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Registration Practices: Indicators and Sources
A Companion to the OFC’s Registration Practices Assessment Guide


INTRODUCTION

Purpose

This guide is a companion document to the Office of the Fairness Commissioner's (OFC) Registration Practices Assessment Guide (2016). It provides supplementary information about actions that regulators are expected to take to meet their fair-access obligations and provides examples of how to demonstrate the actions.

Using this guide

ORGANIZATION OF THIS GUIDE

The guide is organized according to the specific and the general duties of the fair-access legislation. It follows the same structure and numbering as the OFC's Registration Practices Assessment Guide.

For each practice, it describes:

actions (indicators) required to meet a practice's requirements:
the actions that a regulator must do to fulfil each practice.
examples of evidence:
examples of how a regulator can demonstrate that it is performing the required actions. These examples are provided for reference only. Regulators may choose to provide other evidence.

Practices listed in the specific-duty sections (sections 1—8) correspond to regulators' specific duties identified in the legislation.

Note that each specific-duty practice corresponds to one or more of the general-duty principles — transparency, objectivity, impartiality and fairness. These principles are indicated in brackets after each appropriate specific-duty practice.

The general duty is in a distinct section in the fair-access legislation. The OFC's interpretations of the general-duty principles are listed in the general-duty sections of this guide (sections 9—12), as a reference.

Note: Some practices in the specific-duty sections may appear to be similar to practices in the general-duty sections. This is especially evident when comparing practices in Section 6, "Specific Duty — Assessment of Qualifications," and practices in the general-duty sections of "Objectivity" and "Impartiality."

How these differ is that the general-duty sections address the transparency, objectivity, impartiality and fairness of all criteria, tools and procedures used to make registration decisions, whileSection 6 focuses on assessment decisions.

Registration decisions include, for example, decisions about or related to the following:

  • accepting or rejecting an application
  • handling reviews or appeals
  • verifying good character
  • exempting an applicant from a registration requirement
  • granting special considerations
  • issuing a licence with or without limitations or conditions

Objectivity and impartiality in assessments of qualifications are addressed using practices in Section 6.

For some regulators, functions related to assessment of qualifications are closely intertwined with functions related to making registration decisions. The OFC will consider this context and apply the practices accordingly, to avoid redundancy.