakeholders;
• Correspondence with the practitioner/member
authorities/colleges
and other
stakeholders;
• Meets
or exceeds legislation
for regulatory
bodies;
or their legal representative (i.e. voice
or exceeds
for regulatory bodies;
• Requires
applicantlegislation
to agree to:
• Meets the
messages, telephone discussions and emails);
Requireswith
thestatutory
applicantrequirements
to agree to: and the professio-•Conform
• Committee minutes;
- Conform
with
statutory requirements
and the
nal
regulatory
authority/college
rules;
• Staff/committee decisions to defer issuing/
professional
regulatory authority/college
rules;
- Conform
to the professional
regulatory authority/
re-issuing registration/licensure (e.g. defer
- Conform
professional
college
codetoofthe
conduct
policy; regulatory authority/
pending a medical/psychiatric clearance or
college
code practice
of conduct
policy;the scope of his/her
- Confine
his/her
to within
additional background checks);
- Confine his/her practice to within the scope of
profession;
• Staff/committee decisions to expedite or
his/her
- Advise
theprofession;
professional regulatory authority/college if
abbreviate the processes/steps involving in
- Advise
the professional
regulatory
authority/
he/she
is named
as a defendant
in any legal
action
registration/licensure.
college ifinternationally)
he/she is named
as a
defendant
in
(including
arising
from
his/her professEnsure that all registration and licensure
anyconduct
legal action
(including
ional
or named
in anyinternationally)
legal action resulting in
documents are stored in a manner that ensures
arising from
his/herincluding
professional
conduct
a criminal
conviction,
the reasons
fororbeing
they are readily accessible and adhere to
named in any legal action resulting in a criminal
named;
provincial retention guidelines.
conviction,
including
the reasons privileges
for being (in
- Disclose
in writing
if hospital/facility
Post Incident Management
named;
Canada
or internationally) have been revoked, reduced
Ensure immediate and appropriate internal
- Disclose
in writing if hospital/facility privileges
or
suspended;
notification and timely notification of the
(in Canada
internationally)
have been revoked,
- Provide
proof or
of current
liability coverage.
insurer following receipt of a Statement of
reduced
or suspended;
Implement
a standardized
policy/protocol regarding
Claim, Human Rights notice or significant
- Provide
proof of current
liability coverage.
revocation,
suspension
and re-application
for licensure
threat/demand for compensation or legal
Implement
a standardized policy/protocol regarding
following
suspension.
action from a practitioner/member.
revocation,
suspension
and re-application
for and
Adopt
standardized
terminology
for communicating
Secure and lock-up the practitioner’s/member’s
licensure following
documenting
various suspension.
categories of licensure (e.g. provisifile (including staff/committee decisions) and
Adopt
standardized
for communicating
onal);
ensure
the termsterminology
are clearly defined
and transparent.
related correspondence in anticipation of litigation.
and documenting various categories of licensure
Quality Assurance
(e.g. provisional);
ensure the
terms arefor
clearly
Track and review incidents/claims and complaints
If there
is reliance on another
organization
part of the
defined
and
transparent.
involving allegations of failure to register and
registration and licensure process, ensure there is a documContracts
license in a fair and/or consistent manner.
ented mechanism (e.g. a contract) to manage this relationIf there is reliance on another organization for part
Monitor adherence to registration and licensure
ship.
of the registration and licensure process, ensure
processes through scheduled file reviews
there is a documented mechanism (e.g. a contract)
(e.g. application/renewal timeframe met; all
to manage this relationship.
licenses and renewal of licenses confirmed in
writing; decisions to grant/revoke/suspend
consistently documented, fair and transparent).
Date last reviewed: March 3, 2014.
Disclaimer/Terms of Use: This is a resource for quality assurance and risk management purposes only, and is not intended to provide legal or medical advice or reflect standards of care and/or standards of practice of a regulatory body. The information contained in this resource was deemed
accurate at the time of publication, however, practices may change without notice. Please direct questions to [email protected]
© 2014 HIROC. For quality assurance purposes. For use by HIROC subscribers and members only.
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