Council Meeting Binder June 16 2017

CDHO COUNCIL MEETING Friday, June 16, 2017 9:00 AM – 4:30 PM

Location: Intercontinental Hotel Yorkville 220 Bloor Street West, Toronto, Ontario

Portman Boardroom 2nd Floor

CDHO COUNCIL MEETING AGENDA Friday June 16, 2017 9:00 AM ‒ 16:30 PM

Verbal Agenda Proposed Lead if not Topic and Relevant Council Policy Report/ Est. Time Item Outcome Chair Attachment 1.0 CALL TO ORDER 9:00

1.1 Roll Call Council Attendance H. Blondin TAB 09:00-09:05 H. Blondin 1.2 Opening Remarks Council Is Addressed -- 09:05-09:15 L. Taylor Council Policy 1.3 Council Policy Manual Update H. Blondin TAB 09:15-09:20 Manual Update 2.0 APPROVAL OF AGENDA 9:20

2.1 Review and Approval of Agenda Council Approval H. Blondin -- 09:20-09:25

2.2 Declaration of Conflict of Interest Declared Conflicts H. Blondin -- 09:25-09:30

3.0 MONITORING REPORTS (In Camera ‒ RHPA, Schedule 2, Section 7(2)(d)) 30 09:30

3.1 Council‒Registrar Delegation Policy Development, Review, Approval, and Implementation

3.1.1 Registrar Performance Appraisal – In Camera Council Approval H. Blondin to be distributed 09:40-10:25

BREAK 10:30-10:50 resume 3.1.1 Registrar Performance Appraisal – In Camera Council Approval H. Blondin -- 10:55-11:55 LUNCH 12:00-13:00

3.2 Executive Limitations Monitoring Reports 13:00 U. Paracha 3.2.1 2016 Draft Audited Financial Statements Council Approval TAB 13:00-13:30 Hilborn LLP 3.2.2 Financial Condition (EL 2.4) Council Approval L. Taylor TAB 13:30-13:35

3.2.3 Treatment of Staff (EL 2.2) Council Approval L. Taylor TAB 13:35-13:45

3.2.4 Planning (EL 2.3, 2.3.1–2.3.2, 2.3.9) Council Approval L. Taylor TAB 13:45-13:50

3.2.5 Ethical Behaviour (EL 2.9) Council Approval L. Taylor TAB 13:50-13:55

4.0 CONSENT AGENDA ITEMS 14:00 CONSENT AGENDA ITEMS (4.1. – 4.3.2) A consent agenda is a bundle of items that is voted on, without discussion, as a package. It differentiates between routine matters not needing explanation and more complex issues needing examination. The Chair will ask if any one wishes to remove an item from the consent agenda. Any Council member may request an item be removed so it can be discussed. To test whether an item should be included in the consent agenda, ask: 1. Is this item self-explanatory and uncontroversial? Or does it contain an issue that warrants board discussion? 2. Is this item for information only? Or is it needed for another meeting agenda issue?

Page 1 of 3 CDHO Council Meeting Agenda – June 16, 2017

4.1 Council Meeting Minutes

4.1.1 Meeting Minutes – Friday December 2, 2016 Council Approval H. Blondin TAB 14:00-14:05

4.1.2 Meeting Minutes – Friday March 24, 2017 Council Approval H. Blondin TAB 14:05 -14:10

4.2 Committee Reports 14:10 4.2.1 Discipline Committee Council Is Informed V. Jain TAB -- 4.2.2 Examinations Committee Council Is Informed E. Jesin TAB --

4.2.3 Executive Committee Council Is Informed H. Blondin TAB --

4.2.4 Fitness to Practise Committee Council Is Informed -- TAB --

4.2.5 Inquiries, Complaints and Reports Committee Council Is Informed M. Heics TAB --

4.2.6 Patient Relations Committee Council Is Informed E. Jesin TAB --

4.2.7 Quality Assurance Committee Council Is Informed T. Strawn TAB --

4.2.8 Registration Committee Council Is Informed G. Marion TAB --

4.3 Incidental Briefing Reports

4.3.1 Council President’s Incidental Report Council Is Informed H. Blondin TAB --

4.3.2 Registrar’s Administrative Report Council I s Informed L. Taylor TAB --

5.0 POLICY DEVELOPMENT, REVIEW, APPROVAL, AND COUNCIL IMPLEMENTATION 14:10

5.1 Governance Process Policy Development, Review, Approval, and Implementation

5.1.1 Appointment of Auditor for 2017 Audit Council Approval H. Blondin TAB 14:10-14:15

5.1.2 Reserve Fund for Premises Relocation Council Approval L. Taylor TAB 14:15-14:25

5.1.3 Issue Assessment: Clinical Examination Council Approval E. Jesin TAB 14:25-14:40

BREAK 14:40-14:55 Issue Assessment: 5.1.4 Council Approval H. Blondin TAB 14:55-15:05 Academic Member Appointment Issue Assessment: Technical Support to 5.1.5 Council Approval H. Blondin TAB 15:05-15:20 Council 5.1.6 Transfer of Reserve Funds to Lease Hold Council Approval L. Taylor TAB 15:20-15:50

5.1.7 Council Meeting Dates 2018 Council Approval L. Taylor TAB 15:50-16:05 GOVERNANCE PROCESS POLICIES 4. Global Governance Process 4.1 Governing Style 4.2 Council Job Contributions 5.1.8 4.3 Council Planning Cycle and Agenda Council Approval H. Blondin TAB 16:05-16:15 Control 4.4 President’s Role 4.5 Vice President’s Role 4.6 Council Committee Principles 4.7 Executive Committee

Page 2 of 3 CDHO Council Meeting Agenda – June 16, 2017

4.8 Ownership Linkage Committee 4.9 Registrar/CEO Transition Committee 4.10 Council and Committee Expenses 4.11 Council Code of Conduct 4.12 Investment in Governance 4.13 Governance Succession Planning 4.14 Council Linkage with Ownership 4.15 Special Rules of Order 4.16 In Camera Sessions 4.17 Handling Operational Complaints 5.2 Executive Limitations Policy Development, Review, and Approval

5.2.1 Motion to Rescind EL 2.4.2 and 2.5.8.3 Council Approval H. Blondin TAB 16:15-16:20

EXECUTIVE LIMITATIONS POLICIES 5.2.2 Council Is Informed H. Blondin TAB -- 2. General Executive Constraint

5.3 Council‒Registrar Delegation Policy Development, Review, and Approval COUNCIL-REGISTRAR DELEGATION POLICIES 5.3.1 Council Is Informed H. Blondin TAB -- 3. Global Council-Registrar/CEO Delegation

6.0 COUNCIL MEETING FEEDBACK 16:20

Electronic Polling Council Feedback H. Blondin Interactive 16:20-16:30

7.0 NEXT MEETING DATE 16:30

Friday September 15, 2017 Council Is Informed H. Blondin -- --

8.0 ADJOURNMENT 16:30

Page 3 of 3 AGENDA ITEM 1.1

Roll Call Council Meeting – Friday, June 16, 2017 Intercontinental Hotel Toronto Yorkville, Porter Conference Room, 2nd floor

 Blondin, Heather Elected  Connor, Mike Public  Czech, Roma Elected  Eles, Jillian Elected  Feres Patry, Kathleen Elected  Hamelin, Fernand Public  Heics, Marlene Elected  Jain, Vinay Public  Jesin, Evie Elected  Kau-Lui, Beatrix Public  Leroux, Pauline Elected  Lightstone, Helen Public  Lotz, Caroline Elected  Marion, Gail Elected  Nathoo, Julius Public  Ranson, Catherine Academic  Strawn, Terri Elected  Venton, Anne Public  Walji, Saeed Public  Winkle, Yvonne Public

June 16, 2017 – Council Meeting Intercontinental Hotel Yorkville, Toronto Ontario, 220 Bloor St W, M5S 1T8 AGENDA ITEM 1.3

BRIEFING REPORT

To: Council From: Chair Date: June 16, 2017 Topic: Council Policy Manual Update

The following policies were approved at the March 24, 2017 Council Meeting and the Policy Manual has been updated.

EXECUTIVE LIMITATIONS POLICIES:

2. General Executive Constraint

2.1 Treatment of Registrants and Public 2.2 Treatment of Staff 2.3 Planning 2.4 Financial Conditions and Activities 2.5 Protection of Assets 2.6 Investment 2.7 Compensation and Benefits 2.8 Communication and Support to the Board 2.9 Ethical Behaviour 2.10 Development of Standards Governing Practice 2.11 Amendments to the Act or Bylaws

COUNCIL-REGISTRAR DELEGATION POLICIES:

3. Global Council-Registrar/CEO Delegation

3.1 Unity of Control 3.2 Accountability of the Registrar/CEO 3.3 Delegation to the Registrar/CEO 3.4 Monitoring Registrar/CEO Performance 3.5 Registrar/CEO Compensation 3.6 Registrar/CEO Succession 3.7 Registrar/CEO Termination

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346 AGENDA ITEM 1.3

V: 24-March-17

CDHO COUNCIL POLICY MANUAL TABLE OF CONTENTS

ENDS

I-01 High Level Ends Policy

EXECUTIVE LIMITATIONS POLICIES:

2. General Executive Constraint

COUNCIL-REGISTRAR DELEGATION POLICIES:

3. Global Council-Registrar/CEO Delegation

Page | 1

GOVERNANCE PROCESS

IV-01 Governance Philosophy/Approach IV-05 Council Terms of Reference

IV-10 Council Member Job Description

IV-15 Role of Council Officers

IV-20 Council, Committee, and Task Force Principles

IV-20.05 Executive Committee Terms of Reference

IV-20.13a Linkage Taskforce Terms of Reference

IV-22 Role of Committee Chairperson

IV-25 Council Decision-Making Process

IV-30 Council Strategic Agenda/Work Plan

IV-40 Council Recruitment and Nominations for Council

IV-50.10 Council Monitoring of the Registrar

IV-80 Council Code of Conduct and Conflict of Interest Policy

IV-80.10 COI CDHO Representatives

CATEGORY V: OTHER – REGULATORY POLICIES ENDORSED BY COUNCIL

V-10 Reporting Apparent Criminal Behaviour V-11 Posting Criminal Charges, Findings and Bail Conditions on Public Register

Page | 2

AGENDA ITEM 3.1.1

In-Camera

Registrar Performance Appraisal

Item 3.1.1

To Be Distributed

AGENDA ITEM 3.2.1

BRIEFING NOTE WITH MOTION

To: Council From: Chair Date: June 16, 2017 Topic: 2016 Draft Audited Financial Statements

BACKGROUND

In accordance with Bylaw No. 5 Section 10.4, Blair Mackenzie of the firm Hilborn, LLP conducted an audit on behalf of Council for the 2016 fiscal year ending December 31, 2016.

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend upon the auditor's judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by management, as well as evaluating the overall presentation of the financial statements.

The auditor’s report and draft audited financial statements were presented to the Executive Committee at its meeting on May 10, 2017 for review. It was reported that there were no difficulties while performing the audit and that the financial position of the CDHO as of December 31, 2016, and the results of its operations as well as its cash flows for the year there ended, presented fairly in accordance with Canadian accounting standards for Not-For- Profit Organizations.

RECOMMENDED MOTION:

WHEREAS Council has a legal obligation to obtain an independent audit of the financial statements for the fiscal year ending December 31, 2016; and

WHEREAS Council had had an opportunity to review the auditor’s report and the audited financial statements and ask questions of the auditor at the June 16, 2017 Council meeting;

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346

THEREFORE BE IT RESOLVED THAT Council accept the auditor’s report and the 2016 audited financial statements as presented by Hilborn, LLP.

MOVED: SECONDED:

CARRIED: DEFEATED:

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO

FINANCIAL STATEMENTS DECEMBER 31, 2016 Independent Auditor's Report

To the Council of the College of Dental Hygienists of Ontario

We have audited the accompanying financial statements of the College of Dental Hygienists of Ontario, which comprise the statement of financial position as at December 31, 2016, and the statements of operations, changes in net assets and cash flows for the year then ended, and a summary of significant accounting policies and other explanatory information.

Management's Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with Canadian accounting standards for not-for-profit organizations, and for such internal control as management determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.

Auditor's Responsibility Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with Canadian generally accepted auditing standards. Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement.

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor's judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the organization's preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the organization's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by management, as well as evaluating the overall presentation of the financial statements.

We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.

Opinion In our opinion, the financial statements present fairly, in all material respects, the financial position of the College of Dental Hygienists of Ontario as at December 31, 2016, and the results of its operations and its cash flows for the year then ended in accordance with Canadian accounting standards for not-for-profit organizations.

Toronto, Ontario Chartered Professional Accountants To be determined Licensed Public Accountants

1 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO

Statement of Financial Position

December 31 2016 2015 $$ ASSETS Current assets Cash 4,390,545 4,333,962 Investments (note 3) 1,777,023 1,360,486 Prepaid expenses 41,803 58,763

6,209,371 5,753,211 Investments (note 3) 5,325,424 3,977,348 Capital assets (note 4) 156,287 174,192 Intangible assets (note 5) 562,777 593,591

6,044,488 4,745,131

12,253,859 10,498,342

LIABILITIES Current liabilities Accounts payable and accrued liabilities (note 6) 312,518 249,494 Deferred registration fees 4,947,800 2,953,420

5,260,318 3,202,914

NET ASSETS Invested in capital and intangible assets 719,064 767,783 Internally restricted for premises relocation (note 7) 1,000,000 1,000,000 Internally restricted for complaints and discipline (note 8) 2,000,000 2,000,000 Unrestricted 3,274,477 3,527,645

6,993,541 7,295,428

12,253,859 10,498,342

The accompanying notes are an integral part of these financial statements

Approved on behalf of the Council: President

Vice-President

2 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Statement of Operations

Year ended December 31 2016 2015 (note10) $$

Revenues Registration and examination fees 3,445,601 3,414,205 Investment income 149,174 182,039

3,594,775 3,596,244

Expenses Salaries and benefits 1,918,356 1,919,739 Complaints and discipline 227,416 116,782 Public education 336,832 560,847 Consulting 68,932 64,912 Premises rent 214,320 233,570 Stationery, postage and printing 14,015 30,927 Clinical examinations 5,127 10,973 Council fees and expenses 323,279 476,178 General and administrative 193,117 146,977 Commission on dental accreditation 90,510 72,561 Quality assurance 96,677 155,252 Professional fees 64,232 114,724 Special project - clinical exam agreement 61,461 50,000 Furniture and equipment rental and maintenance 72,142 59,208 Telephone, website and internet 49,375 66,330 Amortization - capital assets 68,359 89,846 Amortization - intangible assets 92,512 86,483

3,896,662 4,255,309

Excess of expenses over revenues for the year (301,887) (659,065)

The accompanying notes are an integral part of these financial statements

3 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Statement of Changes in Net Assets

Year ended December 31

Internally Internally Invested in restricted restricted for capital for premises complaints and intangible relocation and discipline 2016 assets (note 7) (note 8) Unrestricted Total $$$$$

Balance, beginning of year 767,783 1,000,000 2,000,000 3,527,645 7,295,428

Excess of expenses over revenues for the year (160,871) --(141,016) (301,887)

Purchase of capital assets 50,454 - - (50,454) -

Purchase of intangible assets 61,698 - - (61,698) -

Balance, end of year 719,064 1,000,000 2,000,000 3,274,477 6,993,541

Internally Internally Invested in restricted restricted for capital for fee complaints and intangible stabilization and discipline 2015 assets (note 7) (note 8) Unrestricted Total $$$$$

Balance, beginning of year 783,181 5,000,000 2,000,000 171,312 7,954,493

Excess of expenses over revenues for the year (176,329) --(482,736) (659,065)

Transfer of internally imposed restriction - (4,000,000) - 4,000,000 -

Purchase of capital assets 13,161 - - (13,161) -

Purchase of intangible assets 147,770 - - (147,770) - Balance, end of year 767,783 1,000,000 2,000,000 3,527,645 7,295,428

The accompanying notes are an integral part of these financial statements

4 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Statement of Cash Flows

Year ended December 31 2016 2015 $$ Cash flows from operating activities Excess of expenses over revenues for the year (301,887) (659,065) Adjustments to determine net cash provided by (used in) operating activities Amortization of capital assets 68,359 89,846 Amortization - intangible assets 92,512 86,483 Interest capitalized on investments (49,185) (66,493) (190,201) (549,229) Change in non-cash working capital items Decrease (increase) in prepaid expenses 16,960 (37,645) Increase in accounts payable and accrued liabilities 63,024 5,323 Increase in deferred registration fees 1,994,380 65,645 1,884,163 (515,906) Cash flows from investing activities Purchase of investments (3,090,000) (1,200,000) Proceeds from sale of investments 1,374,572 2,303,008 Purchase of capital assets (50,454) (13,161) Purchase of intangible assets (61,698) (147,770)

(1,827,580) 942,077

Net change in cash 56,583 426,171 Cash, beginning of year 4,333,962 3,907,791

Cash, end of year 4,390,545 4,333,962

The accompanying notes are an integral part of these financial statements

5 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements

December 31, 2016

Nature and description of the organization

The College of Dental Hygienists of Ontario ("College") was incorporated as a non-share capital corporation under the Regulated Health Professions Act, 1991 ("RHPA"). As the regulator and governing body of the dental hygiene profession in Ontario, the College's major function is to administer the Dental Hygiene Act, 1991 in the public interest.

The College is a not-for-profit organization, as described in Section 149(1)(l) of the Income Tax Act, and therefore is not subject to income taxes.

1. Significant accounting policies

These financial statements have been prepared in accordance with Canadian accounting standards for not-for-profit organizations and include the following significant accounting policies:

(a) Revenue recognition

Registration fees

Registration fees are recognized as revenue proportionately over the fiscal year to which they relate. The registration year of the College coincides with that of the fiscal year of the College, being January 1 to December 31. Registration fees received in advance of the registration year to which they relate are recorded as deferred registration fees.

Examination fees

Examination fees are recognized as revenue when the examinations are held.

Investment income

Investment income comprises interest from cash and investments and realized gains and losses on the sale of investments.

Revenue is recognized on an accrual basis. Interest on investments is recognized over the terms of the investments using the effective interest method.

(b) Investments

Investments consist of Canadian fixed income investments whose term to maturity is greater than twelve months from date of acquisition. Investments maturing within twelve months from the year-end date are classified as current.

6 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements (continued)

December 31, 2016

1. Significant accounting policies (continued)

The costs of capital assets are capitalized upon meeting the criteria for recognition as a capital asset, otherwise, costs are expensed as incurred. The cost of a capital asset comprises its purchase price and any directly attributable cost of preparing the asset for its intended use.

Capital assets are measured at cost less accumulated amortization and accumulated impairment losses.

Amortization is provided for, upon commencement of the utilization of the assets, on a straight line basis at rates designed to amortize the cost of the capital assets over their estimated useful lives. The annual amortization rates are as follows:

Equipment 10 years Furniture 10 years Computer equipment 3 years Leasehold improvements 10 years

A capital asset is tested for impairment whenever events or changes in circumstances indicate that its carrying amount may not be recoverable. If any potential impairment is identified, the amount of the impairment is quantified by comparing the carrying value of the capital asset to its fair value. Any impairment of the capital asset is charged to income in the year in which the impairment occurs.

An impairment loss is not reversed if the fair value of the capital asset subsequently increases.

7 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements (continued)

December 31, 2016

1. Significant accounting policies (continued)

(d) Intangible assets

The costs of intangible assets are capitalized upon meeting the criteria for recognition as an intangible asset, with the exception of expenditures on internally generated intangible assets during the development phase, which are expensed as incurred. The cost of a separately acquired intangible asset comprises its purchase price and any directly attributable cost of preparing the asset for its intended use.

Intangible assets are measured at cost less accumulated amortization and accumulated impairment losses.

Amortization is provided for, upon commencement of the utilization of the assets, on a straight line basis at rates designed to amortize the cost of the intangible assets over their estimated useful lives. The annual amortization rates are as follows:

Computer software 3 years Computer software database 8 years

An intangible asset is tested for impairment whenever events or changes in circumstances indicate that its carrying amount may not be recoverable. If any potential impairment is identified, the amount of the impairment is quantified by comparing the carrying value of the intangible asset to its fair value. Any impairment of the intangible asset is charged to income in the year in which the impairment occurs.

An impairment loss is not reversed if the fair value of the intangible asset subsequently increases.

(e) Financial instruments

(i) Measurement of financial assets and liabilities

The College initially measures its financial assets and financial liabilities at fair value adjusted by the amount of transaction costs directly attributable to the instrument.

The College subsequently measures all of its financial assets and financial liabilities at amortized cost.

Amortized cost is the amount at which a financial asset or financial liability is measured at initial recognition minus principal repayments, plus or minus, the cumulative amortization of any difference between that initial amount and the maturity amount, and minus any reduction for impairment.

Financial assets measured at amortized cost include cash and investments.

Financial liabilities measured at amortized cost include accounts payable and accrued liabilities.

8 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements (continued)

December 31, 2016

1. Significant accounting policies (continued)

(e) Financial instruments (continued)

(ii) Impairment

At the end of each reporting period, the College assesses whether there are any indications that a financial asset measured at amortized cost may be impaired. Objective evidence of impairment includes observable data that comes to the attention of the College, including but not limited to the following events: significant financial difficulty of the issuer; a breach of contract, such as a default or delinquency in interest or principal payments; and bankruptcy or other financial reorganization proceedings.

When there is an indication of impairment, the College determines whether a significant adverse change has occurred during the period in the expected timing or amount of future cash flows from the financial asset.

When the College identifies a significant adverse change in the expected timing or amount of future cash flows from a financial asset, it reduces the carrying amount of the financial asset to the greater of the following:

- the present value of the cash flows expected to be generated by holding the financial asset discounted using a current market rate of interest appropriate to the financial asset; and

- the amount that could be realized by selling the financial asset at the statement of financial position date.

Any impairment of the financial asset is charged to income in the year in which the impairment occurs.

When the extent of impairment of a previously written-down financial asset decreases and the decrease can be related to an event occurring after the impairment was recognized, the previously recognized impairment loss is reversed to the extent of the improvement, but not in excess of the impairment loss. The amount of the reversal is recognized in income in the year the reversal occurs.

(f) Management estimates

The preparation of financial statements in conformity with Canadian accounting standards for not-for-profit organizations requires management to make judgments, estimates and assumptions that affect the application of accounting policies and the reported amounts of assets and liabilities and the disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the current period. Actual results may differ from these estimates, the impact of which would be recorded in future years.

Estimates and underlying assumptions are reviewed on an ongoing basis. Revisions to accounting estimates are recognized in the year in which the estimates are revised and in any future years affected.

9 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements (continued)

December 31, 2016

2. Financial instrument risk management

The College is exposed to various risks through its financial instruments. The following analysis provides a measure of the College's risk exposure and concentrations.

The financial instruments of the College and the nature of the risks to which those instruments may be subject, are as follows: Risks Market risk Financial instrument Credit Liquidity Currency Interest rate Other price

Cash X X Investments X X Accounts payable and accrued liabilities X

Credit risk

The College is exposed to credit risk resulting from the possibility that parties may default on their financial obligations, or if there is a concentration of transactions carried out with the same party, or if there is a concentration of financial obligations which have similar economic characteristics that could be similarly affected by changes in economic conditions, such that the College could incur a financial loss. The College does not hold directly any collateral as security for financial obligations of counterparties.

The maximum exposure of the College to credit risk is as follows:

2016 2015 $$

Cash 4,390,545 4,333,962 Investments 7,102,447 5,337,834

11,492,992 9,671,796

The College reduces its exposure to the credit risk of cash by maintaining balances with a Canadian financial institution.

The College manages its exposure to credit risk associated with investments through their investment policy which restricts the types of eligible investments.

Liquidity risk

Liquidity risk is the risk that the College will not be able to meet a demand for cash or fund its obligations as they come due.

The College meets its liquidity requirements by preparing and monitoring detailed forecasts of cash flows from operations and anticipated investing and financing activities and holding assets that can be readily converted into cash.

10 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements (continued)

December 31, 2016

2. Financial instrument risk management (continued)

Market risk

Market risk is the risk that the fair value or future cash flows of a financial instrument will fluctuate because of changes in market prices. Market risk is comprised of currency risk, interest rate risk and other price risk.

Currency risk

Currency risk refers to the risk that the fair value of financial instruments or future cash flows associated with the instruments will fluctuate due to changes in foreign exchange rates.

The College is not exposed to currency risk.

Interest rate risk

Interest rate risk refers to the risk that the fair value of financial instruments or future cash flows associated with the instruments will fluctuate due to changes in market interest rates.

The College is exposed to interest rate risk on its cash and fixed income investments.

The College manages the interest rate risk exposure of its fixed income investments by using a laddered portfolio with varying terms to maturity. The laddered structure of maturities helps to enhance the average portfolio yield while reducing the sensitivity of the portfolio to the impact of interest rate fluctuations.

The College does not use derivative financial instruments to manage its exposure to interest rate risk.

Other price risk

Other price risk refers to the risk that the fair value of financial instruments or future cash flows associated with the instruments will fluctuate because of changes in market prices (other than those arising from currency risk or interest rate risk), whether those changes are caused by factors specific to the individual instrument or its issuer or factors affecting all similar instruments traded in the market.

The College is not exposed to other price risk.

Changes in risk

There have been no significant changes in the College's risk exposures from the prior year.

11 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements (continued)

December 31, 2016

3. Investments

2016 2015 $$

Current 1,777,023 1,360,486

Long-term 5,325,424 3,977,348

7,102,447 5,337,834

Investments have effective interest rates ranging from 1.45% to 3.42% (2015 - 1.65% to 3.42%), and maturity dates ranging from September 2017 to August 2021 (2015 - July 2016 to April 2020).

4. Capital assets

Accumulated 2016 Cost Amortization Net $$$

Equipment 20,023 17,730 2,293 Furniture 154,948 120,316 34,632 Computer equipment 293,532 259,815 33,717 Leasehold improvements 335,466 249,821 85,645 803,969 647,682 156,287

Accumulated 2015 Cost Amortization Net $$$

Equipment 20,023 16,977 3,046 Furniture 154,948 109,228 45,720 Computer equipment 249,536 236,401 13,135 Leasehold improvements 329,008 216,717 112,291

753,515 579,323 174,192

12 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements (continued)

December 31, 2016

5. Intangible assets

Accumulated 2016 Cost Amortization Net $$$

Computer software 39,685 39,685 - Computer software database 740,086 177,309 562,777

779,771 216,994 562,777

Accumulated 2015 Cost Amortization Net $$$

Computer software 39,685 39,685 - Computer software database 678,388 84,797 593,591

718,073 124,482 593,591

6. Accounts payable and accrued liabilities

2016 2015 $$

Trade payables and accrued liabilities 226,673 227,694 Accrued liabilities - complaints and discipline 85,845 21,800

312,518 249,494

7. Net assets internally restricted for premises relocation

The Council of the College previously internally restricted net assets in the amount of $5,000,000 for stabilization. In 2015, Council directed that $4,000,000 of the net assets internally restricted for fee stabilization be transferred to unrestricted net assets. Council has re-purposed the remaining balance of $1,000,000 for premises relocation.

The internal restriction is subject to the direction of the Council upon the recommendation of the Executive Committee.

8. Net assets internally restricted for complaints and discipline

The College makes best efforts to anticipate the costs associated with complaints and discipline matters based on past experience and current caseload. However, in the event that the College incurs costs beyond the normal scope of such matters, the Council of the College has internally restricted net assets to fund expenditures related to these matters.

The internal restriction is subject to the direction of the Council upon the recommendation of the Executive Committee.

13 COLLEGE OF DENTAL HYGIENISTS OF ONTARIO Notes to Financial Statements (continued)

December 31, 2016

9. Commitment

The College is committed to lease its office premises until February 28, 2019. The future annual lease payments, including an estimate of premises common area expenses, are as follows:

2017 210,367 2018 212,686 2019 35,842

458,895 10. Comparative figures

Certain of the comparative figures have been reclassified to conform with the presentation used in the current year. The changes do not affect prior year excess of expenses over revenues for the year or net assets.

AGENDA ITEM 3.2.1

PRIVATE & CONFIDENTIAL June 16, 2017

The Council of the College of Dental Hygienists of Ontario 69 Bloor Street East Suite 300 Toronto, Ontario M4W 1A9

re: College of Dental Hygienists of Ontario (the “College”)

Dear Council members:

Further to the recent completion of our audit of the College of Dental Hygienists of Ontario (the “College”) for the year-ended December 31, 2016 we wish to communicate with you certain matters that may be of interest to you.

The objective of an audit is to obtain reasonable assurance whether the financial statements are free of material misstatement and it is not designed to identify matters that may be of interest to you. Accordingly an audit would not usually identify all such matters.

The following is a summary of matters we have communicated with you through our communication of January 6, 2017 and this correspondence:

Communication of January 6, 2017

• Auditor Independence - communicated through the Engagement letter issued for the December 31, 2016 year-end

• Auditors’ Responsibility Under Generally Accepted Auditing Standards - communicated through the Engagement letter issued for the December 31, 2016 year-end

• Summary of Audit Approach, Materiality and Other Issues

Current Communication

• Auditor Independence - we are independent with respect to the College within the meaning of the Chartered Professional Accountants of Ontario Code of Professional Conduct as of June 16, 2017

• The Auditors Responsibility to Consider Fraud - we did not note any evidence of fraud during the course of the audit

AGENDA ITEM 3.2.1

College of Dental Hygienists of Ontario 2 Toronto, Ontario June 16, 2017

• Misstatements - Illegal Acts - no misstatements of a material nature were identified - there were no uncorrected misstatements aggregated during the audit - we did not identify any illegal acts during the course of the audit

• Internal Control - other than a lack of segregation of incompatible duties, which is inherent in an organization of this size, we did not note any significant weaknesses in internal control during the course of the audit

• Related Party Transactions - we did not note any related party transactions during the course of the audit

• Matters Having a Significant Effect on the Qualitative Aspect of Accounting Principles used in the College’s Financial Reporting - we did not note any significant qualitative aspects, including those detailed below, that required communication with Council, during the course of the audit: - initial selection of and changes in significant accounting policies, including the adoption of new accounting pronouncements - effect of significant accounting policies in controversial or emerging areas - existence of acceptable alternative policies and methods, and the acceptability of the particular policy or method used by management - effect on the financial statements of significant unusual transactions - issues involved, and related judgments made by management, in formulating particularly sensitive accounting estimates and disclosures (for example, disclosures related to going concern, subsequent events and contingency issues) - basis for the auditor's conclusions regarding the reasonableness of the estimates made by management in the context of the financial statements taken as a whole - factors affecting asset and liability carrying values, including the College's bases for determining useful lives assigned to tangible assets - timing of transactions that affect the recognition of revenues or avoid recognition of expenses

• Annual Report - we will review the annual report prior to it being finalized to ensure there are no inconsistencies with the summary audited financial statements

• Other Issues - we did not encounter any serious difficulties while performing the audit, including significant delays in management providing information required for the audit and an unnecessarily brief timetable in which to complete the audit - we did not discuss any major issues with management in connection with our re- appointment as the auditor, including, among other matters, discussions regarding the application of accounting principles and auditing standards, and fees - we did not note any instances of management consulting with other accountants about auditing and accounting matters - we did not note any disagreements with management about matters that individually or in the aggregate could be significant to the College's financial statements or the auditor's report, whether or not subsequently resolved

AGENDA ITEM 3.2.1

College of Dental Hygienists of Ontario 3 Toronto, Ontario June 16, 2017

- we did not note any other issues arising from the audit that would be important or relevant to Council - a management letter was deemed to not be necessary for the December 31, 2016 year-end - a representation letter is to be obtained from management upon finalization

This communication is prepared solely for the information of Council and is not intended for any other purpose. We accept no responsibility to a third party who uses this communication.

We would be pleased to discuss further any of the matters noted above in more depth or to make further investigations of areas where you may believe there are problems we may assist you with.

Yours very truly,

I.B.MacKenzie/up Chartered Professional Accountants

AGENDA ITEM 3.2.2

BRIEFING NOTE WITH MOTION

To: Council From: Registrar Date: June 16, 2017 Topic: Financial Condition

Council has delegated a broad range of authority and control to the Registrar/CEO under the Policy Governance Model. With this delegation there are a number of defined limitations that the Registrar/CEO must abide by. In addition, there is a policy in place that states that the only criteria that the Registrar/CEO can be held accountable to are those set by policy. It is therefore up to the Council to receive interval monitoring reports that compare performance data against a reasonable interpretation of either Ends policies or Executive Limitations policies.

In a monitoring report the Registrar/CEO provides an explicit reasonable interpretation of the policy, including measurable criteria that will be used to demonstrate compliance, rationale for why the interpretation is reasonable and evidence of compliance with the reasonable interpretation.

As the monitoring reports form part of the Registrar/CEO’s performance evaluation, they are generally provided to Council only. Typically, monitoring reports are discussed when:

. The report does not contain adequate data to convince Council that a reasonable interpretation of policy has been made . The report indicates that a policy has been violated . Council questions the integrity of the information . If, by the nature of the report, Council realized that it wrote an inappropriate policy.

The Financial Condition Executive Limitations policy dictates that with respect to the actual, ongoing financial health and condition, the Registrar shall not put the College of Dental Hygienists of Ontario (CDHO) at risk such that there would not be sufficient cash flow to meet obligations in the normal course of business.

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346

Further, the Registrar shall not cause or allow material deviation of expenditures from the Council priorities established in the Ends policies. At each quarter the Registrar/CEO provides a monitoring report that demonstrates compliance with this policy.

The Financial Condition Monitoring Report was distributed to Council in advance of the Council meeting. Council members have had an opportunity to request clarification and or additional information prior to the meeting.

Recommended Motion:

THAT the Financial Condition Executive Limitations Policy 2.4 Monitoring Report be accepted as evidence of the Registrar/CEO’s reasonable interpretation of the policy and evidence of compliance with the reasonable interpretation.

MOVED: SECONDED:

VOTE

CARRIED: DEFEATED:

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346 AGENDA ITEM 4.1.1

COUNCIL MEETING MINUTES One King West Hotel, Toronto – Grand Banking Hall Friday, December 2, 2016 9:00 AM – 3:45 PM

COUNCIL MEMBERS PRESENT: ADMINISTRATION:

Jennifer Turner, Professional Member, President Lisa Taylor, Registrar Cindy MacKinnon, Professional Member, Vice-President Jane Keir, Deputy Registrar/Director, Prof. Practice Heather Blondin, Professional Member Suzanne Fox, Director, Corporate Services Michele C. Carrick, Professional Member Gillian Slaughter, Director, Professional Conduct Michael C. Connor, Public Member Robert Farinaccia, Manager, Quality Assurance Roma Czech, Professional Member Cathy Goldberg, Manager, Programs and Exams Fernand Hamelin, Public Member Denise Lalande, Manager, Communications Marlene Heics, Professional Member Terri-Lynn Macartney, Manager, Registration Vinay Jain, Public Member – 9:00 AM – 11:00 AM Eva Rosenstock, Manager, Complaints & Investigations Evie Jesin, Professional Member Colleen Vandeyck, Manager, Administration and HR Beatrix Kau-Lui, Public Member Ledia Kurti, Coordinator, Programs & Exams Pauline Leroux, Professional Member Katarina Miatello, Executive Assistant Gail Marion, Professional Member

Janet Munn, Academic Member Julius Nathoo, Public Member GUESTS: Catherine Ranson, Academic Member Yvonne Winkle, Public Member Julie Maciura, CDHO Legal Counsel Bev Woods, Professional Member Ondina Love, CDHA Margaret Carter, ODHA REGRETS:

Anne Venton, Public Member Saeed Walji, Public Member

1.0 CALL TO ORDER

1.1 Roll Call

The Chair, Jennifer Turner, called the meeting to order at 9:00 AM.

1.2 Opening Remarks

The Chair announced that after six years of service, Michele Carrick did not run for re-election to Council. The Chair thanked Ms. Carrick for her contribution on Council and various Committees.

Page 1 of 6

Council Meeting Minutes ‒ December 2, 2016 - Draft

The Chair reported that Cindy MacKinnon and Bev Woods were not re-elected in their respective districts, and will be leaving Council as of January 20, 2017. The College is waiting for a new Public Member to replace Mr. Quizan, who retired in October of this year.

Ms. Turner announced the new members elected to Council in their respective districts; Caroline Lotz – District 1, Terri Strawn – District 5 and Kathleen Feres Patry – District 6.

The Chair notified everyone that Council will hold an election of the Executive Committee on January 20, 2017 at 3:00 PM, at the Hotel InterContinental Yorkville, 222 Bloor Street West, Toronto.

The Chair thanked the CDHO staff, Council members and the Registrar for their work and dedication throughout the year and announced that she will not run for the re-election in January 2017.

On behalf of Council, Mr. Nathoo expressed special gratitude to Ms. Turner for her work, commitment and dedication for the past two years in her role of the President.

The President gave the floor to the Registrar for her opening remarks.

The Registrar summarized the activities at the College, highlighted the milestones and identified the goals accomplished throughout the year.

1.3 Council Policy Manual

There were no new updates to the manual.

2.0 APPROVAL OF AGENDA

2.1 Review and Approval of Agenda

Janet Munn proposed that Council go in-camera at the end of the meeting to discuss an HR matter.

MOTION: THAT Council move to go in-camera at the end of the meeting under a new agenda item 7.2.

Moved: J. Munn Seconded: C. Ranson Vote: CARRIED

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Council Meeting Minutes ‒ December 2, 2016 - Draft

MOTION: THAT Council move to approve the revised December 2, 2016 Council Meeting Agenda.

Moved: J. Munn Seconded: Y. Winkle Vote: CARRIED

2.2 Declaration of Conflict of Interest

None were declared.

3.0 CONSENT AGENDA ITEMS (3.1.1–3.3.2)

MOTION: THAT Council move to approve the December 2, 2016 Consent Agenda.

Moved: C. MacKinnon Seconded: B. Woods Vote: CARRIED

4.0 COUNCIL EDUCATION

Representatives from CDHA and ODHA gave presentations on their position concerning the baccalaureate degree for Dental Hygiene.

5.0 GOVERNANCE

5.1 Council Governance Budget Proposal – 2017

Council proposed that additional provision for further training, technical support and standardized technology compatible with OurBoardroom be provided, and that the staff prepare the cost implication report for Council.

MOTION: THAT staff investigate options and costs for computer technology and IT support for Council for the March meeting.

Moved: C. Ranson Seconded: J. Munn Vote: CARRIED

Page 3 of 6

Council Meeting Minutes ‒ December 2, 2016 - Draft

MOTION: WHEREAS Council requires an annual governance budget allocation to complete its work, and;

WHEREAS the proposed budget for 2017 is manageable within CDHO’s current resources, and;

THEREFORE BE IT RESOLVED THAT the 2017 Council Governance budget proposal be approved as presented.

Moved: C. MacKinnon Seconded: R. Czech Vote: CARRIED

5.2 2017 CDHO Operational Budget Proposal

MOTION: WHEREAS CDHO requires an annual budget allocation to complete its work, and;

WHEREAS the proposed budget for 2017 is manageable within CDHO’s current resources, and;

THEREFORE BE IT RESOLVED THAT the 2017 CDHO budget proposal be approved.

Moved: B. Woods Seconded: J. Munn Vote: CARRIED

6.0 MONITORING REPORTS

6.1 General Executive Constraint Monitoring Reports

6.1.1 Financial Condition Monitoring Report 2.2

MOTION: THAT the Financial Condition General Executive Constraint Policy 2.2 monitoring report is accepted as evidence of the Registrar/CEO’s reasonable interpretation of the policy and evidence of compliance with the reasonable interpretation.

Moved: C. MacKinnon Seconded: B. Woods Vote: CARRIED

Page 4 of 6

Council Meeting Minutes ‒ December 2, 2016 - Draft

6.1.2 Communication and Support to the Council Monitoring Report 2.9

MOTION: THAT the Communication and Support to the Council General Executive Constraint Policy 2.9 monitoring report is accepted as evidence of the Registrar/CEO’s reasonable interpretation of the policy and as evidence of compliance with the reasonable interpretation.

Moved: M. Heics Seconded: F. Hamelin Vote: CARRIED

7.0 POLICY DEVELOPMENT

7.1 Issue Assessment – Bylaw No. 5 Amendments

MOTION: WHEREAS the Health Professions Procedural Code of the Regulated Health Professions Act provides Council with the authority to make bylaws relating to the administrative affairs of the College and;

WHEREAS the Council values stakeholder input and gives due consideration to the potential effect bylaw changes will have on stakeholders and;

THEREFORE BE IT RESOLVED THAT the proposed amendments to Bylaw No. 5 be circulated to registrants of the College and other stakeholders for comment and brought back to Council for final review and or approval.

Moved: J. Munn Seconded: R. Czech Vote: CARRIED

8.0 COUNCIL MEETING FEEDBACK

Electronic Polling

Meeting evaluation was done electronically and results were presented at the conclusion of the meeting (attached).

The Chair adjourned the open portion of the Council meeting at 2:30 PM.

Page 5 of 6

Council Meeting Minutes ‒ December 2, 2016 - Draft

7.2 (In-Camera) (RHPA, Schedule 2, Section 7 (2)(d))

MOTION: THAT Council go in-camera, as per RHPA, Schedule 2, Section (7(2)(d)), at 2:40 PM.

Moved: J. Munn Seconded: C. Ranson Vote: CARRIED

MOTION: THAT Council move out of the in-camera at 3:40 PM.

Moved: J. Munn Seconded: G. Marion Vote: CARRIED

9.0 NEXT MEETING DATE

Chair announced that the next Council meeting is scheduled on January 20, 2017, at the Hotel InterContinental Yorkville, 222 Bloor Street West, Toronto.

10.0 ADJOURNMENT

The Chair called for any objections to adjourn the meeting. There were no objections to adjourn. The meeting adjourned at 3:45 PM.

MOTION: THAT the Council meeting be adjourned at 3:45 PM.

Moved: B. Woods Seconded: M. Heics Vote: CARRIED

Approved by:

Signature of Chair, Jennifer Turner Date

Page 6 of 6 AGENDA ITEM 4.1.2

COUNCIL MEETING MINUTES InterContinental Hotel Yorkville Friday March 24, 2017 13:00 PM – 15:35 PM

COUNCIL MEMBERS PRESENT: ADMINISTRATION: Heather Blondin, Professional Member, President Lisa Taylor, Registrar Catherine Ranson, Academic Member, Vice-President Jane Keir, Deputy Registrar/Director, Prof. Practice Michael C. Connor, Public Member Suzanne Fox, Director, Corporate Services Roma Czech, Professional Member Denise Lalande, Manager, Communications Marlene Heics, Professional Member Ledia Kurti, Coordinator, Programs & Exams Vinay Jain, Public Member Evie Jesin, Professional Member GUESTS: Beatrix Kau-Lui, Public Member Pauline Leroux, Professional Member Julie Maciura, CDHO Legal Counsel Gail Marion, Professional Member Margaret Carter, ODHA Janet Munn, Academic Member Yvonne Winkle, Public Member Terri Strawn, Professional Member Caroline Lotz, Professional Member Jillian Eles, Professional Member Kathleen Feres Patry, Professional Member

REGRETS: Fernand Hamelin, Public Member Julius Nathoo, Public Member Saeed Walji, Public Member Anne Venton, Public Member Helen Lightsone, Public Member

1.0 CALL TO ORDER

1.1 Roll Call

The Chair, Heather Blondin, called the meeting to order at 1:00 PM. She welcomed everyone and took a roll call and asked that the records show 16 members were in attendance, meeting the requirements for quorum.

Page 1 of 5

Council Meeting Minutes ‒ March 24, 2017 - Draft

1.2 Council Policy Manual

There were no new updates to the manual.

2.0 APPROVAL OF AGENDA

2.1 Review and Approval of Agenda

Council reviewed the agenda. They made a minor amendment to remove item 4.2.4 (Global Governance Process Policies) and defer it to the meeting in June.

MOTION: THAT Council moves to approve the March 24, 2017 meeting Agenda as amended.

Moved: M. Heics Seconded: V. Jain Vote: CARRIED

2.2 Declaration of Conflict of Interest

None were declared.

3.0 CONSENT AGENDA ITEMS (3.1 – 3.3)

MOTION: THAT Council moves to approve the Consent Agenda items.

Moved: V. Jain Seconded: J. Munn Vote: CARRIED

4.0 POLICY DEVELOPMENT, REVIEW, APPROVAL, AND COUNCIL IMPLEMENTATION

4.1.1 The Executive Limitations Policy

MOTION: THAT Council approves the Executive Limitations policies; and further

THAT the Executive Committee returns to Council after having sought information from the auditor regarding Executive Limitation policies 2.4.2 and 2.5.8.3.; and further

Page 2 of 5

Council Meeting Minutes ‒ March 24, 2017 - Draft

THAT the previous Executive Limitations policies be rescinded and that the new Executive Limitations policies come into effect immediately.

Moved: K. Feres Patry Seconded: M. Connor Vote: CARRIED

4.2.1 Issue Assessment – Proposed Amendment to Bylaw No. 5

MOTION: THAT that the proposed amendments to Bylaw No.5 be approved.

Moved: J. Munn Seconded: C. Ranson Vote: CARRIED

4.2.2 Appointment of Jillian Eles

MOTION: THAT Jillian Eles be appointed to the Patient Relations and Examinations Committees effective immediately.

Moved: T. Strawn Seconded: J. Munn Vote: CARRIED

4.2.3 Appointment of Non-Council Members to the Examinations Committee

MOTION: THAT Siobhan Brennen and Lori Lynne Campbell be appointed as non-Council members to the Examinations Committee effective immediately to a term ending in December 2018.

Moved: B. Kau Lui Seconded: J. Eles Vote: CARRIED

4.2.5 Technical Support to Council

MOTION: THAT Council defers this matter until the June meeting and that the Executive Committee explores options and surveys Council.

Moved: M. Connor Seconded: J. Munn Vote: CARRIED

Page 3 of 5

Council Meeting Minutes ‒ March 24, 2017 - Draft

4.2.6 Workshop – September 29, 2017

Council discussed whether they should look for a different venue or accommodation for the next workshop. They also discussed changing the date of the workshop altogether. Suzanne, the Director of HR, explained the importance of having the June workshop at the same hotel due to the contractual obligation held between the CDHO and the Intercontinental Hotel Yorkville.

MOTION: THAT the proposed September 29, 2017 workshop and funds required for that workshop be approved.

Moved: K. Feres Patry Seconded: J. Munn Vote: CARRIED

4.3 Global Council – Registrar/CEO Delegation

Whereas the CDHO has developed and determined the Council-Registrar Delegation policies;

MOTION: THAT Council approves the Council-Registrar Delegation policies with the understanding that the audit dates scheduled in policies: 3.4.2.6, 3.4.2.7, 3.4.2.9, 3.4.2.10, and 3.4.2.11 will be determined and communicated to Council at a later date; and further

THAT the Council-Registrar Delegation policies come into effect immediately replacing all previous policies.

Moved: E. Jesin Seconded: Y. Winkle Vote: CARRIED

5.0 MONITORING REPORTS

5.1 Ends Monitoring Report

MOTION: THAT the Ends Policy 1 Monitoring Report be accepted as evidence of the Registrar/CEO’s reasonable interpretation of the policy and evidence of compliance with the reasonable interpretation.

Moved: K. Feres Patry Seconded: J. Munn Vote: CARRIED

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Council Meeting Minutes ‒ March 24, 2017 - Draft

5.2.1 Financial Condition

MOTION: THAT the Financial Condition General Executive Constraint Policy 2.2 Monitoring Report be accepted as evidence of the Registrar/CEO’s reasonable interpretation of the policy and evidence of compliance with the reasonable interpretation.

Moved: M. Connor Seconded: R. Czech Vote: CARRIED

6.0 INCIDENTAL INFORMATION

Provided for information purposes only.

7.0 ADJOURNMENT

MOTION: THAT the Council meeting be adjourned at 15:35 PM.

Moved: J. Munn Seconded: B. Kau Lui Vote: CARRIED

Approved by:

Signature of Chair, Heather Blondin Date

Page 5 of 5 AGENDA ITEM 4.2.1

DISCIPLINE COMMITTEE REPORT June 16, 2017

Committee Members:

Vinay Jain, Public Member - Chair Pauline Leroux, Professional Member Heather Blondin, Professional Member Helen Lightstone, Public Member Mike Connor, Public Member Caroline Lotz, Professional Member Roma Czech, Professional Member Gail Marion, Professional Member Jillian Eles, Professional Member Janet Munn, Academic Member Kathleen Feres Patry, Professional Member Julius Nathoo, Public Member Fernand Hamelin, Public Member Catherine Ranson, Academic Member Marlene Heics, Professional Member Terri Strawn, Professional Member Gail Marion, Professional Member Anne Venton, Public Member Evie Jesin, Professional Member Saeed Walji, Public Member Beatrix Kau-Lui, Public Member Yvonne Winkle, Public Member Betty Le, Non-Council Member Karlyn Wood, Non-Council Member

Mandate of the Committee: To hear and determine allegations of professional misconduct and/or incompetence made against registrants of the CDHO.

INTRODUCTION

Since the last report to Council, the Discipline Committee met on March 24, 2017 to select a Committee Chair. Vinay Jain was elected as Committee Chair. The Committee will be scheduled to meet again in the summer of 2017. On May 18, 2017, three members of the Discipline Committee attended the “Conducting a Discipline Hearing (Basic Program)” presented by the Federation of Health Regulatory Colleges.

ITEMS FOR INFORMATION – Related to Mandate

Since the last report to Council, the Decision and Reasons for one discipline hearing, CDHO v. Thon (held on November 29, 2016), has been published on the CDHO’s website. Copies of both documents are attached to this report. The Decision and Reasons for CDHO v. Georgie Vincent (held on April 6, 2017) have been finalized and a summary posted on the website. The full Decision and Reasons will be posted once they have been translated into French.

Page 1 of 2 AGENDA ITEM 4.2.1 Discipline Committee Report – June 2017

Three additional hearings are scheduled to proceed. One hearing is scheduled for June 20, 2017. A second hearing may also take place on that date. The third hearing has not yet been scheduled. As of the date of writing, the hearings have not yet occurred. Accordingly, the results will be detailed in the next Discipline Committee Report to Council.

CONCLUSION

The Discipline Committee is continuing to ensure that all matters referred to it are dealt with in a fair, consistent and timely manner.

Page 2 of 2

Name of Registrant / Nom du membre Norah Thon (referred June 24, 2016/ renvoyée le 24 juin 2016) Date of Hearing / Date de l’audience November 29, 2016 / le 29 novembre 2016 Summary of Hearing / Résumé de l’audience

Ms. Norah Thon, a registrant of the College of Dental Hygienists of Ontario (the College), failed to comply with the requirements of the College’s Quality Assurance Program. When Ms. Thon did not submit a completed Professional Portfolio by January 31, 2014 and failed to respond to the College, this matter was referred to the Inquiries, Complaints, and Reports Committee (ICRC), which directed Ms. Thon to complete a Specified Continuing Education or Remediation Program (SCERP). Ms. Thon did not complete the educational courses mandated by the SCERP. In addition, on or about February 20, 2015, Ms. Thon’s certificate of registration with the College was suspended for non-payment of fees. The ICRC referred Ms. Thon to the Discipline Committee.

On November 29, 2016, a panel of the Discipline Committee found that Ms. Thon had engaged in professional misconduct by (1) failing to comply with an order or direction of a Committee or a panel of a Committee of the College, (2) engaging in disgraceful, dishonourable or unprofessional conduct, and/or (3) engaging in conduct unbecoming a dental hygienist. The Discipline Panel also found that Ms. Thon was ungovernable and directed the Registrar to immediately revoke her certificate of registration. Ms. Thon was ordered to pay costs of $10,000.00 to the College. For more information, please read the full decision of the Discipline Committee regarding Ms. Thon.

A full text copy of the Decision and Reasons follows in English only.

Madame Norah Thon, une membre autorisée de l’Ordre des hygiénistes dentaires de l’Ontario (l’Ordre) ne s’est pas conformée aux exigences du programme d’assurance de la qualité de l’Ordre. Lorsque Madame Thon n’a pas remis son portfolio professionnel le 31 janvier 2014, et qu’elle n’a pas répondu à l’Ordre, son cas a été renvoyé au comité des enquêtes, des plaintes et des rapports (ICRC). Ce dernier lui a demandé de suivre une formation continue ou un programme de remédiation (SCERP). Madame Thon n’a pas complété les cours de formation stipulés dans le SCERP. De plus, vers ou le 20 février 2015, le certificat d’inscription de Madame Thon a été suspendu en raison du non-paiement des droits. Le cas de Madame Thon a été renvoyé au comité de discipline.

Le 29 novembre 2016, le comité de discipline a conclu que Madame Thon avait commis une faute professionnelle (1) en enfreignant la directive ou l'ordre d’un comité ou d’un sous-comité de l’Ordre (2) en se conduisant de façon honteuse, déshonorante ou non professionnelle ou (3) en se

comportant de façon indigne pour une hygiéniste dentaire. Le sous-comité de discipline a également conclu que Madame Thon est ingouvernable et a recommandé à la registraire de révoquer immédiatement son certificat d’inscription. Madame Thon doit payer à l’Ordre des frais de 10 000 $. Pour de plus amples renseignements, veuillez lire la décision intégrale du comité de discipline concernant Madame Thon.

Vous trouverez plus bas en anglais seulement une copie du texte intégral de la décision et des raisons.

Name of Registrant / Nom du membre Georgie Vincent (referred Jan. 19, 2017 / renvoyée le 19 janv. 2017) Date of Hearing / Date de l’audience April 6, 2017 / le 6 avril 2017 Summary of Hearing / Résumé de l’audience

Ms. Georgie Vincent, who had been a registrant of the College of Dental Hygienists of Ontario (the College) since October 2012, was required to submit her Quality Assurance records to the Quality Assurance Committee, but failed to do so. Ms. Vincent was referred to the Inquiries, Complaints and Reports Committee (ICRC) which referred her to the Discipline Committee.

On April 6, 2017, the Discipline Committee found that Ms. Vincent had engaged in professional misconduct by (1) failing to co-operate with the Quality Assurance Committee, (2) failing to reply appropriately and responsively within the time specified by the request, (3) failing to comply with a direction of a College committee, and (4) engaging in conduct that would reasonably be regarded by members of the profession as disgraceful, dishonourable or unprofessional. The Discipline panel directed that Ms. Vincent appear before the panel immediately following the hearing to be reprimanded, with the fact of the reprimand and a summary of the reprimand on the public register of the College.

The Discipline panel also directed that (1) Ms. Vincent’s certificate of registration be suspended for a period of six (6) weeks commencing on the date that Ms. Vincent’s certificate of registration with the College is reinstated following the payment of any outstanding fees; and (2) that terms, conditions or limitations be imposed on Ms. Vincent’s certificate of registration. The terms, conditions or limitations include that Ms. Vincent must notify the Registrar in writing at least 30 days before she intends to return to practise as a dental hygienist in Ontario (which may be temporary, occasional, part-time or full-time) following the suspension, and at her own expense, prior to her return to practise as a dental hygienist, successfully complete the College’s online Jurisprudence Education Module and a Quality Assurance Records Course pre-approved by the Registrar.

Ms. Vincent was ordered to pay $2,100 in costs to the College.

A full text copy of the Decision and Reasons follows in English only.

Madame Georgie Vincent, qui était une membre autorisée de l’Ordre des hygiénistes dentaires de l’Ontario (l’Ordre) depuis octobre 2012, devait présenter ses dossiers d’assurance de la qualité au comité d’assurance de la qualité, mais elle a omis de le faire. Madame Vincent a été renvoyée au comité des enquêtes, des plaintes et des rapports (ICRC), qui l’a renvoyée au comité de discipline.

Le 6 avril 2017, le comité de discipline a conclu que Madame Vincent avait commis une faute professionnelle (1) en omettant de coopérer avec le comité d’assurance de la qualité (2) en omettant de répondre de façon adéquate et sensible dans le délai prescrit dans la demande (3) en omettant de se conformer à la directive d’un comité de l’Ordre et (4) en se comportant d’une façon qui serait raisonnablement tenue par les membres de la profession comme honteuse, déshonorante ou non professionnelle. Le sous-comité de discipline a demandé à Madame Vincent de comparaître devant lui au terme de l’audience pour lui adresser une réprimande. Les faits et le résumé de la réprimande seront publiés dans le registre public de l’Ordre.

Le sous-comité de discipline a également prescrit de (1) suspendre le certificat d’inscription de Madame Vincent pour une période de six semaines à compter de la date à laquelle le certificat d’inscription de Madame Vincent aura été rétabli suivant le paiement de tout droit impayé et (2) d’imposer des modalités, conditions et restrictions à son certificat d’inscription, qui obligent Madame Vincent à aviser la registraire par écrit au moins 30 jours avant qu’elle compte exercer de nouveau la profession d’hygiéniste dentaire en Ontario (que ce soit pour un travail temporaire, occasionnel, à temps partiel ou à temps plein) au terme de la suspension et à compléter avec succès et à ses frais, avant de reprendre la profession d’hygiéniste dentaire, le module d’éducation sur la jurisprudence en ligne de l’Ordre et un cours portant sur la tenue de dossiers d’assurance de la qualité approuvé au préalable par la registraire.

Madame Vincent doit payer à l’Ordre des coûts de 2 100 $.

Vous trouverez plus bas la copie du texte intégral de la décision et des motifs en anglais.

THE DISCIPLINE COMMITTEE OF THE COLLEGE OF DENTAL HYGIENISTS OF ONTARIO

PANEL MEMBERS:

Vinay Jain (Chair) – Public Member of Council; Beatrix Kau-Lui – Public Member of Council; Marlene Heics – Professional Member of Council; Evie Jesin – Professional Member of Council; and Karlyn Wood – Professional Member, Non Council.

BETWEEN:

COLLEGE OF DENTAL HYGIENISTS } Erica Richler for the OF ONTARIO } College of Dental Hygienists } of Ontario } - and - } } } } GEORGIE VINCENT } Self Represented (REGISTRATION NO. 016237) } } } } Joanna Birenbaum, } Independent Legal } Counsel } } } Heard: April 6, 2017

DECISION AND REASONS

The Discipline Committee of the College of Dental Hygienists of Ontario (“The College”) heard this matter at Toronto on April 6, 2017. At the conclusion of the hearing, the Panel delivered its finding and penalty order orally and in writing, with written reasons to follow.

The Allegations

It was alleged in the Notice of Hearing (accepted as Exhibit “1”) that Ms. Georgie Vincent (“Ms. Vincent”) committed acts of professional misconduct under:

Section 15 of Ontario Regulation 218/94, as amended to Ontario Regulation 36/12, under the Dental Hygiene Act, 1991, being:

a. subsection 51 (b.0.1) of the Health Professions Procedural Code, being Schedule 2 to the Regulated Health Professions Act, 1991 (failing to co- operate with the Quality Assurance Committee); and b. paragraph 43 of section 15 of Ontario Regulation 218/94 under the Dental Hygiene Act, 1991 (failing to reply appropriately and responsively within the time specified by the request or, if no time is specified, within 30 days to a written inquiry made by the College that requests a response); and c. paragraph 45 of section 15 of Ontario Regulation 218/94 under the Dental Hygiene Act, 1991 (failing to comply with an order or direction of a Committee or a panel of a Committee of the College); and d. paragraph 52 of section 15 of Ontario Regulation 218/94 under the Dental Hygiene Act, 1991 (disgraceful, dishonourable or unprofessional conduct).

Counsel for the College advised that the College sought to withdraw the following allegation:

a. paragraph 53 of section 15 of Ontario Regulation 218/94 under the Dental Hygiene Act, 1991 (conduct unbecoming a dental hygienist).

The Panel agreed to the withdrawal of the above noted allegation.

Registrant’s Plea

Ms. Vincent admitted the allegations set out in paragraphs 16 (a), (b), (c), and (d) in the Notice of Hearing. The Panel conducted a plea inquiry and was satisfied that the Registrant’s admission was voluntary, informed and unequivocal.

Agreed Statement of Facts

Counsel for the College advised the Panel that agreement had been reached on the facts and introduced an Agreed Statement of Facts and Admission of Professional Misconduct (accepted as Exhibit “2”), which provided as follows:

1. Ms. Vincent obtained a certificate of registration from the College on or about October 17, 2012.

Failure to Comply with the Quality Assurance Program

2. All registrants of the College are required to comply with the requirements of the College’s Quality Assurance Program. Those requirements include the following:

a. participating every year in self-assessment continuing education and professional development activities; b. keeping accurate and complete records of the registrant’s participation in self-assessment, continuing education and professional development activities and submitting those records to the Quality Assurance Committee if requested; and c. cooperating with peer and practice assessments when selected to do so.

3. The requirements of the Quality Assurance program are set out in sections 16 through 20 of Ontario Regulation 218/94, under the Dental Hygiene Act, 1991 and sections 80 through 82 of the Health Professions Procedural Code, being Schedule 2 to the Regulated Health Professions Act, 1991.

4. On or about January 29, 2015, the College notified Ms. Vincent by email that she had been selected to submit her Quality Assurance records to the Quality Assurance Committee. Ms. Vincent was given the option of submitting:

a. Her Learning Portfolio and Practice Profile, as well as Forms 6, 7 and 8 from her 2013 and 2014 Professional Portfolios; or b. A certificate from the National Dental Hygiene Certification Board (“NDHCB”) showing that she had completed the Quality Assurance written assessment and her Practice Profile, or c. A certificate from NDHCB showing that she had completed the Quality Assurance written assessment and a report of an assessor describing the findings of an onsite review.

A copy of the email dated January 29, 2015 was accepted as Exhibit “A”.

5. Ms. Vincent was required to submit her Quality Assurance records to the Quality Assurance Committee on or before January 31, 2016.

6. Ms. Vincent failed to submit her Quality Assurance records to the Quality Assurance Committee on or before January 31, 2016.

7. On or about February 11, 2016, the College sent Ms. Vincent a letter by mail and email to notify her that her Quality Assurance records had not been received as required. Ms. Vincent was given an extension to February 21, 2016 to submit her Quality Assurance records. Ms. Vincent was advised in the letter that if she did not submit her records by the new February 21, 2016 deadline, she would be required to complete the NDHCB written assessment and participate in an onsite practice review. A copy of the letter dated February 11, 2016 was accepted as Exhibit “B”.

8. Ms. Vincent did not submit her Quality Assurance records by the February 21, 2016 deadline as required.

9. Because Ms. Vincent did not submit her Quality Assurance records as requested, on or about March 29, 2016, the Quality Assurance Committee directed Ms. Vincent to successfully complete the NDHCB written assessment and participate in an onsite practice review by April 30, 2016. Ms. Vincent was notified of the direction by letter. A copy of the letter dated March 29, 2016 was accepted as Exhibit “C”.

10. On or about April 5, 2016, the Manager of the Quality Assurance Program, Robert Farinaccia, spoke with Ms. Vincent by telephone. Ms. Vincent advised Mr. Farinaccia that she was not currently practicing. Mr. Farinaccia asked Ms. Vincent to notify the Quality Assurance Committee in writing that she was not practicing.

11. Mr. Farinaccia sent an email to Ms. Vincent on April 5, 2016 confirming their conversation and reiterating his request that she notify the Quality Assurance Committee in writing that she was not practicing and that she could do so via email directly to him. Ms. Vincent did not provide that information to the Quality Assurance Committee. A copy of Mr. Fainaccia’s email dated April 5, 2016 was accepted as Exhibit “D”.

12. On or about May 6, 2016, Mr. Farinaccia wrote to Ms. Vincent by email and mail to remind Ms. Vincent of her obligations to complete the written assessment and onsite practice review. Ms. Vincent was given an extension to May 20, 2016 to complete the written assessment and onsite practice review. A copy of Mr. Farinaccia’s correspondence dated May 6, 2016 was accepted as Exhibit “E”.

13. Ms. Vincent did not complete the written assessment and onsite practice review on or before May 20, 2016 as required.

14. The College sent all of its correspondence to Ms. Vincent at the mailing address and/or email address that Ms. Vincent had provided to the college, which were her correct addresses.

15. To date, Ms. Vincent has failed to complete the NDHCB written assessment and the onsite practice review as required by the Quality Assurance Committee.

16. Ms. Vincent is not currently practicing dental hygiene and she has not practiced dental hygiene since in or around February 2016.

17. It is agreed that the above conduct constitutes profession misconduct pursuant to:

Admission of Professional Misconduct

The Agreed Statement of Facts also contained an admission of Professional Misconduct by Ms. Vincent as follows:

18. Ms. Vincent admits to the truth of the facts referred to in paragraphs 1 to 17 above (the “Agreed Facts”).

19. Ms. Vincent hereby admits that the Agreed Facts constitute professional misconduct pursuant to subsection 51(b.0.1) of the Health Professions Procedural Code, being Schedule 2 to the Regulated Health Professions Act, 1991; and pursuant to Ontario Regulation 218/94 under the Dental Hygiene Act, 1991, section 15, paragraphs 43, 45, and 52.

20. Ms. Vincent states that:

a. she understands fully the nature of the allegations against her; b. she has no questions with respect to the allegations against her;

c. she understands that by signing this document she is consenting to the evidence as set out in the Agreed Facts being presented to the Discipline Committee; d. she understands that by admitting the allegations, she is waiving her right to require the College to prove the case against her and the right to have a hearing; e. she understands that depending on the penalty ordered by the Discipline Committee the decision of the Committee and a summary of its reasons including reference to her name, may be published in the College’s annual report and any other publication or website of the College; f. she understands that any agreement between her and the College with respect to the penalty proposed does not bind the Discipline Committee; and g. she understands and acknowledges that she is executing this document voluntarily, unequivocally, free of duress, free of inducement or bribe, and that she has been advised of her right to seek legal advice.

The above admission was signed by Ms. Vincent and a witness on March 23, 2017.

Ms. Vincent confirmed her admission to the Panel verbally.

Decision

The Panel considered the Agreed Statement of Facts and finds that the facts support a finding of professional misconduct and, in particular, finds that the Registrant committed an act of professional misconduct as alleged in paragraphs 16 (a), (b), (c), and (d) of the Notice of Hearing:

PENALTY AND COSTS

Counsel for the College advised the Panel that a Joint Submission on Penalty had been agreed upon. The Joint Submission on Penalty and Costs provides as follows:

1. Ms. Vincent is required to appear before a panel of the Discipline Committee immediately following the hearing of this matter to be reprimanded, with the fact of the reprimand and a summary of the reprimand to appear on the public register of the College. 2. The Discipline Committee shall direct the Registrar to suspend Ms. Vincent’s certificate of registration for a period of six (6) weeks commencing on the date that Ms. Vincent’s certificate of registration with the College is reinstated following the payment of any outstanding fees. 3. The Discipline Committee shall direct the Registrar to impose the following terms, conditions or limitations on Ms. Vincent’s certificate of registration:

a. Ms. Vincent must notify the Registrar in writing at least 30 days before Ms. Vincent intends to return to practise as a dental hygienist in Ontario (which may be temporary, occasional, part-time or full-time) following the suspension referred to in paragraph 2 above. b. Ms. Vincent must, at her own expense, successfully complete, in the opinion of the Quality Assurance Committee, an assessment approved by the Quality Assurance Committee, prior to her return to practise as a dental hygienist in Ontario. c. Ms. Vincent must, at her own expense, successfully complete (i.e. obtain 100% on all sections), in the opinion of the Registrar, the College’s online Jurisprudence Education Module prior to her return to practise as a dental hygienist in Ontario. d. Ms. Vincent must, at her own expense, successfully complete, in the opinion of the Registrar, a Quality Assurance Records Course, pre-approved by the Registrar prior to her return to practise as a dental hygienist in Ontario.

4. Ms. Vincent is required to pay to the College costs in the amount of $2,100.00, payable over 12 months in equal monthly payments of $175.00 (in the form of post-dated cheques which shall be provided to the College on the date of the Hearing), starting one month after the date of the Discipline Committee’s order and continuing every month until paid in full.

The above submission was signed by Ms. Vincent and a witness on March 23, 2017.

Penalty and Costs Decision

The Panel considered and accepted the following submissions made by Counsel for the College regarding penalty:

1. The penalty demonstrates to the profession and the public that failure to comply with the Quality Assurance program is not simply a technical breach. As stated by this panel in Dental Hygienists of Ontario v. Allen (2014): “Compliance with the Quality Assurance Program and the regulatory requirements for dental hygienists is very important and directly linked to safe and effective client care. It is a fundamental obligation of the profession”; 2. The penalty is meaningful and sends a strong message to the registrant and to the profession about the importance of compliance with the Quality Assurance program; 3. The penalty should instil public confidence in self-regulation by Dental Hygienists; and 4. The proposed penalty falls within the range of appropriate penalties as determined in similar cases (see College of Dental Hygienists of Ontario v. Cacioppo (2014), College of Dental Hygienists of Ontario v. Allen (2014), and College of Occupational Therapists of Ontario v. Agnelli (2010));

The Panel also considered the following mitigating circumstances: 1. Ms. Vincent co-operated with the College and accepted responsibility. 2. By admitting to the allegations and agreeing to the proposed penalty, the Registrant avoided unnecessary expense to the College, including requiring the College to call witnesses and prove its case. 3. Ms. Vincent has no prior discipline record before the College.

In sum, the Panel concluded that the proposed penalty is reasonable and in the public interest.

The Panel further considered that the proposed costs are in keeping with other similar cases (see College of Dental Hygienists of Ontario v. Cacioppo (2014)).

The Panel accordingly accepts the Joint Submission on Penalty and Costs and orders:

b. Ms. Vincent must, at her own expense, successfully complete, in the opinion of the Quality Assurance Committee, an assessment approved by the Quality Assurance Committee, prior to her return to practise as a dental hygienist in Ontario.

c. Ms. Vincent must, at her own expense, successfully complete (i.e. obtain 100% on all sections), in the opinion of the Registrar, the College’s online Jurisprudence Education Module prior to her return to practise as a dental hygienist in Ontario.

d. Ms. Vincent must, at her own expense, successfully complete, in the opinion of the Registrar, a Quality Assurance Records Course, pre-approved by the Registrar prior to her return to practise as a dental hygienist in Ontario.

e. Ms. Vincent is required to pay to the College costs in the amount of $2,100.00, payable over 12 months in equal monthly payments of $175.00 (in the form of post-dated cheques which shall be provided to the College on the date of the Hearing), starting one month after the date of the Discipline Committee’s order and continuing every month until paid in full.

I, Vinay Jain, sign this decision and reasons for the decision as Chair of this Discipline Panel and on behalf of the members of the Discipline Panel as listed below.

Dated this 25th day of April 2017

______Vinay Jain Chair, Discipline Panel

Beatrix Kau-Lui – Public Member of Council; Marlene Heics – Professional Member of Council; Evie Jesin – Professional Member of Council; and Karlyn Wood – Professional Member, Non Council.

AGENDA ITEM 4.2.2

EXAMINATIONS COMMITTEE REPORT June 16, 2017

Committee Members: Heather Blondin, Professional Member Siobhan Brennen, Non-Council Member Lori Campbell, Non-Council Member Jillian Eles, Professional Member Evie Jesin, Professional Member (Chair) Lisa Kelly, Non-Council Member Helen Lightstone, Public Member Anne Venton, Public Member

Mandate of the Committee: The Examinations Committee is responsible for overseeing the College-administered written examination and clinical competency evaluations, and addressing appeals related to the examination results.

INTRODUCTION

The Examinations Committee met on May 25, 2017. At that time an initial orientation session outlining the roles, responsibilities and mandate of the Committee took place. Evie Jesin was elected Chair of the Committee.

ITEMS FOR INFORMATION

At the March 24, 2017 Council meeting, approval was given for 2 new Non-Council positions on the Committee. Siobhan Brennen and Lori Campbell were each appointed to the Committee for a three-year term ending in January 2020.

CDHO CLINICAL COMPETENCY EVALUATION

The Examinations Committee is bringing forward an issue assessment for the consideration of Council regarding the adoption of the National Clinical Examination in Dental Hygiene.

Page 1 of 1 AGENDA ITEM 4.2.3

EXECUTIVE COMMITTEE REPORT June 16, 2017

Committee Members: Heather Blondin, Professional Member – President Catherine Ranson, Academic Member – Vice-President Roma Czech, Professional Member Fernand Hamelin, Public Member Yvonne Winkle, Public Member

Mandate of the Committee: Except as provided by the Act, the Executive Committee may exercise all the powers and duties of the Council with respect to any matter that, in the opinion of the Executive Committee, requires attention between meetings of the Council.

INTRODUCTION

The 2017 Executive Committee met six times since last report as follows: April 6, 2017; April 19, 2017 (teleconference); April 25, 2017; May 10, 2017; May 24, 2017 (in Camera teleconference); June 8, 2017.

ITEMS FOR INFORMATION

CDHO Governance

The Executive Committee prepared the agendas for the June 15 and 16, 2017 Council Workshop and Council Meeting.

The Executive Committee drafted schedules for the monitoring of Ends and Executive Limitations as per CRD 3.4.4

After a discussion about the wording and intent of Policies 2.4.2 and 2.5.8.3 the Executive determined that subject to Council approval, these sub-policies would be rescinded. Provisions for these sub-policies are already covered in other policies and were deemed redundant. A recommendation will be brought to Council in June to rescind both sub-policies.

The Committee confirmed with the Governance Coach the workshop topics for the June, September and December workshops. The June workshop will focus on the GP policies and how

Page 1 of 2 AGENDA ITEM 4.2.3 Executive Committee Report – June 2017 best to evaluate monitoring reports. Ownership linkage will be deferred to the September Council meeting.

Computer Survey

A survey of Council was conducted to gain feedback on Council’s wishes with regards to going paperless in 2018 and the lease of laptop computers for Council members. An issue assessment is being brought forward for Council’s consideration at the June meeting.

Financial Audit

Blair MacKenzie and Usman Paracha joined the Executive Committee meeting on May 10th, to present the 2016 draft Financial audit. The post-audit report will be presented to Council at the June Council meeting.

Mr. MacKenzie recommended removal of the nomenclature of the reserve fund that is currently “fee stabilization”. The residual in this fund is no longer being targeted for fee stabilization. Rather, the funds are being held in reserve to fund the premises relocation that is scheduled to occur in 2019. The name should more appropriately reflect this. As a motion is required when moving monies between reserve funds, Council will be asked to approve this motion in June.

Resignation of Academic Member

Janet Munn resigned from Council effective May 8, 2017 leaving a vacancy on Council. The term for this position ends December 2017 and an election will be conducted in November 2017. In accordance with Bylaw 5, if a position on Council becomes vacant within 12 months of the election/selection process, Council can elect to leave the position vacant or may appoint an interim person to complete the remaining term of office. The Executive will seek the advice of Council on how to proceed.

IPGA Conference

Terri Strawn and Caroline Lotz were approved to attend the IPGA conference in San Diego California, June 22-24, 2017.

Page 2 of 2 AGENDA ITEM 4.2.5

AGENDA ITEM 4.2.4

FITNESS TO PRACTISE COMMITTEE REPORT June 16, 2017

Committee Members: Heather Blondin, Professional Member Helen Lightstone, Public Member Mike Connor, Public Member Caroline Lotz, Professional Member Roma Czech, Professional Member Gail Marion, Professional Member Jillian Eles, Professional Member Julius Nathoo, Public Member Kathleen Feres Patry, Professional Member Catherine Ranson, Academic Member Fernand Hamelin, Public Member Terri Strawn, Professional Member Marlene Heics, Professional Member Anne Venton, Public Member Vinay Jain, Public Member Saeed Walji, Public Member Evie Jesin, Professional Member Yvonne Winkle, Public Member Beatrix Kau-Lui, Public Member Pauline Leroux, Professional Member

Mandate of the Committee: The Fitness to Practise Committee hears allegations relating to registrants who may be incapacitated and whose health condition or disorder is interfering or might interfere with their ability to practise safely and effectively.

INTRODUCTION The Fitness to Practise Committee conducts hearings to determine whether a registrant is suffering from a health condition or disorder that is affecting or may affect their ability to practise safely and effectively. Given the personal health information that is often at issue in such hearings, they are closed to the public.

ITEMS FOR INFORMATION – Related to Mandate Any finding by the Fitness to Practise Committee will be summarized on the College’s public register (“How to Find a Registered Dental Hygienist”). Bylaws approved by Council on September 25, 2015 permit information about any allegations of incapacity at issue in a hearing to be published. In addition, when a finding of the Fitness to Practise Committee is under appeal, it will be noted on the public register. To date, no hearings have been held by the Fitness to Practise Committee. The Fitness to Practise Committee has not met since the last report to Council on March 24, 2017.

Page 1 of 1 AGENDA ITEM 4.2.5

INQUIRIES, COMPLAINTS AND REPORTS COMMITTEE REPORT June 16, 2017

Committee Members: Marlene Heics, Professional Member – Chair Panel A: Marlene Heics, Professional Member – Chair of Panel A Linda Douglas, Non-Council Member Helen Lightstone, Public Member Caroline Lotz, Professional Member Yvonne Winkle, Public Member Panel B: Roma Czech, Professional Member – Chair of Panel B Dorothy Dziunikowski, Non-Council Member Kathleen Feres Patry, Professional Member Beatrix Kau-Lui, Public Member Julius Nathoo, Public Member

Panel C: Linda Douglas, Non-Council Member Dorothy Dziunikowski, Non-Council Member Helen Lightstone, Public Member

Mandate of the Committee: The ICRC is a statutory Committee created under the Regulated Health Professions Act, 1991. Its mandate is to review all complaints, reports and inquiries in a fair and consistent manner to determine what action, if any, is appropriate in each case.

INTRODUCTION

The Inquiries, Complaints and Reports Committee (ICRC) is divided into two main Panels (A and B) and a third supplementary Panel (C) to accommodate the number of ongoing investigations, to avoid any potential conflicts of interest and to be able to select members, should the need arise, for a discipline hearing.

The panels of the ICRC have met on the following dates since last reported on March 24, 2017 (in-person and by teleconference):

Page 1 of 5 AGENDA ITEM 4.2.5 Inquiries, Complaints and Reports Committee Report – June 2017

Panel A Panel B Panel C March 29, 2017 April 28, 2017 (in-person) March 14, 2017 (teleconference) (in person with follow-up teleconference on March 20, 2017) May 16, 2017 (teleconference)

ITEMS FOR INFORMATION − Related to Mandate

The following tables detail, in summary form, the activities of the ICRC since the March 24, 2017 report to Council.

Number of investigations carried over from previous period(s) 1

Complaints Reports QA Referrals

March 25, 2017 to 7 14 2 June 16, 2017

December 3, 2016 to 3 6 2 March 24, 2017

Intake of new investigations

Complaints Registrar’s Reports QA Referrals

March 25, 2017 to 2 7 5 June 16, 2017

December 3, 2016 to 6 8 None March 24, 2017

1 Carryover (carried over) refers to investigations that continue into the next period between Council meetings. Specifically, the intake of an investigation of a matter may have preceded the previous Council meeting, but a review by the ICRC resulted in directions to investigate further (and into the next period).

Page 2 of 5 AGENDA ITEM 4.2.5 Inquiries, Complaints and Reports Committee Report – June 2017

Decisions made and finalized by ICRC Complaints Reports Outcomes QAC Outcomes Outcomes

NFA: 1

Written Caution and No Further Action March 25, 2017 to Guidance: 1 (NFA) and Guidance: June 16, 2017 NFA – UT signed: 1 1 Referral of Specified Allegations to Discipline: 2

NFA – UT signed: 3

Written Caution: 1

Specified Continuing Education or NFA: 7 Remediation Program

Written Caution and (SCERP) and in- NFA – Frivolous & Guidance: 1 person caution: 1 Vexatious: 4 December 3, 2016 to

March 24, 2017 Referral of Specified Case adjourned until/if SCERP: 1 Allegations to registrant re-registers

Discipline: 1 with CDHO: 1 SCERP and Caution- 2 in person : 1 Referral of Specified Allegations to Discipline: 1

Referral for incapacity inquiries: 1

2 This was incorrectly reported as a written caution in the March 24, 2017 Report to Council.

Page 3 of 5 AGENDA ITEM 4.2.5 Inquiries, Complaints and Reports Committee Report – June 2017

Decisions made but not yet finalized by ICRC3 Complaints Reports Outcomes QAC Outcomes Outcomes

Rescinding of appointment of NFA: 2 investigator: 1 March 25, 2017 to SCERP and Caution-in- June 16, 2017 SCERP and Caution- NFA and Guidance: 1 Person: 1 in-Person: 1 SCERP and Caution- in-Person: 2

December 3, 2016 to NFA: 1 None None March 24, 2017

Health Professions Appeal and Review Board Matters Matters heard, Matters in progress Decision(s) decision pending

March 25, 2017 to 2 1 None June 16, 2017

December 3, 2016 to 1 – Decision of ICRC 2 None March 24, 2017 upheld by HPARB

INCAPACITY

The Inquiries Complaints and Reports Committee is currently making inquiries into the capacity of three registrants.

TIMELINES

The Regulated Health Professions Act, 1991 states that complaints shall be disposed of within 150 days. However, if a complaint is not disposed of within 150 days, the ICRC does not lose jurisdiction to continue the investigation. Notice, however, must be provided to the complainant at 150 days and to all parties and the Health Professions Appeal and Review Board at 210 days.

3 This table lists matters for which the Panel has reached a decision, but for which a Decision and Reasons has not yet been drafted as of the writing of this Report.

Page 4 of 5 AGENDA ITEM 4.2.5 Inquiries, Complaints and Reports Committee Report – June 2017

At 240 days and every thirty days thereafter, the College provides notice to the parties setting out the reason for the delay. Although these timelines only apply to complaints, the ICRC aims to dispose of all investigations using the same benchmarks of 150, 210 and 240 days. Reasons for a delay may be due to the complexity of the matter.

Numbers of days to disposition on completed matters for the period of March 25, 2017 to June 16, 2017 were as follows4:

150 days or less 3 151 days to 210 days None 211 days to 240 days 1

More than 240 days 2

CONCLUSION

The ICRC continues to review all complaints and reports in a fair and consistent manner.

4 Please note, this chart does not include the matters for which a decision has been made, but the reasons not yet drafted at the time of writing.

Page 5 of 5 AGENDA ITEM 4.2.6

PATIENT RELATIONS COMMITTEE REPORT June 16, 2017

Committee Members: Jillian Eles, Professional Member Vinay Jain, Public Member Evie Jesin, Professional Member (Chair) Pearline Rae, Non-Council Member Saeed Walji, Public Member

Mandate of the Committee: As a statutory committee under the RHPA, the mandate of the Patient Relations Committee is to develop and implement a program that includes two distinct components: 1) measures for preventing or dealing with sexual abuse of patients; and 2) to inform the public about the importance of oral health and dental hygienists’ responsibilities within health care.

INTRODUCTION

The Patient Relations Committee met once on May 1, 2017. This meeting involved an initial orientation session outlining the roles, responsibilities and mandate of the Committee. Evie Jesin was elected Chair of the Committee.

ITEMS FOR INFORMATION — Related to Mandate

Sexual Abuse Prevention Plan Review

The Committee reviewed the Sexual Abuse Prevention Plan. The Committee was satisfied that the plan continues to meet its mandate and will revisit that plan as needed depending on content of Bill 87.

Funding for Therapy Policy Review

The Committee reviewed the policy on Funding for Therapy. The Committee was satisfied that the plan continues to meet its mandate and will revisit that plan as needed depending on content of Bill 87.

Page 1 of 2 AGENDA ITEM 4.2.6 Patient Relations Committee Report – June 2017

Presentation

Robin McKechney of Steinecke, and Maciura, and Leblanc presented information to the Patient Relations Committee regarding their mandate and brought forward possible outcomes that may result from the Sexual Abuse Task Force Report. If passed, Bill 87 may result in changes to the Regulated Health Professions Act, 1991 (RHPA) and other health-related statutes. At that such time the Funding for Therapy Policy and Sexual Abuse Prevention Plan may need to be reviewed and updated.

Page 2 of 2 AGENDA ITEM 4.2.7

QUALITY ASSURANCE COMMITTEE REPORT June 16, 2017

Committee Members: Terri Strawn, Professional Member – Chair Michael Connor, Public Member Fernand Hamelin, Public Member Jaspreet Kaur, Non-Council Member Catherine Ranson, Academic Member Lindsay Timleck, Non-Council Member

Mandate of the Committee: To fulfill the CDHO’s legislative obligation to the public of

Ontario and the Ministry of Health and Long-Term Care by facilitating dental hygienists as they monitor and improve their level of competence in their dental hygiene practice and environment, for consistency with CDHO Standards of Practice, bylaws and regulations.

INTRODUCTION

The Quality Assurance Committee met three times since the March 24, 2017, Council meeting. On April 26, 2017, the Committee participated in a teleconference, and on May 26, 2017, and June 1, 2017, the Committee met in person. At the May 26 meeting, Terri Strawn was elected as Chair.

ITEMS FOR INFORMATION − Related to Mandate

Welcome Letter The Quality Assurance Committee sent out ‘Welcome to the Profession’ letters in May to 157 registrants who registered between January 31, 2017 and April 30, 2017. The letter is designed to promote quality practice and to increase awareness of the CDHO resources available, such as the CDHO Knowledge Network, the practice advisors, and the Quality Assurance Program Self- Assessment and educational tools. This letter is being sent to all new registrants three times per year.

Page 1 of 3 AGENDA ITEM 4.2.7 Quality Assurance Committee Report – June 2017

Quality Assurance Records Peer Review Statistics (May 29, 2017) 2017 Peer Assessment Of the 14471 quality assurance records requested 1374 have met the assessment guidelines3 42 are in the assessment process 31 are participating in directed learning/remediation

2017 Practice Reviews Of the 44 on-site practice assessments requested 0 have met the assessment guidelines 4 are in the assessment process 0 are participating in directed learning/remediation

2016 Peer Assessment Of the 7652 quality assurance records requested 761 have met the assessment guidelines3 0 are in the assessment process 4 are participating in directed learning/remediation

2016 Practice Reviews Of the 124 on-site practice assessments requested 8 have met the assessment guidelines3 0 are in the assessment process 4 are participating in directed learning/remediation

2015 Peer Assessment Of the 13192 professional portfolios requested 1318 have met the assessment guidelines3 0 are in the assessment process 1 is participating in directed learning/remediation

Page 2 of 3 AGENDA ITEM 4.2.7 Quality Assurance Committee Report – June 2017

2015 Practice Reviews Of the 394 on-site practice assessments requested 38 have met the assessment guidelines3 0 are in the assessment process 1 is participating in directed learning/remediation

______1 Includes registrants who were selected by the Committee from referrals, for not completing the annual self-assessment and/or have been carried forward from a previous assessment period. 2 Includes registrants who were selected by the Committee from referrals, and/or have been carried forward from a previous assessment period. 3 Includes registrants who have resigned, were exempted, or deferred to another assessment period and those referred to the ICRC for non-compliance. 4 Includes registrants who were carried forward from a previous assessment period.

Page 3 of 3 AGENDA ITEM 4.2.8

REGISTRATION COMMITTEE REPORT June 16, 2017

Committee Members: Gail Marion, Professional Member (Chair) Catherine Ranson, Professional Member Pauline Leroux, Professional Member Yvonne Winkle, Public Member VACANT, Public Member Lisa Hardill, Non-Council Member

Mandate of the Committee: The Registration Committee is a statutory Committee under the RHPA. It assesses an Applicant’s educational qualifications and suitability to practise dental hygiene in Ontario in an equitable and consistent manner for all Applicants and further to

ensure that registrants meet the requirements as set out in the registration regulations.

INTRODUCTION

Since the last report to Council, the Registration Committee met once on March 16, 2017.

ITEMS FOR INFORMATION − Related to Mandate

Registration Statistics Since last reported to Council: March 10, 2017 May 26, 2017 General Certificate of Registration 11,994 12,087 Specialty Certificate of Registration 619 639 Inactive Certificate of Registration 788 756 Total Registrants 13,401 13,482 Authorized to Self-Initiate 6059 6078

Applications for Registration The Registration Committee convened to review an application for a general certificate of registration where the Registrar had doubts, on reasonable grounds, about whether the Applicant

Page 1 of 3 AGENDA ITEM 4.2.8 Registration Committee Report – June 2017 met the requirements for registration, as well as an application for a specialty certificate of registration where the Applicant had completed a program in Dental Therapy.

Date Issue Committee Deliberation and Decision March 16, 2017 1. Application for The Applicant requested to complete a Meeting General Certificate – professional competency assessment in order to The Applicant was meet the registration requirements under S. 32 unsuccessful at a (2) i. B of the Regulation, which the Committee professional approved in March, 2016. The Applicant was competency unsuccessful at the assessment on January 16, assessment set by 2017. The Committee reviewed the Applicant’s the Committee. submission and the Evaluator’s report and directed that the Applicant must complete upgrading courses in order to meet the requirements for registration. 2. Application for The Applicant, who was already registered with Specialty Certificate a general certificate, applied for a specialty – The Applicant certificate of registration. Committee assessed completed a program the Dental Therapy program completed by the in dental Therapy in Applicant and determined that it was Saskatchewan and substantially equivalent to that of an approved requested that the restorative dental hygiene program. The Committee assess the Applicant was granted a specialty certificate of program for the registration. purposes of applying for a specialty certificate of registration.

Applications for Registration (as of May 26, 2017) Since last reported to Council:  40 applications were received  89 new applicants were registered to practise  1 registrant was suspended for failure to meet a condition of registration (insurance)  18 registrants resigned  0 registrations were revoked  52 registrants were authorized to self-initiate

Of the 40 applications for registration, one required detailed review by the Registrar prior to registration. Subsequent to the Registrar’s review, the Applicant was granted a certificate of registration.

Page 2 of 3 AGENDA ITEM 4.2.8 Registration Committee Report – June 2017

Date Issue Registrar Review and Decision

April 6, 2017 The Applicant disclosed a Following receipt and review of information traffic charge on the provided by the Applicant, the Registrar was application declaration. satisfied that the Applicant posed no increased risk to the public. A general certificate of registration was granted and the Applicant was registered on April 6, 2017.

Page 3 of 3 AGENDA ITEM 4.3.1

President’s Report to Council June 16, 2017

President’s Activities April 21, 2017: ODHA Joint Meeting May 26, 2017: ODHA President’s Reception

Expense Policy Exceptions Subject to pre-approval by the President and under special circumstances, the President may use her discretion to approve costs for accommodation outside the policy allocation. In doing so, Council has requested that when discretion has been used, the President is to report back to Council with the rationale for the decision. There were no expenses approved outside the policy allocation.

Council Monitoring In an effort to increase the transparency of Council, the attendance record of Council members at meetings including committee meetings is included in this report. [Appendix 1]

Cost of Good Governance In an effort to increase the transparency of Council, the breakdown of honorariums and expenses per Council member has been provided. [Appendix 2]

Page 1 of 3 AGENDA ITEM 4.3.1 President’s Report to Council – June 2017

Appendix 1

Page 2 of 3 AGENDA ITEM 4.3.1 President’s Report to Council – June 2017

Appendix 2

Professional Council and Non-Council Members Honorarium and Expense Claim Submissions January 1, 2017 - May 31, 2017

31-May-17 HONORARIUM EXPENSES TOTAL

Heather Blondin (president) 6,328.13 6,790.16 13,118.29 Catherine Ranson (vice-president) 4,490.58 1,590.83 6,081.41 Roma Czech 3,968.75 2,094.39 6,063.14 Jillian Elles 1,450.00 1,244.46 2,694.46 Kathleen Feres Patry 3,075.00 3,454.33 6,529.33 Marlene Heics 1,643.76 1,069.76 2,713.52 Evie Jesin 2,500.00 234.98 2,734.98 Pauline Leroux 700.00 708.22 1,408.22 Caroline Lotz 2,675.00 2,176.53 4,851.53 Gail Marion 2,675.00 4,049.61 6,724.61 Janet Munn 725.00 1,813.91 2,538.91 Terri Strawn 2,125.00 623.88 2,748.88 Lisa Hardill 0.00 0.00 0.00 Linda Douglas 812.50 37.20 849.70 Dorothy Dziunikowski 325.00 20.50 345.50 Jaspreet Kaur 400.00 46.66 446.66 Lindsay Timleck 400.00 57.00 457.00 Betty Le 600.00 123.50 723.50 Karlyn Wood 600.00 451.50 1,051.50 Pearline Rae 0.00 0.00 0.00 Siobhan Brennen 325.00 475.70 800.70 includes all claims for: TOTAL: 62,881.84 council workshops/meetings committee meetings discipline hearings orientation/training

Page 3 of 3 AGENDA ITEM 4.3.2

Registrar’s Administrative Report to Council June 16, 2017

Protecting Patients Act 2017 On May 30, 2017, Bill 87 Protecting Patients Act received Royal Assent. Bill 87 addresses the core of the College’s functions from investigation to discipline, and is related to the transparency of the College’s operations. It will significantly affect the manner in which the College and its Committees operate.

Among the changes:  The purposes for which the Minister may require a College to collect information from members under Section 36.1 of the Act are expanded to include health human resources research.  The Minister is given the power to make regulations respecting College Committees and panels.  The matters that a College is required to note in its register are expanded.  For the purposes of the sexual abuse provisions of the Code, the definition of “patient”, without restricting the ordinary meaning of the term, is expanded to include an individual who was a member’s patient within the last year or within such longer period of time as may be prescribed from the date on which they ceased to be a patient, and an individual who is determined to be a patient in accordance with the criteria set out in regulations.  The Inquiries, Complaints and Reports Committee and its panels may make an order for the interim suspension of a member’s certificate of registration at any time following the receipt of a complaint or after the appointment of an investigator, instead of only when a matter is referred for discipline or incapacity proceedings.  The imposition of gender-based terms, conditions or limitations on a member’s certificate of registration is prohibited.  The grounds for mandatory revocation of the certificate of registration of a member who has sexually abused a patient are expanded, and suspension is made mandatory in sexual abuse cases that do not involve conduct requiring mandatory revocation.  Members are required to report to the Registrar if they belong to professional bodies outside of Ontario, and if there has been a finding of professional misconduct or incompetence against them by such a body.  Members are required to report to the Registrar if they are charged with an offence, and are required to provide information about bail conditions.

Page 1 of 5 Registrar’s Administrative Report to Council – June 2017 AGENDA ITEM 4.3.2

 The mandatory program for Colleges to provide funding for therapy and counselling for patients who were sexually abused by members is expanded to apply to persons who are alleged to have been sexually abused while a patient, and to provide funding for other purposes provided for in regulations.  The penalties for failing to report sexual abuse of patients are increased.

Council had the opportunity to review the proposed legislation through a facilitated discussion led by legal counsel Julie Maciura and presentations by Ministry officials Alison Henry and Stephen Cheng. The minutes of the February 8th meeting are posted on the College website. The College provided feedback to the Ministry on the proposed changes as an individual college and as part of the Federation of Health Regulatory Colleges of Ontario (FHRCO).

Sexual Abuse Task Force Report The Ministry has hired Deanna Williams to undertake the work relating to the recommendations from the Sexual Abuse Task Force Report. We have been told that Ms. Williams will be providing advice and expertise to the Ministry on four key areas: 1. Best practices in Ontario and other jurisdictions in the intake of complaints, investigation and discipline of misconduct matters including sexual abuse. 2. Best practices in Ontario and other jurisdictions with regards to patient supports and patient relations provided at the college level. 3. Best practices in Ontario and other jurisdictions on college governance and college committee membership. 4. Review and analysis of the Task Force recommendations to establish independent bodies responsible for the investigation and adjudication of sexual abuse matters.

We have also been told that Ms. Williams’ work is independent from Bill 87 and that the Ministry is not contemplating further amendments to the RHPA based upon her work.

Proposed Spousal Exception Regulation The status of the proposed spousal exception regulation is unchanged since the last report. The proposed regulation that, if passed by government would permit dental hygienists to treat spouse was submitted to the government for consideration in October 2015. Under current legislation dental hygienists cannot treat spouse.

Designated Drugs Regulation The status of the proposed drug regulation is unchanged since the last report. The final version of the Designated Drugs Regulation has been signed by the College President and Registrar, and sealed. It is now with the Ministry and waiting to be passed by Cabinet. This is the final step before the regulation becomes law. It is uncertain how long this process will take.

Page 2 of 5 Registrar’s Administrative Report to Council – June 2017 AGENDA ITEM 4.3.2

Drugs in Dental Hygiene Practice Examination To date, 1076 registrants have successfully completed the Drugs in Dental Hygiene Practice Examination. Registrants who successfully complete the examination receive a completion certificate for their records. However, until such time as the Designated Drugs Regulation is legislated, those who have passed the examination will not be authorized to prescribe, dispense or sell chlorhexidine. Reminders are sent to certificate holders notifying them that legislation still prevents them from prescribing, dispensing or selling chlorhexidine.

Insurance Audit 2017  It is a requirement of registration that those holding a general or specialty certificate of registration hold professional liability insurance that complies with the requirements described in Bylaw 5. This year the College did a random audit of 5% of affected registrants. Of the 624 registrants selected to show proof of insurance: o 618 (99%) submitted by the April 3rd deadline. Of these: – 3 held invalid insurance (Insurance company/policy does not meet the requirements set out in the Bylaw); all 3 have since submitted new policies that do meet the Bylaw – 11 held policies that started sometime after their renewal date (meaning their coverage was lapsed for some period of time). Of these:  6 signed an undertaking by the Registrar and are required to submit proof of insurance for 2018 and 2019 (their policy period started after the first notice of selection for the audit)  5 received a warning letter (their policy period started after the renewal date, but before they were notified of selection for the audit) o 6 (1%) were given notice of intention to suspend registration and referred to the ICRC for failure to provide evidence of adequate liability insurance. Of these: – 5 submitted evidence of adequate liability insurance before the suspension date – 1 was suspended on May 8th but has since been reinstated with evidence of insurance.

RCDSO Delegation Working Group Robert Farinaccia participated in the RCDSO delegation working group. He reports that the working group has finalized a report that will be submitted to the RCDSO Executive Committee for review this spring. It is anticipated that the report will go to the November RCDSO Council meeting. The report has not been made public at this point, however, we understand that there are no recommendations for delegation to dental hygienists.

Page 3 of 5 Registrar’s Administrative Report to Council – June 2017 AGENDA ITEM 4.3.2

National Clinical Exam Steering Committee The steering committee is comprised of three provincial dental hygiene regulators: Alberta, British Columbia and Ontario who have been working towards the development of a standardized national clinical examination. Please note that this performance-based examination is intended to replace each province’s clinical examination, which is a requirement for registration if you are not a graduate of a North American accredited program. The recently completed validity testing of the rating scale was deemed a success and the steering committee is planning for the launch of the new examination. The decision to replace our current examination with the national clinical exam will be brought to the Examinations Committee in May and to CDHO Council in June.

The Federation of Health Regulatory Colleges of Ontario (FHRCO) The Federation of Health Regulatory Colleges of Ontario provides strategic leadership to health profession regulation within the changing health care system. The Federation is comprised of Ontario’s 26 health regulatory colleges which includes CDHO. The Registrar continues to participate in the Federation. In 2017, the Federation of Health Regulatory Colleges of Ontario created a new website targeted towards health consumers www.ontariohealthregulators.ca. The OHR website is the one-stop gateway to the websites of all the health regulators in Ontario. From here the public can find trustworthy, relevant, and up-to-date information about the colleges and the health professionals they regulate.

What are the advantages of the OHR website?

 This new website recognizes the public’s need for easy-to-access information and resources on regulated health professionals in a single place.  On this site, visitors will be able to access the registers of all 26 colleges, find a health professional, and see important information about a health professional’s registration and discipline history.  The site also contains a variety of articles to help users of the healthcare system make the most of their care and time with regulated health professionals.  The information on this site is available in 10 languages.

FHRCO is asking their members and their respective Council members’ help reach as wide an audience as possible by promoting the link to the new website through social media channels. As part of the launch, the website will be marketed on social media to Ontario caregivers using video and sponsored posts. A targeted online article campaign will also be launched across the province to promote the value of using the services of regulated health professionals and the new website. Please visit www.ontariohealthregulators.ca. Together we will increase public awareness about the advantages of regulation.

Page 4 of 5 Registrar’s Administrative Report to Council – June 2017 AGENDA ITEM 4.3.2

Federation of Dental Hygiene Regulators of Canada (FDHRC) The Registrar is chair of this group. FDHRC is a federation of organizations who have the mandate to regulate the profession of dental hygiene within their respective provinces. The objects of FDHRC are to: provide national leadership on issues concerning the protection of public interest with respect to the profession of dental hygiene; to provide a forum for networking and information exchange among Canadian dental hygiene regulatory authorities; to develop quality benchmarks for dental hygiene accreditation standards and processes; to ensure that valid, reliable examination mechanisms for assessing dental hygiene competencies are available to Canadian dental hygiene regulatory authorities; to promote and monitor labour mobility and workforce planning for dental hygiene; and such other activities not inconsistent with these objects.

Registrant Outreach The Registrar presented to the London Dental Hygienists Society on March 30, 2017 and the Ottawa Dental Hygienists Society on April 20, 2017 as part of the registrant outreach for 2017. The topic discussed was “When Is a Dental Hygienist Not a Dental Hygienist? Exploring Off- duty Conduct”

Public Service Announcements The College ran its Oral Cancer Awareness campaign during the month of April which coincided with Oral Health month and Cancer month. The campaign consisted of radio, print and social media.

Page 5 of 5

AGENDA ITEM 5.1.1

COUNCIL MOTION

To: Council From: Chair Date: June 16, 2017 Topic: Appointment of 2017 Auditors

Recommended Motion:

WHEREAS Bylaw No. 5 Section 10.1 requires that Council appoint an auditor licensed under the Public Accounting Act, 2004 (Ontario) each year to conduct an audit and issue an audited financial statement for each and every fiscal year; and

WHEREAS the firm of Hilborn, LLP provides independent accounting services and advice to the CDHO in accordance with the standards and procedures determined by the CICA/CAO;

THEREFORE BE IT RESOLVED THAT the firm of Hilborn, LLP, be reappointed as auditors of the College of Dental Hygienists of Ontario for the fiscal year of 2017.

MOVED: SECONDED:

VOTE:

CARRIED: DEFEATED:

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346 AGENDA ITEM 5.1.2

ISSUE ASSESSMENT: Reserve Fund for Premises Relocation TO: CDHO Council COMMITTEE: Executive Committee DATE: June 16, 2017

BACKGROUND:

The 2016 audited financial statement reports that the College has reserve funds of $6,993,541.00 as part of its net assets. Internal restrictions have been placed on some of the fund to cover ICR/Discipline matters and to keep registrants fees stable. The remaining unrestricted fund has been used to offset past planned deficit budgets and is now held to cover the costs of operating the College for three to six months should some unforeseen circumstance cause the College to be without a positive cash flow. The reserve funds are within an acceptable level for a not-for-profit entity.

In 2017, the College, based on a ten-year financial projection, raised registrant registration fees in anticipation of the depletion of the Fee Stabilization Reserve Fund and the Fee Stabilization Fund is no longer required. There is, however, some money remaining in that fund that amounts to $1,000,000.00 As the residual in this fund is no longer being targeted for fee stabilization, the plan was to use the remaining money to fund the CDHO office relocation that is scheduled to occur in 2019. This is subject to Council approval. Restricted funds cannot be used for purposes other than intended by Council.

Our auditor, Mr. Blair MacKenzie has recommended changing the name of this restricted fund to match the intended purpose of the fund. A motion is required to close the Fee Stabilization Fund and reallocate the money to the Premises Relocation Fund. Please note this is simply a matter of renaming the internally restricted fund.

Executive is asking Council to approve a motion in respect to the reserve fund. The motion approves, as policy, that a Premise Relocation restricted reserve fund be maintained to ensure that sufficient money is available when the office relocates at the end of its lease in 2019.

RECOMMENDATION:

That Council approves the motion to hold the funds previously kept for fee stabilization in an internally restricted fund for premise relocation.

BUDGETARY IMPLICATIONS:

N/A

Page 1 of 2 Issue Assessment – Reserve Fund for Premises Relocation AGENDA ITEM 5.1.2 June 16, 2017

DATE OF IMPLEMENTATION:

December 30, 2016

LEGAL IMPLICATIONS:

Is in keeping with CRA rules for not for profit reserve funds.

RELATIVE TO MANDATE:

Supports transparency and compliance with CRA rules.

RELATIVE TO ENDS:

Is in keeping with Policy 1.2 Access to regulatory process effectiveness.

STAKEHOLDER POSITIONS:

N/A

RECOMMENDATION TO COUNCIL:

WHEREAS the College no longer requires a reserve fund dedicated to fee stabilization.

THEREFORE BE IT RESOLVED THAT the money once held in reserve for fee stabilization be held in an internally restricted fund for premises relocation.

MOVED: SECONDED:

VOTE CARRIED: DEFEATED:

Available Options: 1. Pass the motion … 2. Further amend … 2. Defeat the motion 3. Other

Page 2 of 2 AGENDA ITEM 5.1.3

DECISION: REGULATORY

TO: CDHO Council

FROM: Examinations Committee

DATE: June 16, 2017

SUBJECT: Adoption of National Clinical Examination in Dental Hygiene

BACKGROUND

The College currently administers a clinical competency examination for applicants from non- accredited dental hygiene programs at least once a year. A similar examination is also conducted in Alberta and British Columbia. In May 2012, all three provinces began a project aimed at creating a standardized examination that was psychometrically sound and ensured that applicants sitting an examination in any of the three provinces experienced the same examination.

The National Clinical Examination in Dental Hygiene was developed ensuring adherence to best practices with a grant received from the Alberta government. In 2015, recognizing the importance of this project, the CDHO Council passed a motion to financially support the project with funding in the amount of $100,000 which was matched by the other two participating regulators. With the guidance of qualified psychometricians, this examination has gone through rigorous testing to ensure that reliability, validity and fairness standards have been met to produce a defensible examination.

The development of the examination is now complete and the examination is available to the provinces who wish to administer it. The national clinical examination has received endorsement from the Federation of Dental Hygiene Regulators of Canada (FDHRC) and Alberta, British Columbia and Ontario are seeking approval of their Councils to start using the national examination.

In 2016, knowing the completion of the national examination project was imminent, the College hired an independent psychometrician to evaluate the CDHO’s current clinical examination. Although a lot of time and resources had gone into the national examination project, there would be no point in bringing forward a new examination to Council if the current examination was sound. There were a number of recommendations for improvement that came out of that report. The proposed national clinical examination addresses all of the recommendations in the report.

Page 1 of 3 AGENDA ITEM 5.1.3 Issue Assessment – Adoption of National Clinical Examination in Dental Hygiene June 16, 2017

The Examinations Committee after reviewing the psychometricians report and the proposed national clinical examination developed by the three provinces are bringing this issue assessment forward and asking Council to approve the National Clinical Examination in Dental Hygiene as a replacement for the clinical examination currently conducted by the College.

BUDGETARY IMPLICATIONS:

Costs associated with administering the examination in 2017 will rise due to the format and increased resources required.

DATE OF IMPLEMENTATION:

The next scheduled examination is November 4, 2017.

LEGAL IMPLICATIONS:

The CDHO must deliver a valid, reliable, and fair examination that aligns to current accepted standards for high-stakes examinations. An exam that incorporates best practices into the testing process lessens the probability of legal challenges or appeals based on the presence of irregularities of sufficient magnitude to have materially affected a candidate’s performance.

RELATIVE TO MANDATE:

This project is in keeping with the regulatory responsibilities delegated by the provincial government to the CDHO to maintain professional standards and ensure public safety by assessing the qualifications and competence of persons applying for registration and is consistent with Council’s commitment to fair, equitable and transparent practices.

RELATIVE TO ENDS:

Consistent with Ends Policy Criteria #1: Safe, High Quality Professional Practice.

STAKEHOLDER POSITIONS:

The new standardized clinical exam will improve the assessment and recognition process by ensuring that those applicants who are required to complete a clinical exam in order to become registered will receive the same style of exam and be tested on the same nationally accepted competencies, regardless of the jurisdiction in which they take the exam. Development of improved processes and common tools to assess internationally trained applicants and those from non-accredited programs will support and enhance collaboration of dental hygiene regulators across Canada and improve fairness, transparency and consistency for all exam candidates.

Page 2 of 3 AGENDA ITEM 5.1.3 Issue Assessment – Adoption of National Clinical Examination in Dental Hygiene June 16, 2017

RECOMMENDATION TO COUNCIL:

The Examinations Committee recommends that Council pass the following motion:

WHEREAS the College shall specify the general areas of competency to be examined and shall ensure that the examinations provide a reliable and valid measure of a candidate’s competency in knowledge, skills and ability for the practice of dental hygiene in Ontario; and

WHEREAS the CDHO is committed to administering a valid, reliable, fair and legally defensible examination to assess entry-to-practice competency; and

WHEREAS successful candidates will demonstrate competency comparable to the Canadian nationally accepted entry-to-practice competencies; and

WHEREAS the use of common assessment tools and evaluator training/guides ensures that each regulatory authority applies the exam process fairly and consistently; and

WHEREAS a standardised national clinical examination supports the intent of the interprovincial trade agreements;

THEREFORE BE IT RESOLVED THAT the National Clinical Examination in Dental Hygiene be adopted to replace the current CDHO Clinical Competency Evaluation.

MOVED: SECONDED:

VOTE CARRIED: DEFEATED:

AVAILABLE OPTIONS: 1. Pass the motion… 2. Defeat the motion… 3. Defeat the motion and refer to Committee… 4. Other?

COMMITTEE RECOMMENDATION:

The Examinations Committee recommends Option #1.

Page 3 of 3 AGENDA ITEM 5.1.4

ISSUE ASSESSMENT: Interim Academic Member TO: CDHO Council COMMITTEE: Executive Committee DATE: June 16, 2017

BACKGROUND

On May 8, 2017 one of two academic member positions became vacant with the resignation of Janet Munn. The next schedule election for academic members is November 2017 whereby the term would start at the first Council meeting in January 2018. Therefore in accordance with Bylaw 5, Council has the following three options:

(a) leave the seat vacant; (b) direct the Registrar to hold an election or selection in accordance with this bylaw; (c) direct the Registrar to appoint an individual who may fill the vacancy for a duration determined by Council, but not to exceed the duration of the term of the vacated position;

Option (a) May be considered if meeting quorum is not a concern. Upcoming Council meetings are scheduled for September and December.

Option (b) Is probably the least desirable option. The steps in holding a by-election for an academic member are greater than those for a district election, and the timeline needed to conduct an election is greater. Before a call for nominations can take place, the electorate would have to be established. In the previous election, eligible faculty would have to register as voters first so a list of those eligible to vote and run for election could be generated.

Option (c) Potentially a call could go out for candidates to apply to sit on Council as academic member on Council for a term ending in January 2018. The eligibility criteria for an academic member are described in the Bylaw. The Executive Committee could then select a successful candidate and Council could direct the Registrar to appoint the individual as an interim academic member. If this option is selected, it would be prudent to have a defined set of selection criteria prior to putting the call for candidates out.

Page 1 of 3 Issue Assessment – Interim Academic Member AGENDA ITEM 5.1.4 June 16, 2017

RECOMMENDATION: Option C to permit the Executive Committee to direct the Registrar to conduct a search and then the Executive Committee would select an interim academic member for Council.

BUDGETARY IMPLICATIONS: Option (a): None Option (b): Cost of running an extra (unbudgeted) election option; cost of orientation of new member. Option (c): Executive committee meeting costs; cost of orientation of new member.

DATE OF IMPLEMENTATION: Immediately.

LEGAL IMPLICATIONS: Is in keeping with Bylaw 5.

RELATIVE TO MANDATE: Supports transparency and compliance with Bylaw 5.

RELATIVE TO ENDS: Good governance

STAKEHOLDER POSITIONS: N/A

Page 2 of 3 Issue Assessment – Interim Academic Member AGENDA ITEM 5.1.4 June 16, 2017

RECOMMENDATION TO COUNCIL:

That one of the following motions is put forward:

# 1. Motion Option (a) THAT Council leaves the seat vacated by Janet Munn vacant until the term ends.

# 2. Motion Option (b) THAT Council directs the Registrar to hold an election for an interim academic member

#3. Motion Option (c) THAT Council directs the Executive Committee to conduct a search and select an interim academic member for Council.

MOVED: SECONDED:

VOTE

CARRIED: DEFEATED:

Available Options: 1. Pass one of the motions 2. Further amend one of the motions 2. Defeat a motion 3. Other

Page 3 of 3 AGENDA ITEM 5.1.4 Appendix 1 ELECTIONS 2017 (Academic) Work-Back Schedule

ACTION ITEM TIMELINE COMMENTS No later than 60 days prior, the Registrar shall notify Tuesday 1. CALL FOR VOTER ELIGIBILITY registrants of the academic election and request to August 15, 2017 confirm eligibility via electronic Declaration Form.

Friday Tabulation of Declaration Forms and establish final 2. Deadline for Confirmation of Voter Eligibility September 15, 2017 Elector List.

Friday 3. CALL FOR NOMINATIONS Using Elector List only. September 22, 2017

The nomination of a candidate for election shall be in Monday 4. Deadline for Receipt of Nominations writing and presented to the Registrar at least 30 days October 16, 2017 prior to the date of the election. A candidate may withdraw their nomination by advising Deadline for Nominees to Withdraw Their Friday 5. the Registrar in writing no less than 24 days prior to Nomination for Election to Council October 20, 2017 the election. No later than 14 days prior to the date of an election or Wednesday selection, the Registrar shall send to the respective 6. BALLOT DROP days 60 November 1, 2017 registrant a list of candidates, a ballot and an explanation

of the voting procedures.

The election of Elected Members and/or selection of days 30 Wednesday Academic Members shall be held on the third 7. ELECTION DAY November 15, 2017 Wednesday in November, unless Council sets a different date.

Page 1 of 2 AGENDA ITEM 5.1.4 Appendix 1 ELECTIONS 2017 (Academic) Work-Back Schedule

Thursday The Registrar will formally announce the results of the 8. Results Posted November 16, 2017 academic election.

A candidate is entitled to a recount through written request to the Registrar no later than 15 days after the Thursday election, and paying the fee required by Article 16.5 of 9. Deadline to Request a Recount of Election Ballots November 30, 2017 the bylaw.

The Registrar shall hold this recount no more than 15 days upon receipt of the candidate’s request.

Page 2 of 2 AGENDA ITEM 5.1.5

ISSUE ASSESSMENT: Use of Technology for Council Meetings COMMITTEE: Executive Committee DATE: June 16, 2017

Background:

Following the March 24th Council meeting, the Executive Committee conducted a survey of Council members’ use of electronic devices for Council meetings. At the Executive Committee meeting on May 10th, the Executive reviewed the results of that survey and most of Council indicated they would prefer to use a laptop provided by the CDHO for Council meetings. The Executive Committee also discussed the current situation, where documents are being downloaded unto personal computers which raises the question of security and the process for implementing measures and systems designed to securely protect and safeguard information for CDHO business.

Executive is asking Council to approve a motion to go paperless for Council meetings and that policies be developed to support the implementation of computers provided by the CDHO for Council business.

Recommendation: That Council approves the motion to go paperless and develop policies to support the implementation of computers for each Council member.

Budgetary Implications: YES

Date of Implementation: January 2018

Legal Implications: Is in keeping with security of electronic information.

Relative to Mandate: YES

Relative to Ends: Is in keeping with Policy 1.2.1 Access to regulatory process effectiveness.

Stakeholder Positions: N/A

Recommendation to Council:

Page 1 of 2 AGENDA ITEM 5.1.5 Issue Assessment – Use of Technology for Council Meetings June 16, 2017

WHEREAS the Council no longer requires printed hard copy materials for Council meetings and policies will be necessary for the implementation of CDHO-owned computers. THEREFORE BE IT RESOLVED THAT the CDHO Council go paperless for Council meetings and that policies be developed to support the implementation of computers provided by the CDHO for Council business.

MOVED: SECONDED:

VOTE CARRIED: DEFEATED:

Available Options: 1. Pass the motion … 2. Further amend … 2. Defeat the motion 3. Other

Page 2 of 2 Use of Electronic Devices for Council Meetings AGENDA ITEM 5.1.5

APPENDIX 1 Q1 Do you request that a Council Book be prepared for you to use at the Council Meeting?

Answered: 20 Skipped: 0

Yes 40.00%

No 60.00%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes 40.00% 8

No 60.00% 12

Total 20

Q2 Do you currently use your own electronic device for Council Meetings?

Answered: 20 Skipped: 0

Yes 65.00%

No 35.00%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes 65.00% 13

35.00% 7 No

Total 20

1 / 5 Use of Electronic Devices for Council Meetings AGENDA ITEM 5.1.5

Q3 If the CDHO would supply a laptop for APPENDIX 1 you to use, would you prefer to use it?

Answered: 20 Skipped: 0

Yes 75.00%

No 25.00%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes 75.00% 15

No 25.00% 5

Total 20

Q4 Do you think that the CDHO should purchase laptop computers for all Council Members to use for Council business and meetings?

Answered: 20 Skipped: 0

Yes 75.00%

No 25.00%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes 75.00% 15

No 25.00% 5

Total 20

2 / 5 Use of Electronic Devices for Council Meetings AGENDA ITEM 5.1.5

Q5 Which of the following laptops do you APPENDIX 1 think the CDHO should purchase?

Answered: 19 Skipped: 1

A larger 42.11% screen lapto...

A smaller 57.89% screen lapto...

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

A larger screen laptop (that would weigh more) 42.11% 8

A smaller screen laptop (that would weigh less) 57.89% 11

Total 19

Q6 If you already use your own laptop at Council Meetings would you like the option to continue to do so?

Answered: 16 Skipped: 4

Yes 75.00%

No 25.00%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes 75.00% 12

No 25.00% 4

Total 16

Q7 Are you in favour of moving to paperless 3 / 5 Use of Electronic Devices for Council Meetings AGENDA ITEM 5.1.5

meetings if the CDHO was to purchase and APPENDIX 1 supply laptop computers? No Council Book would be provided to you.

Answered: 19 Skipped: 1

Yes 84.21%

No 15.79%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes 84.21% 16

No 15.79% 3

Total 19

Q8 Please Provide Your Comments

Answered: 14 Skipped: 6

# Responses Date

1 "One size does not fit all" ~ Even though I use my own laptop and a computer at work all day long, when I use a 5/12/2017 12:59 PM different computer, there is a some testing prior to using it effectively just like when you drive different models of vehicles therefore I prefer to use my own laptop. I always do work pre and post meetings so I need my laptop. Providing a laptop for the meetings will not eliminate the need for me to transport my laptop. There are some limitations to laptops at Council meetings so there are times when I do prefer the binderl in addition to a laptop

2 I'm in favour of moving to paperless, however I do support the idea that some may still wish to still have the agenda 5/8/2017 10:03 AM printed.

3 I would prefer the option to use my own computer, and think it is important to move forward with the use of technology 5/5/2017 2:08 PM and software that will support the transition to policy governance (monitoring and collation of reports)

4 A grant should be made available to all council members to prepare and execute their resplonsibilities at council. 5/4/2017 5:02 PM people who want to have the book printed and organized can do so and those who wish to purchase a lap top that fits their specifications can do so. Regardless the grant should be the same for each Council member. Thank you

5 I think this was a tough survey to answer as some questions did not provide a third option. For example, should the 5/4/2017 11:49 AM council provide laptops for all members, yes or no. This doesn't provide an option for members who may not be comfortable with computers and prefer paper. Also, I had a concern around the cost of providing a laptop for all council members, that's quite a substantial price tag and I would be concerned that some members would prefer a hard copy.

6 some training on its use will be good 5/3/2017 8:39 PM

7 I currently use an iPad with the documents already loaded, however, if there is an extra council book available, 5/3/2017 7:22 PM sometimes I use that. I would prefer, however to go completely paperless, either through laptop or tablet, both of which would be pre-loaded with all of the pdfs of all of the documents. this is done at another organization I deal with for all of their board meetings.

4 / 5 Use of Electronic Devices for Council Meetings AGENDA ITEM 5.1.5

8 Whatever we must be user friendly and have good tech support. We cannot repeat the disaster we now have with the 5/3/2017 4:53 PMAPPENDIX 1 Boardroom.

9 I would like an allowance to purchase the electronic device of my choice. 5/3/2017 2:49 PM

10 My thought is that it's all or nothing. Either we ALL use it (like it or not and LEARN how to use the new computer) with 5/3/2017 2:35 PM NO PAPER provided at the meetings, OR we leave it as it is where it is our choice and that we get reimbursed if we bring and use our own. Obviously if we have our own we have a comfort level with it and to have another will be a difficult learning curve for some.....so we either make a decision and stick with it (no turning back no matter how many tears!)

11 The Council needs to revise its policy regarding compensation for laptop use for Council meetings only. We are using 5/3/2017 2:13 PM our own computer regularly for correspondence and for ICRC meetings and preparation but compensation is denied. Perhaps an annual laptop allowance would be an appropriate compensation somewhat relative to a lease? Dell provides exceptional ongoing tech support if Council were to purchase laptops.

12 While it may be ideal to move to paperless it comes with challenges. Prior to implementation policies must be put in 5/3/2017 1:28 PM place and considered thoroughly. It cannot be taken lightly.

13 For the Council Meeting or ICRC Committee Meeting, I prefer to use printed copies. It's more convenient for me to 5/3/2017 1:22 PM read through all the materials and highlight those issues/facts that I would like to address during the meeting. Besides it is easier to find the page that is being discussed in paper form than computer. This will save me, I believe, a lot of time especially for ICRC meeting. Now I have to write down all the important points on a separate piece of paper. To me this is more time consuming.

14 I'm comfortable either way as I already bring my tablet to the meetings. As long as wifi is available/reliable at the 5/3/2017 1:08 PM venue there isn't a need for me to have paper copies.

5 / 5 AGENDA ITEM 5.1.6

BRIEFING NOTE WITH MOTION

To: Council From: Registrar Date: June 16, 2017 Topic: Premise Relocation/Access Reserve Funds

The lease for 69 Bloor Street East will expire in February 2019 and it will be necessary to relocate the CDHO office for two reasons. First, we require additional space for staff and secondly, our landlord requires the space for its own use and will not be extending our lease. To this end, I have done a needs assessment and a price comparison of suitable office space in downtown Toronto.

The Council has delegated a broad range of authority and control to the Registrar/CEO under the Policy Governance Model. With this delegation there are a number of defined limitations that the Registrar/CEO must abide by. I have determined that there are two relevant limitations Policies that apply to the relocation of the office.

EL 2

“The registrar/CEO shall not cause or allow any organizational practice, activity, decision or circumstance which is either unlawful, imprudent or in violation of accepted business and professional ethics.”

Rationale:

The relocation of the office is neither unlawful or in violation of accepted business and professional ethics. Therefore compliance with this policy means that the decision to move must not be imprudent. Given that we require additional space to house staff and that the landlord will not extend our lease, the decision to seek out a new location is a prudent one, especially since relocation of the office will require advance planning, including renovation of the new space.

In addition, I worked with a commercial realtor specializing in regulatory colleges who has found space for a number of colleges, including the CDHO in 1994. With the realtor, I have investigated leasing options within the radius of our current location. It was my priority to stay close to the subway system, the Ministry offices, major hotels and the offices of the other regulatory colleges. Considering these priorities and the price per square foot comparison, the Yonge-Bloor corridor remains to be the best choice. I have completed a needs assessment and have determined that our space must increase from the approximate 5,000 square feet we have today to approximately 10,000 square feet.

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346

After viewing the available properties within range of our current location, I have identified an opportunity at 175 Bloor St. E. This property is unique in that I will be able to secure it for possession in February 2019 at 2017 pricing. A ten-year lease is available and is renewable for another five years.

The property is now approximately 13,000 square feet but the landlord is willing to sever the suite into two. I have looked at potential layouts for the office space and feel that our needs for the next ten years will fit nicely into a 9,900 square foot suite. I have made an offer to the landlord to lease this space conditionally upon the Council’s release of funds required for the lease to be held in trust until February 2019.

Features of 175 Bloor Street East, 6th Floor

 Lease begins February 2019.  The building is located on the South East corner of Bloor and Church Street, with parking and hotels in close proximity.  Ten-year lease with an option to extend in the last year, by a minimum of 5 years.  Landlord credit of $40.00 per square foot to renovate space.  Four months’ rent free starting September 2018 for renovations to occur.  Large windows with plenty of light. High-speed elevators.  The new office will house Council meetings on-site, giving greater flexibility for meeting dates and changes where needed.  Council will have a larger and dedicated space to call their own, including a kitchen, lounge area and storage for coats and suitcases.  While cost of extra space increases, costs of hotel meeting rooms and catering decreases.  The large meeting room will also accommodate discipline hearings, assessor training, workshops, etc.  Plans include smaller meeting rooms for committee meetings or breakout rooms during hearings. (Two committees can be scheduled on the same day.)  Space allows for staffing growth as required in next 10 years.  Building has a medium sized meeting room on main floor that is available to tenants at no charge.  Building has large open space lobby that is being renovated in 2018.  Building is environmentally friendly.  Starbucks and Tim Horton’s are also tenants.

and

EL 2.3

“Permit planning that endangers the fiscal soundness of future years or ignores the building of organizational capacity for future years.”

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346

Rationale:

Compliance with this policy means that the decision to lease a new premise must consider the financial resources of the College and the future needs in terms of space for staff and Council activities.

I described the plans to include the future needs of staff and Council above. In considering financial capacity, I consulted the Ten-Year Financial Forecasting Report completed in 2015 by Hilborn LLP . Built into that report was the future relocation of the office and the forecasted costs are a close estimate to what our actual leasing costs will be at 175 Bloor St. E. This means that the leasing costs are in keeping with the College’s ten year financial plan.

In addition, my plan to house Council workshops and meetings at the new office will mean cost savings to what is currently being spent at hotels and catering. The plan will also accommodate discipline hearings. As an added bonus, Council will have greater flexibility in selecting dates to meet.

BUDGETARY IMPLICATIONS:

 A deposit of first and last month’s rent is required with the signing of the lease. ($89,253.61) This needs to be paid in June 2017 and will be held in trust until February 2019. It will then apply to the February and March rent. This money was not budgeted for in the 2017 budget and Council would have to approve the movement of money from the reserve fund in accordance with EL.2.4.5. The Registrar/CEO cannot use reserve funds without Council’s approval.  Renovations to 175 Bloor Street E. and moving costs will impact the 2018 budget. This was included in the ten-year financial forecast and will be budgeted into the 2018 budget.  Leasing in 2019 will be $44,160.68 per month. This was anticipated and included in the ten-year financial forecasting and does not jeopardize the financial security of the College.

Recommended Motion:

THAT Council permits the Registrar/CEO to access funds to the amount of $89,253.61 from the reserve fund allocated for Premises Relocation to secure the lease hold of 175 Bloor St. E.

MOVED: SECONDED:

VOTE

CARRIED: DEFEATED:

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346 AGENDA ITEM 5.1.7

BRIEFING NOTE WITH MOTION

To: Council From: Chair Date: June 16, 2017 Topic: Proposed Council Meeting and Workshop Dates 2018

From a recent survey of Council (Appendix 1), it was found that the majority of members prefer to gather on a Thursday and/or Friday. With that in mind, and giving due consideration to Toronto events, as well as Civic and major religious holidays, two proposed meeting schedules are being brought forward to Council.

Recommended Motions:

1. MOTION 1 THAT Council approves ‘Proposal 1’ for the 2018 Workshop and Meeting dates; or

MOVED: SECONDED:

CARRIED: DEFEATED:

2. MOTION 2 THAT Council approves ‘Proposal 2’ for the 2018 Workshop and Meeting dates. MOVED: SECONDED:

CARRIED: DEFEATED:

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346 AGENDA ITEM 5.1.7

2018 – COUNCIL MEETINGS AND WORKSHOPS

PROPOSED DATES

DATE – PROPOSAL 1 DATE – PROPOSAL 2 MEETING

Policy Governance Workshop 1 Friday, January 19, 2018 Friday, January 26, 2018 and Council Meeting (Election of Executive)

Thursday, March 8, 2018 Thursday, March 1, 2018 Policy Governance Workshop 2 Friday, March 9, 2018 Friday, March 2, 2018 Council Meeting

Thursday, May 31, 2018 Thursday, June 7, 2018 Policy Governance Workshop 3 Friday, June 1, 2018 Friday, June 8, 2018 Council Meeting

Thursday, September 20, 2018 Thursday, October 4, 2018 Policy Governance Workshop 4 Friday, September 21, 2018 Friday, October 5, 2018 Council Meeting

Thursday, December 6, 2018 Thursday, December 13, 2018 Policy Governance Workshop 5 Friday, December 7, 2018 Friday, December 14, 2018 Council Meeting

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346 Council Meeting Dates in 2018 AGENDA ITEM 5.1.7

APPENDIX 1 Q1 Would you have any interest in selecting different days of the week for Council Meetings or Workshops?

Answered: 20 Skipped: 0

Yes

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Answer Choices Responses

Yes 35.00% 7

No 65.00% 13

Total 20

Q2 Which combination of weekdays do you prefer the most?

Answered: 7 Skipped: 13

Yes

0 1 2 3 4 5 6 7 8 9 10

Monday / Tuesday Tuesday / Wednesday Wednesday / Thursday (no label) (no label) Total Weighted Average

Yes 14.29% 0.00% 71.43% 14.29% 0.00% 1 0 5 1 0 7 2.86

Q3 Thank you for participating in this survey 1 / 2 Council Meeting Dates in 2018 AGENDA ITEM 5.1.7

Answered: 4 Skipped: 16 APPENDIX 1

# Responses Date

1 I teach Mondays until 8:00 pm so that is my reason for not selecting Monday and Tuesdays 5/26/2017 11:45 AM

2 You are welcome, I hope it helped. To note, Thursday's and Friday's also work... 5/24/2017 4:00 PM

3 gladly 5/23/2017 6:20 PM

4 I prefer the same days so that I can have the weekend to reflect on what we talk about in the meeting 5/23/2017 5:25 PM

Q4 Please Provide Your Comments

Answered: 4 Skipped: 16

# Responses Date

1 The combination of days can easily be accommadated if I have enough notice. I will admit that at times Friday 5/24/2017 4:09 PM meetings were difficult driving wise on the highways.

2 It is important when selecting Council meeting dates not to conflict with other major events. Eg TFF. While it is 5/23/2017 10:33 PM impossible to know everything that is on in the city being aware of major events and dental meetings can reduce costs and congestion.

3 Fridays are the best days for meetings. 5/23/2017 6:20 PM

4 Thursday and Friday are the best dates that I and most of council had agreed were the best days for meetings 5/23/2017 5:20 PM

2 / 2 AGENDA ITEM 5.1.7 Appendix 2

2018 Calendar Year Civic and Religious Events, Toronto Toronto Christmas Market – Located in the Distillery District. Saturday, December 23, 2017 Runs Friday, Nov 17 – Dec 23, 2017 Monday, December 25, 2017 – Winter Break – Official 2018 Toronto School Board-designated Friday, January 5, 2018 Holiday dates Sunday, December 31, 2017 New Year’s Eve

Monday, January 1, 2018 New Year’s Day (Statutory Holiday)

Saturday, January 20-28, 2018 Toronto International Boat Show Winterlicious **projected dates** (Note: Restaurant bookings Saturday, January 27 – will be full this month as a result of the food event/menu Thursday, February 8, 2018 promotions. Must make all reservations 1 month prior) SuperBowl 52 (Minneapolis) – Televised event in Toronto, however restaurants/bars/supermarkets/retail/event spaces Sunday, February 4, 2018 will be busy this weekend and Sunday afternoon traffic will be congested. Tuesday February 13, 2018 Shrove Tuesday – last day before Lent

Wednesday, February 14, 2018 Ash Wednesday – first day of Lent

Wednesday, February 14, 2018 Valentine’s Day

Thursday, February 15, 2018 National Flag of Canada Day Chinese New Year (Note: Chinese businesses will be closed. Friday, February 16, 2018 There may be heavy traffic and some streets may be closed where Chinese New Year celebrations are held) Canadian International Autoshow – Metro Toronto Convention Friday, February 16-25, 2018 Centre (+20,000 people in attendance each day) Monday, February 19, 2018 Family Day (Statutory Holiday)

Friday, February 23, 2018 ODHA Meeting Date

Thursday, March 1, 2018 Purim – Jewish Holiday

Sunday, March 11, 2018 Daylight Savings begins – turn clocks forward AGENDA ITEM 5.1.7 2018 Calendar - Important Dates and Events, Toronto, Canada Appendix 2

March Break – Official 2018 Toronto School Board-designated Monday March 12-16, 2018 Holiday dates Friday, March 16-18, 2018 Toronto Comic Con 2018 **projected dates** (25,600 people)

Monday, March 19, 2018 St. Patrick’s Day

Friday, March 23, 2018 ODHA Meeting Date

Friday, March 30, 2018 Good Friday (Statutory Holiday)

Saturday, March 31, 2018 Passover – Jewish Holiday ending on April 7, 2018

April (dates TBD) NHL Playoff Hockey begins (**TBD by the Leafs next season**)

April (dates TBD) NBA Playoffs begin (**TBD by the Raptors next season**)

Sunday, April 1, 2018 Easter Sunday

Monday, April 2, 2018 Easter Monday

Sunday, April 8, 2018 Greek Orthodox Easter

Wednesday April 11, 2018 Yom Ha Shoah – Jewish Holocaust Remembrance Day

Friday, April 13, 2018 Isra and Mi’raj – Muslim Holiday involving a fast & prayers Yom Ha Atzmaut – Israel’s Independence Day. (Note: Speeches Thursday, April 19, 2018 from Political leaders and musical performances are often held publicly in downtown Toronto in open celebration) Friday, April 20, 2018 Joint ODHA/ CDHO Meeting Date Hot Docs International Film Festival (10 day event) **projected Friday, April 27, 2018 dates** Thursday, May 3, 2018 Lag B’Omer – Jewish Holiday

Sunday, May 13, 2018 Mother’s Day

Wednesday, May 16, 2018 Ramadan – Start of the month-long Muslim fast of Ramadan

Sunday May 20, 2018 Shavuot – Jewish Holiday

Monday, May 21, 2018 Victoria Day (Statutory Holiday)

Friday, May 25, 2018 ODHA Meeting Date

Continued on following page AGENDA ITEM 5.1.7 2018 Calendar - Important Dates and Events, Toronto, Canada Appendix 2

June (dates TBD) Stanley Cup and NBA Finals Pride Month in Toronto .**projected dates** (Note: Heavy tourism month, high pedestrian traffic, any hotels/ restaurants/event space bookings in Toronto for this month Friday, June 1- 24, 2018 must be made months in advance, expect downtown street closures, heavy crowds, noise all throughout month. Expect surge pricing from various vendors all month (restaurants/ hotels/Uber) Sunday, June 10, 2018 Laylat al-Qadr – Muslim Holiday

Friday, June 15, 2018 Eid-al-Fitr – End of the month-long Muslim fast of Ramadan

Sunday, June 17, 2018 Father’s Day

Thursday, June 21, 2018 National Aboriginal Day

Friday, June 22- July 1, 2018 TD Toronto Jazz Festival **projected dates** Pride Festival Weekend.**projected dates** (Note: Estimated Friday, June 22- 24, 2018 attendance over 1 million people) Sunday, June 24, 2018 Pride Parade **projected date**

Sunday, July 1, 2018 Canada Day

Monday, July 2, 2018 Canada Day (Additional Statutory Holiday) TD Salsa in Toronto Festival – 3-week cultural celebration, Tuesday, July 3 – July 27, 2018 ending with a 2-day“Salsa on St. Clair” street fest attracting hundreds of thousands of people with live music/dance/food Sunday July 3, 2018 Taste of Toronto Summerlicious **projected dates** (Note: Restaurant bookings Friday, July 6 – July 22, 2018 will be full this month due to this food event as well as the high tourism season. Must make all reservations a month prior) Friday, July 13, 2018 ODHA Meeting Date Honda Indy Toronto **projected dates** – Week long festival- like atmosphere featuring celebrities, live entertainment & Friday, July 13-15, 2018 interactive activities (Note: expect street closures, traffic, surge pricing, very loud noise) Sunday, July 22, 2018 Tisha B’av – Jewish Holiday

Continued on following page AGENDA ITEM 5.1.7 2018 Calendar - Important Dates and Events, Toronto, Canada Appendix 2

Caribana “Carribean Carnival”. Weekend-long parade & event spread across downtown Toronto.**projected dates** ( Note: Heavy tourism month, high pedestrian traffic, any hotels/ Friday, August 3-5, 2018 restaurants/event space bookings in Toronto for this month must be made months in advance. Expect downtown street closures, heavy crowds, noise all throughout month. Expect surge pricing from various vendors all month Rogers Cup – **projected dates** $3 MN Prestigious Tennis Saturday, August 4-12, 2018 Tournament Monday, August 6, 2018 Civic/ Provincial/ Terry Fox Day (Statutory Holiday)

Friday, August 11-13, 2018 Taste of the Danforth Greek Food Festival **projected dates** Canadian National Exhibition (CNE) – **projected dates** Friday, August 17, 2018 Annual 4-day fair, attracting 1.45 million visitors Wednesday, August 22, 2018 Eid-al-Adha – Muslim Holiday

Friday, August 24, 2018 ODHA Meeting Date Fan Expo Canada – 4-day Event at the Metro Toronto Thursday August 30 – Convention Centre with celebrity guests (130,000 attend September 2, 2018 each day)

Friday, August 31 – Monday, Toronto International Buskerfest – **projected dates** North September 3, 2018 America’s largest street performer festival for 4 days/nights.

Monday, September 3, 2018 Labour Day (Statutory Holiday)

TIFF FESTIVAL **projected dates** Heavy tourism month, high pedestrian traffic, any hotels/restaurants/event space bookings in Toronto for this month must be made months in advance. Thursday, September 6 -15, 2018 Expect downtown street closures, heavy crowds, noise all throughout 10-day event. Expect surge pricing from various vendors all month. Sunday September 9 – Saturday CLEAR Conference September 15, 2018 Monday, September 10, 2018 Rosh Hashanah –Jewish New Year

Wednesday, September 12, 2018 Muharram – Islamic New Year in Canada Yom Kippur – Jewish Day of Atonement Involving an all-day fast Wednesday, September 19, 2018 and prayers

Continued on following page AGENDA ITEM 5.1.7 2018 Calendar - Important Dates and Events, Toronto, Canada Appendix 2

Monday, September 24, 2018 Sukkot – Jewish Holiday ending on September 30, 2018

Friday, September 28, 2018 ODHA Meeting Date

Friday, September 28-29, 2018 Toronto Oktoberfest **projected date** Nuit Blanche – An all-night contemporary art event that takes Saturday, September 29, 2018 place outdoors from sunset to sunrise, spread across various locations throughout downtown Toronto Monday October 1 – Sunday CNAR Conference October 7, 2018 Monday, October 1, 2018 Shmini Atzeret – Jewish Holiday

Tuesday, October 2, 2018 Simchat Torah – Jewish Holiday

Monday, October 8, 2018 Thanksgiving Day (Statutory Holiday)

Friday, October 12, 2018 Joint ODHA/ CDHO Meeting Date Halloween (Note: Traffic congestion starts building early to mid- day as parents pick children up earlier from school. Additional Wednesday, October 31, 2018 cars on the road leaving offices/schools early in preparations for evening festivities. Supermarkets/Retail shops will be busy) All Saints’ Day (Note: Not a Public Holiday, but most Unions try Thursday, November 1, 2018 not to schedule events around this holiday) Sunday, November 4, 2018 Daylight Saving Ends – Turn Clocks Back Diwali – Joyous Hindu Holiday known as the “Festival of Lights” Monday, November 5, 2018 (Note: there may be traffic congestion and parking places full in areas where events held to celebrate Diwali) Sunday, November 11, 2018 Remembrance Day

Friday, November 16, 2018 ODHA Meeting Date

Sunday, November 18, 2018 Santa Claus Parade **projected date** Prophet’s Birthday – Muslim Holiday (Note: Parades will cause Wednesday, November 21, 2018 traffic congestion throughout many parts of Toronto) First Sunday of Advent –Marks the start of the Christian year in Sunday, December 2, 2018 Western Christianity Hannukah – Jewish Festival of Lights ending on December 10, Monday, December 3, 2018 2018

Continued on following page AGENDA ITEM 5.1.7 2018 Calendar - Important Dates and Events, Toronto, Canada Appendix 2

Monday, December 24, 2018 Christmas Eve

Tuesday, December 25, 2018 Christmas Day (Statutory Holiday)

Wednesday, December 26, 2018 Boxing Day (Statutory Holiday)

Monday, December 31, 2018 New Year’s Eve

Tuesday January 1, 2019 New Year’s Day (Statutory Holiday)

Continued on following page AGENDA ITEM 5.1.7 2018 Calendar Appendix 3

January 2018 February 2018 March 2018 April 2018 S M T W T F S S M T W T F S S M T W T F S S M T W T F S 1 2 3 4 5 6 1 2 3 1 2 3 1 2 3 4 5 6 7 7 8 9 10 11 12 13 4 5 6 7 8 9 10 4 5 6 7 8 9 10 8 9 10 11 12 13 14

14 15 16 17 18 19 20 11 12 13 14 15 16 17 11 12 13 14 15 16 17 15 16 17 18 19 20 21 21 22 23 24 25 26 27 18 19 20 21 22 23 24 18 19 20 21 22 23 24 22 23 24 25 26 27 28 28 29 30 31 25 26 27 28 25 26 27 28 29 30 31 29 30

May 2018 June 2018 July 2018 August 2018 S M T W T F S S M T W T F S S M T W T F S S M T W T F S 1 2 3 4 5 1 2 1 2 3 4 5 6 7 1 2 3 4 6 7 8 9 10 11 12 3 4 5 6 7 8 9 8 9 10 11 12 13 14 5 6 7 8 9 10 11

13 14 15 16 17 18 19 10 11 12 13 14 15 16 15 16 17 18 19 20 21 12 13 14 15 16 17 18 20 21 22 23 24 25 26 17 18 19 20 21 22 23 22 23 24 25 26 27 28 19 20 21 22 23 24 25 27 28 29 30 31 24 25 26 27 28 29 30 29 30 31 26 27 28 29 30 31

September 2018 October 2018 November 2018 December 2018 S M T W T F S S M T W T F S S M T W T F S S M T W T F S 1 1 2 3 4 5 6 1 2 3 1 2 3 4 5 6 7 8 7 8 9 10 11 12 13 4 5 6 7 8 9 10 2 3 4 5 6 7 8

9 10 11 12 13 14 15 14 15 16 17 18 19 20 11 12 13 14 15 16 17 9 10 11 12 13 14 15 16 17 18 19 20 21 22 21 22 23 24 25 26 27 18 19 20 21 22 23 24 16 17 18 19 20 21 22 23 24 25 26 27 28 29 28 29 30 31 25 26 27 28 29 30 23 24 25 26 27 28 29 30 30 31

*statutory holidays marked in red AGENDA ITEM 5.1.8

Governance Process Policies – Version 2.1

GOVERNANCE PROCESS POLICIES

4. Global Governance Process

4.1 Governing Style 4.2 Council Job Contributions 4.3 Council Planning Cycle and Agenda Control 4.4 President’s Role 4.5 Vice-President’s Role 4.6 Council Committee Principles 4.7 Executive Committee 4.8 Ownership Linkage Committee 4.9 Registrar/CEO Transition Committee 4.10 Council and Committee Expenses 4.11 Council Code of Conduct 4.12 Investment in Governance 4.13 Governance Succession Planning 4.14 Council Linkage with Ownership 4.15 Special Rules of Order 4.16 In-Camera Sessions 4.17 Handling Operational Complaints

4. GLOBAL GOVERNANCE PROCESS The purpose of the Council, on behalf of the public of Ontario, is to see to it that the College of Dental Hygienists of Ontario achieves appropriate results for the appropriate people at an appropriate cost, as specified in Council’s Ends policies, while avoiding unacceptable actions and situations.

Version 2.1 (April 25, 2017) – Pending Council Review and Approval (June 2017) - Page 1 AGENDA ITEM 5.1.8

Governance Process Policies – Version 2.1

4.1 GOVERNING STYLE The Council will exemplify excellence and integrity by governing with an emphasis on outward vision, commitment to obtaining ownership input, encouragement of diversity in viewpoints, strategic leadership, clear distinction of Council and staff roles, collective decisions, and a proactive, future focus. This means the Council will not be preoccupied with the present or past, or with internal, administrative detail. 4.1.1. The Council will cultivate a sense of group responsibility. The Council, not the staff, will be responsible for excellence in governing. The Council will initiate policy, not merely react to staff initiatives. The Council will use the expertise of individual members to enhance the ability of the Council as a body to make policy, rather than to substitute their individual judgements for the group's values. 4.1.2. The Council will direct, control and inspire the organization through the careful establishment of broad written policies reflecting the owners’ values and perspectives. The Council’s major policy focus will be on the intended long-term results to be produced for beneficiaries outside the operating organization, not on the administrative means of attaining those results. 4.1.3. The Council will enforce upon itself whatever self-discipline is needed to govern with excellence. Self-discipline will apply to matters such as its code of conduct, policy-making principles, respect of roles, regular self-evaluation, and ensuring the continuity of governance capability. Although the Council can change its governance process policies at any time, it will scrupulously observe those currently in force. 4.1.4. The Council will not allow any member or committee of the Council to hinder or be an excuse for not fulfilling Council obligations.

Version 2.1 (April 25, 2017) – Pending Council Review and Approval (June 2017) - Page 2 AGENDA ITEM 5.1.8

Governance Process Policies – Version 2.1

4.2 COUNCIL JOB CONTRIBUTIONS

As an informed agent of the ownership, the Council’s specific job products are those that ensure appropriate organizational performance.

Accordingly, the Council has direct responsibility to create:

4.2.1. The link between the owners and the operational organization. 4.2.2. Written governing policies that address the broadest levels of all organizational decisions and situations. 4.2.2.1. Ends: what good or benefit the organization is to achieve, for which people, at what worth. 4.2.2.2. Executive Limitations: Constraints on executive authority that establish the boundaries of prudence and ethics within which all executive activity and decisions must take place. 4.2.2.3. Governance Process: Specification of how the Council conceptualizes, carries out and monitors its own task. 4.2.2.4. Council-Registrar Delegation: How power is delegated and its proper use monitored, including the Registrar/CEO role, authority, and accountability. 4.2.3. Assurance of organizational performance through structured monitoring on Ends and Executive Limitations. 4.2.3.1. Continuity of the Registrar function. 4.2.3.2. Structured monitoring of the Registrar as outlined in Council-Registrar/CEO Delegation policies. 4.2.4. Operational decisions that the Council has prohibited the Registrar/CEO from making by its Executive Limitations policies. 4.2.4.1. Decisions regarding borrowing from financial institutions. [EL 2.4.3] 4.2.4.2. Decisions regarding loans of CDHO funds. [EL 2.4.4] 4.2.4.3. Decisions regarding use of long-term reserves. [EL 2.4.5] 4.2.4.4. Decisions regarding acquisition, encumbering or disposal of land or buildings. [EL 2.4.10] 4.2.4.5. Decisions regarding change of organizational name or corporate identity. [EL 2.5.12] 4.2.4.6. Decisions regarding submission of proposed amendments to the Act, Regulations or Bylaws. [EL 2.11.6]

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4.3 COUNCIL PLANNING CYCLE AND AGENDA CONTROL

To accomplish its job products with a governance style consistent with Council policies, the Council will follow an annual agenda which (a) completes a re-exploration of Ends policies annually and (b) continually improves Council performance through Council education and enriched input and deliberation. 4.3.1. The Council will convene a minimum of four meetings annually and will normally meet on a quarterly basis. The annual planning cycle is January 1 to December 31. 4.3.2. The Council shall maintain control of its own agenda by developing a multi-year cycle and an annual schedule that includes all elements of the Council’s work. Annually at its January/February meeting, the Council will plan its one-year goals and related meeting agendas. [See multi-year cycle at the end of this policy.] 4.3.2.1. Review of the Ends in a timely fashion which allows the Registrar/CEO to build a budget based on accomplishing a one-year segment of the Council’s most recent statement of long-term ends. 4.3.2.2. Linkage with the ownership to gain a representative mix of owner values, perceptions and expectations, prior to the above review. 4.3.2.3. Education related to Ends determination (for example, presentations relating to the external environment, demographic information, exploration of future perspectives which may have implications, presentations by advocacy groups and staff). 4.3.2.4. Content review of selected Executive Limitations, Governance Process and Council – Registrar Delegation policies, consistent with a multi-year schedule that includes all policies. 4.3.2.5. Self-evaluation of the Council’s own compliance with selected Governance Process and Council – Registrar Delegation policies, consistent with the schedule in the policy, GP 4.13 (Investment in Governance). 4.3.2.6. Documentation of monitoring compliance by the Registrar with Executive Limitations and Ends policies. Monitoring reports will be read in advance of the Council meeting, and discussion will occur only if Council members assess interpretations as unreasonable, identify non-compliance, or identify potential need for policy amendments. 4.3.2.7. Education about the process of governance. 4.3.3. Based on the annual schedule and specific Council-confirmed goals for the year ahead, the Council delegates to the Chair the authority to fill in the details of the meeting content. Potential agenda items shall be carefully screened. Screening questions shall include:  Clarification as to whether the issue clearly belongs to the Council or the Registrar.  Identification of what category an issue relates to - Ends, Executive Limitations, Governance Process, Council-Registrar Delegation.  Review of what the Council has already said in this category, and how the current issue is related.

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4.3.4. Throughout the year, the Council will attend to Required Approvals Agenda items as expeditiously as possible. When an item is brought to the Council via the Required Approvals Agenda, provided that compliance with all of the criteria in Executive Limitations has been demonstrated, the Council will not discuss the item prior to approval.

MULTI-YEAR CYCLE (Schedule - TBC)

Number Policy Content Review Yr. 1 (2017-8) Yr. 2 (2018-9) Yr. 3 (2019-20) Yr. 4 (2020-1) E 1 Global End June E 1.1 Safe High Quality Professional Practice June E 1.2 Access to Regulatory Process Effectiveness June E 1.3 Health System and Public Policy Influence June EL 2 Global Executive Constraint December EL 2.1 Treatment of the Public and Registrants January EL 2.2 Treatment of Staff June EL 2.3 Planning March EL 2.4 Financial Condition and Activities March EL 2.5 Protection of Assets March EL 2.6 Investment January EL 2.7 Compensation and Benefits June EL 2.8 Communication and Support to the Council September EL 2.9 Ethical Behaviour June EL 2.10 Development of Standards Governing Practice December EL 2.11 Amendments to the Act or Bylaws December CRD 3 Global Council-Registrar Delegation December CRD 3.1 Unity of Control June CRD 3.2 Accountability of the Registrar/CEO December CRD 3.3 Delegation to the Registrar/CEO December CRD 3.4 Monitoring Registrar/CEO Performance September September CRD 3.5 Registrar/CEO Compensation September September CRD 3.6 Registrar/CEO Succession January CRD 3.7 Registrar/CEO Termination January GP 4 Global Governance Commitment December GP 4.1 Governing Style June GP 4.2 Council Job Contributions March GP 4.3 Council Planning Cycle & Agenda Control January GP 4.4 President’s Role March GP 4.5 Vice-President’s Role March GP 4.6 Council Committee Principles June GP 4.7 Executive Committee December GP 4.8 Ownership Linkage Committee June GP 4.9 Registrar/CEO Transition Committee January GP 4.10 Council and Committee Expenses December December December December GP 4.11 Council Code of Conduct January January January January GP 4.12 Investment in Governance March

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Number Policy Content Review Yr. 1 (2017-8) Yr. 2 (2018-9) Yr. 3 (2019-20) Yr. 4 (2020-1) GP 4.13 Governance Succession Planning March GP 4.14 Council Linkage with Ownership June GP 4.15 Special Rules of Order September GP 4.16 In-Camera Sessions December GP 4.17 Handling Operational Complaints March Goal-setting and Yearly Agenda Planning and Review Jan; June Jan; June Jan; June Jan; June Ownership Linkage Activities Jan. to Jan. to Jan. to June Jan. to June; June; June Council Education Feb., May, Feb., May, Feb., May, Feb., May, June June Environmental Scan Sept. Sept. Sept. Sept. CEO Compensation Decision June June June June Selection of Auditor January January January January New Council Member Orientation Jan. – Mar. Jan. – Mar. Jan. – Mar. Jan. – Mar. [add other annual or periodic decisions, e.g., tenders for auditor]

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ANNUAL AGENDA –BASED ON YEAR 1 (2017-18) - TBC Month Planned Linkage with Council Education Ends Governance Process & Council- Executive Monitoring CEO & Council Self- Owners Decisions Registrar Delegation Decisions Limitations Evaluation** Decisions January Develop ownership Council Education plan • Elect Executive: President, Content Review EL Self-Evaluation GP 4.3 Council Planning & linkage plan for the year Vice-President + 3 members 2.1 Treatment of Agenda Control + GP 4.11 Council Code of • Appoint Cttee members Public and Conduct • Annual goals & agenda plan Registrants • Content review GP 4.3 Council Planning & Agenda Control + GP 4.11 Council Code of Conduct March Discussion of results from • Content Review (as per Content Review EL Monitor EL 2.4 FC&A linkage activities schedule on p 6) – none in 2.3 Planning Monitor E-1, E1.1, E1.2, E1.3 Identify further ownership 2017-18 Self-Evaluation CRD or BMD (same policies linkage information • Appointment of auditor as Content Review) none in 2017-18 needed May Discussion of additional e.g. Presentation by • Content Review GP 4.8 Content Review EL Monitor EL 2.4 FC&A; EL-2.2 Treatment of owner information expert on future of the Ownership Linkage Committee 2.2 Treatment of Staff collected since March industry + GP 4.14 Council Linkage with Staff Monitor E-1, E1.1, E1.2, E1.3 (outside of meeting) Ownership Self-Evaluation GP 4.8 Ownership Linkage • Performance Evaluation Committee + GP 4.14 Council Linkage with • Registrar/CEO compensation Ownership September Discussion of additional Environmental Scan • Content Review CRD 3.4 Monitor EL 2.4 FC&A; EL 2.1 Treatment of owner input from CEO Monitoring Registrar Public & Registrants Performance + CRD 3.5 Self-Evaluation CRD 3.4 Monitoring Registrar Compensation + Registrar Performance + CRD 3.5 Registrar • GP 4.10 Council & Committee Compensation + GP 4.9 Perf. Appraisal Expenses (biannual) Cttee + GP 4.10 Council & Committee Expenses December Determine Council Final review • Content Review GP 4.7 Content Review (as Monitor EL 2.4 FC&A; EL2.3.3-2.3.8 education needs for the of Ends Executive Committee per p.5-6) none in Planning following year Policies • Governance Budget 2018-19 Self-evaluation GP 4.7 Executive • Determine max. bonus Committee available to Registrar comp.

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4.4 PRESIDENT’S ROLE

The President (Chief Governance Officer), a specially empowered member of the Council, assures the integrity of the Council’s process.

4.4.1. The assigned result of the President’s job is that the Council behaves consistently with its own rules and those legitimately imposed upon it from outside the organization. 4.4.1.1. Meeting discussion content will include only those issues that, according to Council policy, clearly belong to the Council to decide or monitor. 4.4.1.2. Information that is neither for monitoring performance nor for Council decisions will be avoided or minimized and always noted as such. 4.4.1.3. Deliberation will be timely, fair, orderly and thorough, but also efficient and kept to the point. 4.4.2. The authority of the President consists in making decisions that fall within topics covered by Council policies on Governance Process and Council–Registrar Delegation, with the exception of (a) employment or termination of a Registrar and (b) instances where the Council specifically delegates portions of this authority to others. The President is authorized to use any reasonable interpretation of the provisions in these policies.

4.4.2.1. The President is empowered to chair Council meetings with all the commonly accepted power of that position (e.g. ruling, recognizing). 4.4.2.1.1. In the event that both the President and Vice-President are unable to chair a Council meeting, the President has the authority to name an independent chair (non-Council member) to preside at the meeting. 4.4.2.2. The President has no authority to make decisions about policies created by the Council within Ends and Executive Limitations policy areas. Therefore, the Chair has no authority to supervise or direct the Registrar. 4.4.2.3. The President may represent the Council to outside parties in announcing Council- stated positions and in stating Chair’s interpretations within the area delegated to the Chair (consistent with policies in Governance Process and Council-Management Delegation areas). 4.4.2.4. The President may delegate this authority, but remains accountable for its use.

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4.5 VICE-PRESIDENT’S ROLE

The Vice-President shall, in the absence of the President, preside at all meetings of the Council and have such other duties and powers as the Council may specify.

4.5.1. The assigned result of the Vice-President’s job is that of being knowledgeable of the role and duties of the position of President.

4.5.2. The authority of the Vice-President consists in making decisions within assignments delegated by the President including those which are to facilitate effective Council process.

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4.6 COUNCIL COMMITTEE PRINCIPLES

Council committees, when used, will be assigned so as to reinforce the wholeness of the Council’s job and so as never to interfere with delegation from Council to Registrar.

4.6.1. Council committees are to help the Council do its job, never to help or advise the staff. Committees ordinarily will assist the Council by preparing policy alternatives and implications for Council deliberation. 4.6.2. Council committees may not speak or act for the Council except when formally given such authority for specific and/or time-limited purposes. Expectations and authority will be carefully stated in order not to conflict with authority delegated to the Registrar. 4.6.3. Council committees cannot exercise authority over staff. Because the Registrar/CEO works for the full Council, he or she will not be required to obtain approval of a Council Committee before an executive action. 4.6.4. This policy applies to any group that is formed by Council action, whether or not it is called a committee, and whether or not it includes Council members. It does not apply to committees formed under the authority of the Registrar/CEO. 4.6.5. All committee members shall abide by the same Code of Conduct as governs the Council. 4.6.6. Except as defined in written Terms of Reference, no Committee has authority to commit the funds or resources of the CDHO.

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4.7 EXECUTIVE COMMITTEE

The Executive Committee will assist the Council in its responsibilities to govern lawfully, effectively and efficiently. The committee products are to support the Council’s job, never to decide for the Council unless explicitly stated below.

Committee Products 4.7.1. As provided for in the Regulated Professions Act and CDHO Bylaws, decisions on behalf of the Council, only in urgent situations when it is not feasible to convene a quorum of the Council. 4.7.1.1. A report to the Council at its immediate next meeting of any decision made on behalf of the Council. 4.7.2. Alternatives and options for the Council’s consideration on any matter referred to the Committee by the Council. 4.7.2.1. Biannually in September, circulation for Council’s consideration at its December meeting, of possible changes in the Governance Process policy on Council and Committee Stipend and Expenses. [GP-10] 4.7.2.2. Annually by December, a Governance Budget, developed in accordance with GP- 4.12: Investment in Governance item 4.12.3.1 and projects on the Council Annual Work Plan. 4.7.2.3. Annually in January, suggestions for the make-up of Council committees, including non-Council members. 4.7.2.4. By December, a Council Education Plan developed from Council’s annual self- evaluation and ongoing governance process monitoring, and other needs identified by the Council related to Ends or Executive Limitations policy content reviews in accordance with GP 4.12: Investment in Governance. 4.7.3. Advice to the President on agenda development. 4.7.3.1. Assessment of the clarity, comprehensiveness and sufficiency of background material accompanying meeting agenda items. 4.7.4. Annually by June 30, conduct Registrar/CEO performance evaluation in accordance with CRD- 3.4 Monitoring Registrar/CEO Performance. 4.7.5. Annually following the report to Council of the Registrar Performance Summary, recommendation for Registrar compensation, in accordance with CRD-3.5 Registrar/CEO Compensation. 4.7.6. Within the first three months of appointment or election, assurance of the orientation of new Council Member consistent with GP-4.12.2.1 (inclusive of 4.12.2.1.1 and 4.12.2.1.2), GP- 4.12.2.2. 4.7.6.1. Assignment of Council Mentor to new Council Member.

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4.7.7. In the event of temporary short-term or long-term Registrar/CEO absence, a proposal for the Council on the period of time to continue temporary provision of operational management [CRD 3.6.2; CRD 3.6.10] 4.7.7.1. In the event of a temporary Registrar/CEO absence exceeding thirty (30) days, a proposal for the Council’s consideration on options for compensation of any staff assuming an interim Registrar/CEO role. [CRD 3.6.6] 4.7.7.2. In the event that the role of Registrar/CEO is filled on an interim basis, a proposal for the Council on a communication plan for informing stakeholders. [CRD 3.6.7] 4.7.7.3. As required, suggestions for the make-up of the Registrar/CEO Transition Committee. 4.7.8. For use by future Executive Committees, a record of committee meeting minutes, and a package of current guidelines/tools/ templates. 4.7.8.1. The committee will circulate to the Council the minutes of any committee meeting held in the interim between Council meetings. Committee Authority 4.7.9. The committee’s authority enables it to assist the Council in its work, while not interfering with Council holism. 4.7.9.1. The committee has no authority to contravene or change Council policies, unless as specified in 4.7.1 there is an urgent to do so and it is not possible to convene a quorum of the Council. 4.7.9.2. The committee has authority to spend funds as required, in accordance with its Council approved budget, for meetings and other activities related to its deliverables. 4.7.9.2.1. The committee will meet four (4) times per year and may hold additional meetings as required. Meetings can be face-to-face or teleconference. 4.7.9.3. The committee has authority to use the Registrar/CEO and Executive Assistant to the Registrar/CEO for administrative support of its activities. 4.7.9.4. The committee has authority to use staff resource time normal for administrative support to assist with production of the Governance budget, production and circulation of meeting agenda and materials, and to document the budget assumptions as required for the committee to monitor the Governance budget. 4.7.9.5. The committee has the authority to delegate preparatory work for any of its product to one or more of its members. Whenever the committee delegates to two or more of its members, at least one member shall be a public member. 4.7.9.6. The committee has the authority to hold an executive session, i.e. to meet without the Registrar/CEO. 4.7.9.7. The committee does not have the authority to instruct the Registrar/CEO or any other staff member, other than to request support required in the conduct of its duties.

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Committee Composition and Tenure

4.7.9.8. The committee shall comprise the President, the Vice-President and three (3) additional members. All members are elected annually by Council members from among themselves. Of the five, three (3) will be professional members and two (2) will be public members. 4.7.9.9. The President shall serve as Committee Chair.

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4.8 OWNERSHIP LINKAGE COMMITTEE The Ownership Linkage Committee will assist the Council in fulfilling its responsibilities regarding connection with the owners. Committee Products 4.8.1. A current ownership linkage plan that enables constructive Council dialogue with owners related to Ends issues. 4.8.1.1. An initial ownership linkage plan provided to the Council for decision by [date]. 4.8.1.2. An evaluation of the effectiveness of the plan by [date] annually, with input from the Council. 4.8.1.3. An updated ownership linkage plan, annually by [date], with input from the Council. 4.8.1.4. An organized written presentation of information collected from groups within the ownership, in a format useful to the Council for Ends deliberations, by [date] annually Committee Authority 4.8.2. The Committee’s authority enables it to assist the Council in its work, while not interfering with Council holism. 4.8.2.1. The committee has no authority to change Council policies. 4.8.2.2. The committee has authority to spend funds as required, in accordance with its Council approved budget for meetings and other activities related to its deliverables 4.8.2.3. The committee has authority to use staff resource time normal for administrative support around meetings, as well as administrative support included in the Council’s ownership linkage plan. Committee Composition and Terms 4.8.3. The Committee’s composition shall enable it to function effectively and efficiently. 4.8.3.1. The Committee shall be composed of two public members and two professional members. 4.8.3.2. The committee chair shall be determined at the committee’s first meeting and selected by the committee from among its members. 4.8.3.3. Members shall be appointed annually.

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4.9 REGISTRAR/CEO TRANSITION COMMITTEE The Registrar Transition Committee will assist the Council in fulfilling its responsibilities regarding continuity of the Registrar/CEO function.

Committee Products: 4.9.1. The committee products are to support the Council’s job, never to decide for the Council unless explicitly stated below. 4.9.1.1. Upon appointment, for itself, a review of the Council’s policies. 4.9.1.2. Within the time-frame determined by the Council, for the Council’s review and approval, a profile of the desirable candidate, a description of the Registrar/CEO’s key roles, and timeframe for the hiring process including milestones for advertising, short-listing, interviewing and reference checks. 4.9.1.2.1. An opinion for the Council on engaging an outside firms specialized in non-profit management or executive recruitment, including firms’ proposed roles and the cost of engagement. 4.9.1.2.2. An opinion on the suitability of the current list of required qualifications for the Registrar/CEO:  Bachelor or post-graduate degree related to Dental Hygiene and/or relevant field  Four to seven years of related experience  Knowledge and experience with the health care and regulatory sectors  Strategic focus, proven leadership and management competencies and experience  Demonstrated ability to recruit, inspire, empower and retain competent staff and a commitment to professional development  Integrity, openness, and an ability to engender trust  Excellent communication and interpersonal skills  Bilingualism is considered an asset  Knowledge of Dental Hygiene profession is considered an asset 4.9.2. Within the time-frame determined by the Council, for the Council’s approval, a budget for the Registrar/CEO hiring process including costs for advertising, travel, outside search firms, legal and other direct expenses for search. 4.9.3. Throughout the search process, as the committee determines is appropriate, solicitation of input from key stakeholders including professional members and CDHO Staff. 4.9.4. Conduct or oversee the following search activities:  Selection and engagement of outside consultant(s) or firm(s).

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 Oversight of contracted consultant(s) or firm(s) supporting the Registrar/CEO search process.  Receipt and acknowledgement of applications.  Development of advertising including description of Registrar/CEO’s key roles.  Development of criteria to be used in short-listing candidates.  Development of interview format, questions and other selection techniques.  Scheduling and conduct of preliminary interviews with short-listed candidates. 4.9.5. For review and priority ranking by the Council, a list of not more than three (3) candidates along with supporting rationale and resumes. 4.9.6. Scheduling and conduct of interviews with preferred candidates, including if required by the Council, organization of presentations by the preferred candidates.  Reference checks for preferred candidate.  For the consideration of and approval by the Council, recommended candidate with rationale for choice along with results of reference checks.  Follow-up with unsuccessful candidates. 4.9.7. Upon achievement of milestones identified in executive search and transition plan, a written or oral update for the Council on the status and progress of the search. 4.9.8. For use by future Registrar/CEO Search Committees, record of search process, committee decisions and package of job profile, job posting, and criteria for short-listing, interview questions, and selection criteria.

Committee Authority 4.9.9. The committee’s authority enables it to assist the Council in its work, while not interfering with Council holism. 4.9.9.1. The committee cannot change or contravene Council policies, or instruct the incumbent Registrar/CEO or any staff member, other than to request information required in the conduct of its duties 4.9.9.2. The committee may use staff resource time normal for administrative support around meetings, as well as administrative support identified in the committee’s executive search plan. 4.9.9.3. The committee has authority to spend funds to accomplish its work, as approved by the Council. It has no authority to spend or commit organization funds in excess of those specifically allocated by the Council. 4.9.9.4. The Registrar/CEO Transition Committee does not have the authority to make any formal or informal announcements about the selection of the successful candidate.

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Committee Composition and Tenure 4.9.10. The committee’s composition shall comprise four current Council members of which two shall be public members and two shall be professional members. 4.9.11. The chair of the committee shall be selected at the committee’s firs meeting by the committee members from among themselves. 4.9.12. The committee tenure will end with Council’s appointment of a Registrar.

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4.10 COUNCIL AND COMMITTEE STIPEND AND EXPENSES

Council members shall be paid an honorarium and reimbursed for reasonable expenses incurred in the conduct of Council-authorized College business.

4.10.1. All remunerations for public members on CDHO’s Council will be governed by the guidelines issued by the Health Board Secretariat and are not covered in this policy. 4.10.2. The stipulations that follow apply to those persons who are: (a) Dental Hygienists duly elected to Council by the registrants of the College, (b) Dental Hygienists selected to serve on Council according to the bylaws, and (c) Dental Hygienists selected as non-Council members or in other capacities. 4.10.2.1. Remunerations for persons not covered above, or whose remuneration is to be calculated differently, will either have their remuneration outlined in the enabling motion passed by Council or through decision by the Executive Committee or at the discretion of the Registrar. Per Diem

4.10.3. A per diem is an honorarium in recognition of the contribution to CDHO and its registrants. This per diem is not a salary nor is it to be considered salary replacement. A T4 is issued for taxation purposes. 4.10.4. Daily per diem rates are set as follows:  Member of Council or Committee (basic) -$300.00  Chair of Committee -Member + 25%  President of Council -Member + 40%  Vice-President of Council -Member + 25% 4.10.4.1. The maximum claim for any one calendar day is one day’s per diem. 4.10.4.2. The supplemented rate for the Committee Chair can only be claimed when the individual is assuming the role of Chair at a committee meeting; it cannot be claimed when attending a meeting as a member of another committee or attending a Council meeting. 4.10.4.3. The supplemented rate for the Chair and Vice Chair roles is recognition for the extra responsibilities inherent in these roles including preparing the agenda, chairing the meeting, writing reports to Council and preparing information for the Annual Report. The President and Vice-President are reimbursed at the supplemented rate for Council and Executive Meetings and any other occasion when they act as an official representative of the College. 4.10.5. Per Diem is paid for attendance at any face-to-face meeting to conduct Council or Committee business. It is also paid for participating in properly constituted telephone or electronic meetings at the rate of one hour units, where one unit equals 1/8 day.

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4.10.5.1. A “day” means within a calendar date (12:01 a.m. – midnight). 4.10.5.2. The minutes of any meeting wherein a per diem may be claimed must record those in attendance and the times of Call to Order and Adjournment. These records will be the official base for per diem claims. 4.10.5.3. When a scheduled meeting is cancelled within five (5) business days of the meeting, a claim for one day’s per diem may be allowed at the discretion of the President. 4.10.6. Council members representing electoral districts may claim per diem and expenses for attendance at society meetings if pre-approved by the President. Approval is granted on a case by case basis. The Council member’s name must appear on the meeting agenda. 4.10.7. When a member is so authorized by Council or policy to represent the College, the regular per diem and expense stipulation will apply. Any additional honorarium, if offered, must be declined or endorsed over to CDHO; small non-monetary tokens of appreciation are exempted Preparation Time 4.10.8. An honorarium for approved preparation time, when approved, shall be paid on the follow basis: ¼ day = $25.00; ½ day = $50.00; 1 day = $100.0 4.10.8.1. Preparation time is paid at the discretion of the President. The President will inform the Registrar of any amounts approved at the time of approval. 4.10.8.1.1. Committee Chairs must seek approval from the President prior to the meeting day for preparation time. The Chair is responsible to advise Committee members of the approved amount of preparation time that may be claimed. Travel Time 4.10.9. Travel time will be paid when a Council member must travel on the day before or after the day of the meeting and travel duration to the meeting site from the Council member’s home exceeds two (2) hours. Travel must not be arranged for the day before or after the meeting if same day travel to the meeting is possible. 4.10.10. Travel time cannot be claimed if travel is undertaken early or postponed for personal reasons. 4.10.11. Payment of travel time, regardless of duration is based on the basic per diem, pro-rated to actual time traveled to a maximum of four (4) hours per meeting. Expenses 4.10.12. Travel expenses eligible to be reimbursed:  Air: Economy class round trip by the most direct route or most feasible under the circumstances, including ground transportation from home or office to and from the airport.  Train: VIA 1 class round trip by the most direct route including ground transportation from home or office, to and from the railway station.

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 Mileage: 50 cents per kilometre as long as the total mileage to be claimed does not exceed (a) or (b) above without prior approval of the Registrar.  Parking and taxi expenses are reimbursed as per receipt. Receipt for taxi can include gratuity.  Public Transportation is reimbursed as per standard fare. No receipt is required. 4.10.13. Expenses for hotel accommodation will be reimbursed when the distance from the home residence to the meeting location exceeds 45 km. Council members are expected to make their own reservations and secure the best rate possible. Reimbursement is based on single room rate to $250.00 per night (excluding taxes) maximum. 4.10.13.1. The President may authorize reimbursement of hotel expense in the event of consecutive days of required meeting attendance regardless of the distance to the meeting from home residence. 4.10.13.2. Hotel accommodation will not be reimbursed for the night before an afternoon meeting unless pre-authorized by the President. 4.10.13.3. The President may pre-approve reimbursement of hotel accommodation in excess of the $250 per night maximum in the event accommodation is unavailable at less than the maximum, or in the event of special circumstances, e.g. meetings held in cities where hotel rates exceed those in Toronto. 4.10.14. Expenses for meals will be reimbursed at the actual cost to a daily maximum of $90 where the maximum total amount for breakfast and lunch is $40.00, and the maximum amount for dinner is $50.00. Receipts inclusive of tax and tip must be submitted with the expense claim form. Expenses for alcoholic beverages will not be reimbursed. 4.10.15. Expenses incurred for gratuities will be reimbursed to a maximum of 10.00 per day for expenses other than gratuities included in receipts for meals and taxis. 4.10.16. Incidental receipted expenses for telephone, fax, postage, photocopying, courier, etc. and costs for related College business are eligible for reimbursement. 4.10.17. Non-refundable expenses incurred in advance of a cancelled meeting may be claimed for reimbursement but must be accompanied by receipts and a detailed explanation. 4.10.18. Individually purchased travel insurance is not eligible to be reimbursed. The College carries travel insurance that covers those traveling on CDHO official business including loss of life and disability insurance. 4.10.19. Expenses being reimbursed by another source shall not be eligible for reimbursement by the College. Claims 4.10.20. Receipts are required in support of all expense claims. Claimants are expected to be cost conscious at all times.

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4.10.21. Claims are to be submitted within a reasonable time following the dates of the events upon which the claims are based. All claims for a fiscal year must be received for processing within 15 days of the close of that fiscal year, i.e. December 15th.

4.10.22. Claims will be processed within 30 days; same day payment is not to be expected. Direct deposit is available if Individuals submit a voided cheque.

4.10.23. A member may apply to the Registrar for consideration of early reimbursement or an advance of funds to be used towards travel. Per diems will not be paid in advance. The Registrar’s decision will be at her/his discretion and is final.

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4.11 COUNCIL CODE OF CONDUCT

Council members shall conduct themselves in a manner which is ethical, business-like and lawful and upholds the reputation of the CDHO. This includes proper use of authority and appropriate decorum when acting as Council members. Council Members shall treat one another and staff members with respect, co-operation and a willingness to deal openly on all matters. 4.11.1. Council Members must have loyalty to the ownership that supersedes any loyalties to staff, other organizations or any personal interest as a consumer. 4.11.2. Council Members are accountable to exercise the powers and discharge the duties of their office honestly and in good faith. Members shall exercise the degree of care, diligence and skill that a reasonably prudent person would exercise in comparable circumstances. 4.11.3. Council Members must avoid a conflict of interest with respect to their fiduciary responsibility. 4.11.3.1. There must be no self-dealing or any conduct of private business or personal services between any Council Member and the organization, except as procedurally controlled to assure openness, competitive opportunity, and equal access to otherwise “inside” information. Council Members will annually disclose their involvements with other organizations, with vendors, or any associations that might be or might reasonably be seen as being a conflict. 4.11.3.2. When the Council is to decide upon an issue, about which a Council member has an unavoidable conflict of interest, that Council member shall absent herself or himself without comment from not only the vote, but also from the deliberation. 4.11.3.3. Council members will not use their Council position to obtain employment in the organization for themselves, family members, or close associates. Should a Council member wish to apply for employment, he or she must resign from the Council and not apply before a date twelve (12) months from the effective date of their resignation. 4.11.3.3.1. Family members are spouse, life partner, child, parent, in-law, live-in grandparent or sibling. 4.11.4. Council Members will keep confidential all information to which they become party in the course of their duties as required by the Regulated Health Professions Act 1991 sec 36(1) and the Health Professions Procedural Code (Schedule 2 of the RHPA 1991). 4.11.4.1. All matters that are before a Council meeting are confidential unless they have been determined not to be confidential by the Chair or they have been disclosed at a public Council meeting. 4.11.4.2. Council Members will respect the confidentiality appropriate to issues of a sensitive nature. 4.11.4.3. Council members will not make or transmit an audio or visual recording of any close portion of any meeting without prior approval of the meeting Chair.

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4.11.5. Council members will not share or post information on social media that compromises the organization or the Council’s policy or public image. 4.11.6. Council Members will not attempt to exercise individual authority over the organization. 4.11.6.1. When interacting with staff, Council members must recognize that individual Council members have no authority to instruct or evaluate employees, and no authority to insert themselves into employee operations. 4.11.6.2. The President or designate is the only person authorized to speak to the media on behalf of the Council. Council members shall not presume to speak for the Council when interacting with the public. Council members shall only report actual Council policy decisions when interacting with the public. 4.11.7. Council Members shall be familiar with the incorporating documents, relevant legislation and regulations, by-laws, and policies of the organization as well as the rules of procedure and proper conduct of a meeting so that any decision of the Council may be made in an efficient, knowledgeable and expeditious fashion. 4.11.8. Council Members will be properly prepared for, and actively participate in Council deliberation. 4.11.9. Council members will support the legitimacy and authority of Council decisions, regardless of the member’s personal position on the issue. 4.11.10. Council Members shall regularly take part in educational activities that will assist them in carrying out their responsibilities. 4.11.11. Council Members are expected to attend all meetings and to be punctual. 4.11.11.1. Council Members who are unable to attend a meeting shall inform the President and the Registrar/CEO of their expected absence and the reason for it. 4.11.12. Council Members shall be prepared to serve on committees and complete individual tasks as assigned by the Council from time to time. 4.11.13. A Council Member who is alleged to have violated the Code of Conduct shall be informed in writing and shall be allowed to present his or her views of such alleged breach at the next Council meeting. The complaining party must be identified. If the complaining party is a Council Member, he or she and the respondent Council Member shall absent themselves from any vote upon resolution of censure or other action that may be brought by the Council. Council Members who are found to have violated the Code of Conduct may be subject to censure which may include removal from a Council meeting, suspension of eligibility for committee membership or disqualification as a Council member. 4.11.14. Council Members will sign every January their agreement to abide by this policy in its entirety.

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4.12 INVESTMENT IN GOVERNANCE Consistent with its commitment to excellence in governance, the Council will invest in its governance capacity. 4.12.1. Candidates for Council membership shall be provided with information that clearly outlines the role of the Council, the necessary qualifications and the Council’s expectations of Council members. The Ontario government’s Public Appointments Officer will be provided with information that clearly outlines the Council’s approach to governance and desirable characteristics of Council Members. 4.12.2. Council skills, methods and supports will be sufficient to assure governing with excellence. 4.12.2.1. Prior to their first Council meeting, new Council members will receive a thorough orientation to ensure familiarity with t the Council’s process of governance, the organization’s issues and structure. 4.12.2.1.1. The orientation will familiarize new Council members with the Registrar performance evaluation process as well as the Registrar’s reasonable interpretation (measureable conditions supported by a rationale) of a one-year segment of progress towards achievement of the Council’s Ends policies as presented in December. 4.12.2.1.2. An assigned Council Mentor will support an ongoing orientation a new Council Member. Upon assignment, the Mentor will make an initial introductory contact with the new Council Member; meet with the new Member following the first new Council Member orientation; meet in person prior to the new Member’s first Council meeting; and meet electronically or by telephone between the first and second Council meeting. The goal of the mentoring is ensure new Member familiarity with Council policies, processes and ensure new Members are able to easily get their questions answered. 4.12.2.2. New Council members shall receive an orientation to the operational organization including CDHO history, office facilities, staff and volunteer structure, regulatory processes, programs and services, Council communication tools and web site access. 4.12.2.3. Council members shall have ongoing opportunity for continued training and education to enhance their governance capabilities. 4.12.2.4. Outreach mechanisms will be used as needed to ensure that the Council’s ability to listen to owner viewpoints. 4.12.2.5. Outside monitoring assistance will be arranged so that the Council can exercise sufficient control over organizational performance. This includes, but is not limited to fiscal audit. 4.12.3. Costs will be prudently incurred, though not at the expense of endangering the development and maintenance of superior governance capability.

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4.12.3.1. The Council will establish annually prior to the budget cycle and be accountable for an annual budget for its own governance functions, which shall include funds for Council and Council committee meeting costs, Council education, Council member attendance at conferences and conventions, orientation, costs of fiscal audit and any other outside monitoring assistance required, and costs of methods such as focus groups, surveys and opinion analyses to ensure the Council’s ability to listen to owner viewpoints and values.

4.12.4. The Council will establish governance means policies that will serve as measurable standards against which the Council’s performance can be evaluated.

4.12.4.1. The Council will evaluate and discuss the Council’s process and performance at each meeting. 4.12.4.2. Under the leadership of the Chair, at least annually the Council will conduct a self- evaluation. As a result of this evaluation, the Council will establish a governance action plan for improvement of identified areas 4.12.4.3. The Council will monitor its adherence to its own Governance Process and Council- Registrar Delegation policies regularly. Upon the choice of the Council, any policy can be monitored at any time. However, at minimum, the Council will monitor its own adherence to them, according to the following schedule:

Number Policy Year 1 Year 2 Year 3 Year 4 2017 2018 2019 2020 2021 CRD 3 Global Council-Registrar Delegation Dec. CRD 3.1 Unity of Control Jun. CRD 3.2 Accountability of the Registrar/CEO Dec. CRD 3.3 Delegation to the Registrar/CEO Dec. CRD 3.4 Monitoring Registrar/CEO Performance Jun. Sept. Sept. CRD 3.5 Registrar/CEO Compensation Sept. Sept. CRD 3.6 Registrar/CEO Succession Jan. CRD 3.7 Registrar/EO Termination Jan. GP 4 Global Governance Process Dec. GP 4.1 Governing Style Jun. GP 4.2 Council Job Contributions Mar. GP 4.3 Council Planning Cycle and Agenda Control Jan. GP 4.4 President’s Role Mar. GP 4.5 Vice-President’s Role Mar. GP 4.6 Council Committee Principles Jun. GP 4.7 Executive Committee Dec. GP 4.8 Ownership Linkage Committee Jun. GP 4.9 Registrar/CEO Transition Committee Jan. GP 4.10 Council and Committee Expenses Sept. Sept. Sept. Sept. Sept. GP 4.11 Council Code of Conduct Jan. Jan. Jan. Jan.

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GP 4.12 Investment in Governance Mar. GP 4.13 Governance Succession Planning Mar. GP 4.14 Council Linkage with Other Organizations Sept GP 4.15 Special Rules of Order Sept. GP 4.16 In-Camera Sessions Dec. GP 4.17 Handling Operational Complaints Mar.

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4.13 GOVERNANCE SUCCESSION PLANNING

The Council shall adopt a proactive approach to soliciting for positions on the Council candidates with the characteristics, expertise and commitment that are consistent with the Council’s commitment to excellence in governance.

4.13.1. The Council shall strive to solicit candidates who have characteristics that will enable them to govern, not to manage.  Commitment to linking with the ownership. Understanding that they stand in for an ownership of diverse people; willing to actively seek to access and understand that diversity.  Ability to think in terms of systems and context — to see the big picture.  Interest in and capability to discuss the values underlying the actions taken in the organization, and to govern through the broader formulations of these values.  Willingness to delegate the operational detail to others.  Ability and willingness to deal with vision and the long term, rather than day-to-day details.  Ability and willingness to participate assertively in deliberation, while respecting the opinions of others.  Willingness and commitment to honour Council decisions.  Commitment not to make judgments in the absence of previously stated criteria. 4.13.2. The Council shall promote interest in candidates that are skilled in one or more of the following areas of professional expertise:  Dental hygiene  Health care sector  Business: small business, entrepreneurship, corporate  Academia, research or education  Communication, finance, human resources, information technology, law, marketing, , public relations  Non-profit leadership: executive or governance

4.13.3. The Council shall strive to solicit candidates who believe in the value of protecting the public interest through regulation of health professionals and understand the role of the CDHO.

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4.14 COUNCIL LINKAGE WITH OWNERSHIP The “moral owners” of the College of Dental Hygienists of Ontario (CDHO) are defined as the public of Ontario. The Council shall be accountable for the CDHO to its owners as a whole. The Council shall act on behalf of the owners as a whole, rather than being advocates for specific geographic areas or interest groups.

4.14.1. The privilege of self-governance has been granted to College of Dental Hygienists of Ontario (CDHO) by the Regulated Health Professions Act, 1991, S.O. 1991 C. 18. This legislation requires the CDHO to carry out its activities and govern registered Dental Hygienists in a manner that protects and serves the public interest. As the representative of the owners, the Council is obligated to identify and know what the owners want and need. 4.14.2. When making governance decisions, Council Members shall maintain a distinction between their personal interest as “customers” of the College and their obligation to speak for others as a representative of the “owners” as a whole. As the agent of the owners, the Council is obligated to identify and know what the owners want and need. 4.14.3. The Council shall gather data in a way that reflects the diversity of the ownership. It shall meet with, gather input from, and otherwise interact with owners in order to understand the diversity of their perspectives. 4.14.3.1. The Council recognizes that in order to exercise the authority to self-govern the profession of Dental Hygiene that it must maintain a relationship with registrants as one sub-set of the overall moral ownership. Council shall, in obtaining perspectives from registrants, emphasize areas of public interest and avoid areas reflecting the profession’s self-interest. It shall take these perspectives into account when making decisions, provided always that the interests of the public are protected. 4.14.4. The Council may develop policy permitting the College to act as an advocate for the profession provided such action is consistent with the public interest. 4.14.5. The Council will establish and maintain a three-year ownership linkage plan, in order to ensure that the Council has intentional and constructive dialogue and deliberation with the owners, primarily around the organization’s Ends. The plan will include selection of representative owners for dialogue, methods to be used, and questions to be asked of the owners. The information obtained from this dialogue with owners will be used to inform the Council’s policy deliberations. 4.14.5.1. All Council members are accountable to the Council for participating in the linkage with owners as identified in the plan. 4.14.6. The Council will consider its ownership linkage successful if, to a continually increasing degree:  When developing or revising Ends, the Council has access to diverse viewpoints that are representative of the ownership regarding what benefits this organization should provide, for whom, and the relative priority of those benefits.  The owners are aware that the Council is interested in their perspective.  If asked, the owners would say that they have had opportunity to let the Council know their views.  The owners are aware of how the Council has used the information they provided.

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4.15 SPECIAL RULES OF ORDER

Council meetings will be conducted in an orderly, effective process, led and defined by the chair. 4.15.1. All by-law obligations respecting Council meetings must be satisfied. 4.15.2. Council meetings shall be called to order at the time specified in the notice of meeting and upon satisfaction of quorum. 4.15.3. Meeting order and decorum shall be maintained and all members treated with dignity, respect, courtesy, and fairness during discussion and debate and in all other respects. 4.15.4. Council members must keep their comments relevant to the issue under consideration. 4.15.5. Council meetings will be conducted at a level of informality considered appropriate by the chair, including that discussion of a matter may not occur prior to a proposal that action be taken on any given subject. 4.15.6. Proposals that the Council take action, or decide a particular matter, shall (unless otherwise agreed to by unanimous consent) be made by main motion of a Council member, discussed, and then voted on. Motions require a second to proceed to discussion and subsequent vote.

4.15.6.1. The chair of the Council may not to the same extent as any Council member, make motions, engage in debate, except to offer brief comments at the close of the debate, or vote on any matter to be decided, except in the case of a tie. 4.15.6.2. A motion to amend a main motion may be amended but third level amendments are out of order. 4.15.6.3. A motion to refer to a committee, postpone, or table, may be made with respect to a pending main motion, and if carried shall set the main motion (the initial proposal) aside accordingly. 4.15.7. Council members may speak to a pending motion on as many occasions, and at such length, as the chair may reasonably allow. 4.15.8. A vote on a motion shall be taken when discussion ends but any Council member may, during the course of debate, move for an immediate vote (close debate) which, if carried, shall end discussion and the vote on the main motion shall then be taken. 4.15.9. A majority vote will decide all motions before the Council excepting those matters in the bylaws which oblige a higher level of approval. 4.15.10. A motion to adjourn a Council meeting may be offered by any Council member or, on the conclusion of all business, adjournment of the meeting may be declared by the chair. 4.15.11. A Council member may request to have his or her vote on the record. 4.15.11.1. When further rules of order are to be developed by the Council, the Council will consider the [Robert’s Rules of Order Newly Revised or Standard code of Parliamentary Procedure or other authority] as a resource guide.

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4.16 IN CAMERA SESSIONS

In compliance with Regulated Health Professions Act 1991 Section 7(2), the Council may exclude the public from a meeting if it considers it necessary to protect the interests of the public or a person and the desirability of avoiding disclosure outweighs the desirability of public disclosure of the information. Council members shall maintain confidentiality respecting all discussions undertaken by the Council in camera. 4.16.1. Items discussed in-camera are items of a confidential nature, disclosure of which could reasonably be expected to be harmful to:  Personal privacy of staff or clients, including human resource issues;  Individual or public safety;  Business interests of a third party;  Financial or economic interest of the Council and its affiliates, including local public body confidences;  The integrity and security of computer systems;  The integrity and protection of security systems. 4.16.2. Also to be considered in-camera are:  Policy advice as provided in the [name of legislation relating to freedom of information and protection of privacy];  Litigation matters and solicitors’ legal advice. 4.16.3. Items that may be considered in-camera include:  Planning sessions involving the whole Council in the development of a position or a policy;  Internal governance matters of the Council;  Property acquisitions or disposals;  Drafts of resolutions, bylaws or other legal instruments such as rules and regulations. 4.16.4. The Council determines attendance at in-camera sessions. 4.16.4.1. All Council members with the exception of those who are deemed to be in conflict of interest as defined in GP 4.12 shall be included. 4.16.4.2. The Registrar/CEO shall attend all in-camera meetings, except where issues of his/her performance or compensation are being discussed, at which time he/she may be excluded from the proceedings at the direction of the President. 4.16.4.3. Senior staff will be included in in-camera discussions at the discretion of the Registrar/CEO, only with the permission of the President. They will normally be excluded only when issues of performance or remuneration of the Registrar/CEO are under discussion. 4.16.5. Except where prohibited by the privacy provisions of legislation, the Council shall rise and report in-camera resolutions to an open meeting of the Council. 4.16.6. Council committee meetings will be held in-camera.

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4.17 HANDLING OPERATIONAL COMPLAINTS

To ensure that the Council fulfills its accountability to the ownership, but does not interfere in matters it has delegated to the Registrar/CEO, the following process shall be followed in the case of a Council member receiving a complaint regarding an operational matter.

4.17.1. The Council Member shall inquire if the proper internal communication protocol for registering concerns has been followed. If not, the individual shall be directed to the appropriate person, and the Council Member shall take no further action. 4.17.2. The Council Member shall not offer any evaluative comments or solutions. 4.17.3. If the internal protocol has been followed and the concern has not been resolved through that action, the Council Member shall explain to the individual that the Council has delegated certain responsibilities to the Registrar/CEO, and that the Council holds the Registrar/CEO accountable. Indicate that the Registrar/CEO will be asked to ensure that the matter is looked into and respond directly. 4.17.4. The Council Member shall ask the individual to contact him or her again if the matter has not been addressed within a reasonable time period. 4.17.5. The Council Member shall inform the Registrar/CEO or individual designated by the Registrar/CEO of the complaint, and request that it be handled.

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BRIEFING NOTE WITH MOTION

To: Council From: President Date: June 16, 2017 Topic: Policy Amendments

After a discussion of the intent of Executive Limitation Policies 2.4.2 and 2.5.8.3, the Executive determined that, subject to Council approval, these lower level policies would be rescinded. A recommendation is being brought to Council to rescind both policies; the rationale for the recommendation is provided beneath each policy statement.

EL 2.4.2:

“Shift funds between accounts unless the funds can be returned to the original account within [#days] without borrowing”

Rationale: The College receives the full year of operational funding from various annual fees from registrants and it is invested in a series of liquid investment instruments that mature at different times which mesh with the organization’s cash flow needs. The Council already limits the use of the long-term reserve which is the only other ‘account’ from which funds might be “borrowed”.

EL 2.5.8.3

“Make any expenditure of greater than $100,000 that was included in the initial financial plan for the year, which was assessed by the Council as compliant with the Executive Limitation on Planning, or exceed the originally budgeted cost for a capital purchase by more than ____ %. Orders shall not be split to avoid these criteria.”

Rationale: The statement is unnecessary as expending more funds than have been received in revenues to date already puts off limits unplanned expenditures or higher than budgeted capital expenses, unless they can be managed within the budget that was assessed as being compliant with the Executive Limitations on Planning.

www.cdho.org 69 Bloor Street East, Suite 300, Toronto ON M4W 1A9 t: 416-961-6234 f: 416-961-6028 tf: 1-800-268-2346

Recommended Motion:

THAT Council approve the deletion of EL 2.4.2 and EL 2.5.8.3 as these policies are not relevant in the CDHO context.

MOVED: SECONDED:

VOTE

CARRIED: DEFEATED:

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Executive Limitations Policies – Version 2.2

EXECUTIVE LIMITATIONS POLICIES

2. General Executive Constraint

2. GENERAL EXECUTIVE CONSTRAINT The Registrar/CEO shall not cause or allow any organizational practice, activity, decision or circumstance which is either unlawful, imprudent, or in violation of commonly accepted business and professional ethics.

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2.1 TREATMENT OF PUBLIC AND REGISTRANTS The Registrar/ CEO shall not cause or allow conditions, procedures or decisions related to the public, registrants, or those applying to be registrants, that are unsafe, disrespectful, or unnecessarily intrusive, or that are inconsistent with enforcement and application of the Regulated Health Professions Act and Code, the Dental Hygiene Act, Regulations under the Act, and any further Council interpretation of the Act in its Bylaws or Policies.

Further, without limiting the scope of the above statement by the following list, the Registrar/ CEO shall not: 2.1.1. Permit the public and registrants to be without easy access to clear information about the requirements and responsibilities of registrants. 2.1.2. Permit violation of public or registrant confidentiality and privacy, except where specific disclosure is required by legislation. 2.1.2.1. Use forms or procedures that elicit information for which there is no clear necessity. 2.1.2.2. Use methods of collecting, reviewing, storing or transmitting applicant, public or registrant information that inadequately protect against improper access to the information elicited. 2.1.3. Permit unfair, inconsistent, disrespectful or untimely response to individual or group comments or complaints. 2.1.4. Allow registrants to be without easily accessible, understandable information regarding what may be expected and what may not be expected from the services, standards and guidelines offered. 2.1.5. Allow the organization to be without all Statutory Committees required in legislation, or permit those Committees to operate inconsistently with requirements of the legislation and the organization’s bylaws. 2.1.6. Apply the legislation in a manner inconsistent with due process and the duty of procedural fairness. 2.1.7. Allow registrants to be without a process for effectively handling appeals. 2.1.7.1. Allow registrants to be unaware of the process for registering an appeal. 2.1.8. Allow registrants to be without the opportunity for timely input to decisions that affect them.

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Executive Limitations Policies – Version 2.2

2.2 TREATMENT OF STAFF

The Registrar/ CEO shall not cause or allow a workplace environment that is unfair, disrespectful, unsafe, or disorganized. Further, without limiting the scope of the above statement by the following list, the Registrar/ CEO shall not: 2.2.1. Allow staff to be without current, enforced, documentation that clarifies expectations and working conditions, provides for effective handling of grievances, and protects against wrongful conditions.

2.2.1.1. Permit staff to be without adequate protection from harassment and discrimination. 2.2.1.1.1. Discriminate unfairly against hiring persons living with exceptionalities which do not prevent fulfilment of job requirements. 2.2.1.1.2. Permit a workplace which is insufficient to accommodate staff living with exceptionalities. 2.2.1.2. Permit staff to be uninformed of the performance standards by which they will be assessed. 2.2.1.2.1. Neglect to undertake annual performance reviews that are based on performance standards.

2.2.2. Discriminate against any staff member for non-disruptive expression of dissent. 2.2.3. Allow staff to be unprepared to deal with emergency situations. 2.2.4. Permit staff to be without an appropriate orientation and reasonable opportunity for professional growth and development. 2.2.5. Allow staff to be unacquainted with the Registrar/CEO’s interpretation of their protections under this policy. 2.2.5.1. Prohibit a staff member with a complaint against the Registrar/CEO from appealing to Council.

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2.3 PLANNING The Registrar/CEO shall not permit planning that allocates resources in a way that deviates materially from Council-stated Ends priorities, risks fiscal jeopardy, or does not enable the longer-term ability of the College to achieve Ends.

Further, without limiting the scope of the above statement by the following list, the Registrar/CEO shall not:

2.3.1. Operate without a documented, multi-year strategy that can be expected to achieve a reasonable interpretation of the Ends. 2.3.1.1. Permit planning that does not explain and justify assumptions, and identify relevant environmental factors. 2.3.2. Permit budgeting for any fiscal period or the remaining part of any fiscal period that is not derived from the multi-year plan. 2.3.3. Permit financial planning that omits credible, conservative projection of revenues and expenses, separation of capital expenditures and operational expenses, cash flow projections, and disclosure of planning assumptions. 2.3.3.1. Projects revenue from fees on any basis other than current Council-authorized fees. 2.3.4. Permit budgeting that does not provide for the incremental cost of implementing the multi- year strategy. 2.3.5. Permit budgeting that does not maintain, or provide for an amount to increase, reserves to the Council-approved target level. 2.3.6. Permit budgeting that projects a year-end operating deficit. 2.3.7. Permit financial planning that risks incurring any situation or condition described as unacceptable in the “Financial Condition and Activities” policy. 2.3.8. Permit financial planning that does not provide the amount determined annually by the Council for the Council’s direct use during the year, such as costs of fiscal audit, Council development, Council and Council committee meetings, Council legal fees, and ownership linkage. 2.3.9. Permit planning that endangers the fiscal soundness of future years or ignores the building of organizational capability sufficient to achieve Ends in future years. 2.3.9.1. Operate without succession plans to facilitate smooth operations during key personnel transitions and ensure competent operation of the organization over the long term. 2.3.9.2. Permit the organization to be without sufficient organizational capacity and current information about Registrar/CEO and board issues and processes for the competent operation of the organization to continue in the event of sudden loss of Registrar/CEO services.

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2.4 FINANCIAL CONDITIONS AND ACTIVITIES With respect to the actual, ongoing financial conditions and activities, the Registrar/CEO shall not cause or allow the development of fiscal jeopardy or a material deviation of actual expenditures from Council priorities established in Ends policies. Further, without limiting the scope of the above statement by the following list, the Registrar/CEO shall not: 2.4.1. Expend more funds than have been received in the fiscal year to date unless the debt guideline below is met. 2.4.1.1. Allow debt to be incurred for anything other than trade payables or reasonable liabilities incurred in the ordinary course of operations. 2.4.2. Borrow funds from any financial institution. 2.4.3. Loan CDHO funds. 2.4.4. Use any long-term reserves. 2.4.5. Allow cash accounts to drop below a safety reserve equal in value to nine months’ operating expenses invested in liquid assets. 2.4.6. Allow the untimely payment of payroll and debts. 2.4.7. Write off receivables without having first aggressively pursued payment after a reasonable grace period. 2.4.8. Allow tax payments or other government ordered payments or reports to be overdue or inaccurately filed. 2.4.9. Acquire, encumber or dispose of land or buildings.

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2.5 PROTECTION OF ASSETS

The Registrar/CEO shall not allow assets to be unprotected, inadequately maintained or unnecessarily risked. Further, without limiting the scope of the above statement by the following list, the Registrar/CEO shall not: 2.5.1. Permit the organization to be without adequate insurance against theft and damage losses. 2.5.2. Permit the Council members, staff and individuals engaged in activities on behalf of the organization, or the organization itself to be without adequate liability insurance. 2.5.3. Unnecessarily expose the organization, its Council members or staff to claims of liability. 2.5.4. Allow uninsured personnel or unauthorized persons access to material amounts of funds. 2.5.5. Receive, process or disburse funds under controls that are insufficient to meet the Council- appointed auditor’s standards. 2.5.5.1. Receive, process or disburse the organization’s assets under internal controls insufficient to detect, deter and prevent fraud or insufficient to prevent and detect significant deficiencies or material weaknesses. 2.5.6. Cause or allow buildings and equipment to be subjected to improper wear and tear or insufficient maintenance. 2.5.7. Allow the organization to be without a disaster plan and fire safety policies, which are readily available to all staff, and reviewed at least annually with all staff. 2.5.8. Make purchases that do not result in appropriate level of quality, after-purchase service and value for dollar, or do not provide opportunity for fair competition. 2.5.8.1. Make any purchase wherein normally prudent protection has not been given against conflict of interest. 2.5.8.2. Make a purchase of budgeted services over $50,000 or purchase of budgeted goods over $25,000 without a stringent method of assuring the balance of long term quality and cost and protection of confidential and proprietary vendor information. Orders shall not be split to avoid these criteria. 2.5.8.2.1. Renew a supply or service contract in place for three consecutive years without first obtaining a comparative review of quality and cost. 2.5.9. Compromise the independence of the Council’s audit or other external monitoring or advice. 2.5.9.1. Engage parties already chosen by the Council as consultants or advisers. 2.5.10. Allow intellectual property, information and files to be exposed to loss or significant damage. 2.5.11. Endanger the College’s public image, credibility, or its ability to accomplish Ends.

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2.5.11.1. Develop or continue collaborative relationships with, or authorize use of the College name or identity by organizations whose principles or practices are incompatible with achievement of the Council’s Ends. 2.5.11.2. Allow relationships with stakeholders that are inconsistent with the productive cooperation necessary to the achievement of Council’s Ends. 2.5.11.2.1. Permit inconsistent, disrespectful or untimely response to stakeholder concerns. 2.5.12. Change the College’s name or substantially alter its corporate identity.

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2.6 INVESTMENT The Registrar/CEO shall not permit investments to be managed in a way that is inconsistent with the objectives of reasonable growth and capital preservation. Further, without limiting the scope of the above statement, the Registrar/CEO shall not: 2.6.1. Permit investments to be managed without the active involvement of a well-qualified Investment Professional who is independent of any investment fund. 2.6.1.1. Permit the Investment Professional to take title to any assets. 2.6.1.2. Permit the Investment Professional to withdraw any funds from the accounts except to cover payment of previously agreed fees, or at the CDHO’s specific direction. 2.6.1.3. Neglect the regular review of Investment Professional’s performance. 2.6.2. Permit investments which are exposed to greater than a low level of risk and insufficiently diversified and staged to maximize return while protecting the principal. 2.6.2.1. Permit investments outside the Fixed Income Investment categories defined in Section 8.3(2) of the CDHO bylaws, more specifically defined below:  Bonds, debentures or other evidences of indebtedness, a) of or guaranteed by the government of Canada, b) of or guaranteed by the government of any province/territory of Canada.  Bank commercial paper and Bankers’ Acceptances of Schedule 1 Banks  Corporate Commercial Paper with an R1 rating or equivalent by the Dominion Bond Rating Service at the time of purchase.  Guaranteed Investment Certificates of any trust corporation registered under the Loan and Trust Corporations Act of a province of Canada or the government of Canada and trust corporation CDIC insured term deposits.  Corporate Debt instruments with a credit rating at the time of purchase of not less than BBB as determined by Dominion Bond Rating Service.  High rate savings account. 2.6.2.2. Allow the maturity of any individual security to exceed 12 years. 2.6.3. Permit investments that are inconsistent with the liquidity requirements of the College. 2.6.4. Let the Council be without twice annual performance information (November and May) which provides actual percentage of return over a moving annualized three to five year period, projected future investment approaches and expectations.

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2.7 COMPENSATION AND BENEFITS

With respect to employment, compensation and benefits to employees, consultants, contract workers and volunteers, the Registrar/CEO shall not cause or allow jeopardy to fiscal integrity or public image. Further, without limiting the scope of the above statement by the following list, the Registrar/CEO shall not: 2.7.1. Change his/her own compensation and benefits, except as his or her benefits are consistent with a package for all other employees. 2.7.2. Promise or imply guaranteed employment. 2.7.3. Create obligations over a longer term than revenues can be safely projected. 2.7.4. Allow hiring or advancement practices that result in a real or perceived conflict of interest in any reporting relationship. 2.7.5. Develop pay structures and reward programs that do not equitably compensate employees for the value of work provided or that are unresponsive to market conditions. 2.7.6. Allow retirement or pension benefit plans that are inconsistent with industry standards in similar organizations. 2.7.6.1. Provide a benefit plan without requiring a defined level of employee contribution. 2.7.6.2. Make changes to current benefits without reasonable notice to employees. 2.7.7. Remove or significantly reduce retirement benefits for employees within three years of retirement. 2.7.8. Permit employees to lose benefits accrued under previous CDHO plans. 2.7.8.1. Remove existing benefits to retired employees.

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2.8 COMMUNICATION AND SUPPORT TO THE COUNCIL

The Registrar/CEO shall not permit the board to be uninformed or unsupported in its work. Further, without limiting the scope of the above statement by the following list, the Registrar/CEO shall not: 2.8.1. Withhold, impede, or confound information relevant to the Council’s informed accomplishment of its job. 2.8.1.1. Allow the Council to be without timely decision information to support informed Board choices, including environmental scanning data and trends, a representative range of staff and external points of view, significant issues and risks, and alternative choices with their respective implications. 2.8.1.2. Neglect to submit timely monitoring data including interpretations of Council policies that provide the observable metrics or conditions that would demonstrate compliance, rationale for why the interpretations are reasonable, and evidence of compliance. 2.8.1.3. Let the Council be unaware of any actual or anticipated non-compliance with any Ends or Executive Limitations policy, regardless of the Council’s monitoring schedule. 2.8.1.4. Let the Council be unaware of any incidental information it requires, including anticipated media coverage, actual or anticipated legal actions, and material or publicly visible internal changes or events, including changes in executive personnel. 2.8.1.4.1. Quarterly financial statement. 2.8.1.4.2. Reports provided to key stakeholders’ meetings. 2.8.1.4.3. Regular progress reports on developmental and regulatory issues. 2.8.1.5. Allow the Council to be unaware that, in the Registrar/CEO’s opinion, the Council is not in compliance with its own policies on Governance Process and Council-Registrar Relationship, particularly in the case of Council behaviour which is detrimental to the work relationship between the Council and the Registrar/CEO. 2.8.1.6. Present information in unnecessarily complex or lengthy form, or in a form that does not clearly differentiate among monitoring, decision preparation, and general incidental or other information. 2.8.2. Allow the Council to be without reasonable administrative support for Council activities. 2.8.2.1. Allow the Council to be without a workable, user-friendly mechanism for official Council, officer or Council committee communications. 2.8.3. Impede the Council’s holism, misrepresent its processes and role, or impede its lawful obligations.

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2.8.3.1. Interact with the Council in a way that favours or privileges certain Council members over others, except when (a) fulfilling individual requests for information or (b) responding to officers or committees duly charged by the Council.

2.8.3.2. Neglect to supply for the Required Approvals agenda all items delegated to the Registrar/CEO, yet required by law, regulation or contract to be Council-approved, along with the applicable monitoring information.

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2.9 ETHICAL BEHAVIOUR

The Registrar/CEO shall not permit an organizational culture that lacks a high degree of integrity at all levels of the organization. Further, without limiting the scope of the above by the following list, the Registrar/CEO shall not:

2.9.1. Permit the organization to be without an enforced internal Code of Conduct, of which all employees, consultants, contract workers and volunteers are made aware, that clearly outlines the organization’s ethical expectations of them.

2.9.1.1. Permit employees, consultants, contract workers and volunteers to be unaware of the level of confidentiality required to protect organizational integrity. 2.9.1.2. Permit employees, consultants, contract workers and volunteers to be without guidelines for avoiding actual or potential conflicts of interest.

2.9.2. Permit employees and others to be without a mechanism for anonymous and confidential reporting of alleged or suspected improper activities and without fear of retaliation.

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2.10 DEVELOPMENT OF STANDARDS GOVERNING PRACTICE

The Registrar/CEO shall not develop or change standards governing the practice of Dental Hygiene that cannot be adequately defended, or are inconsistent with the legislated mandate of the organization. Further, without limiting the scope of the above statement by the following list, the Registrar/CEO shall not:

2.10.1. Develop standards that are inconsistent with evidence-based practices. 2.10.2. Develop standards without a broad scope of stakeholder consultation. 2.10.3. Develop standards that would interfere with the ability of the profession to work with other professions with which it is important to maintain productive relations, unless it is necessary to protect the public interest. 2.10.4. Let the Council be unaware of issues arising from stakeholder consultation on a proposed standard change. 2.10.5. Release new or amended standards prior to Council’s formal approval on the Required Approvals Agenda.

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2.11 AMENDMENTS TO ACT OR BYLAWS

When preparing options for Council’s decisions regarding Regulations under the Act regulating Dental Hygiene, or Council Bylaws, the Registrar/CEO shall not interfere with the Council’s legislated responsibilities. Further, without limiting the scope of the above statement by the following list, the Registrar/CEO shall not: 2.11.1. Develop Bylaws, or propose amendments to the Act or Regulations prior to involving Council in an initial discussion of options, nor develop amendments that are inconsistent with the direction indicated by Council. 2.11.2. Allow Council to be without appropriate legal advice where required. 2.11.3. Develop content inconsistent with any legislated requirement. 2.11.4. Let Council be unaware if there are any changes in the assumptions under which the initial position was developed, or if there are legal or governmental obstacles to proceeding with that position. 2.11.5. Allow Council to be without a current cumulative record of Council decisions regarding positions during development or amendment of the Act, Regulations, or Bylaws. 2.11.6. Submit the final version of proposed amendments to Acts or Regulations to the government, nor proposed amendments to Bylaws to membership, prior to Council approval.

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COUNCIL-REGISTRAR DELEGATION POLICIES

3. Global Council-Registrar/CEO Delegation 3.1 Unity of Control 3.2 Accountability of the Registrar/CEO 3.3 Delegation to the Registrar/CEO 3.4 Monitoring Registrar/CEO Performance 3.5 Registrar/CEO Compensation 3.6 Registrar/CEO Succession 3.7 Registrar/CEO Termination

3. GLOBAL COUNCIL-REGISTRAR/CEO DELEGATION Council’s sole official connection to the operational organization, its organization, its achievements and conduct will be through a chief executive officer, titled Registrar and CEO.

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3.1 UNITY OF CONTROL

Only officially passed motions of the Council are binding on the Registrar/CEO: 3.1.1. Decisions or instructions of individual Council members, officers, or committees are not binding on the Registrar/CEO except in rare instances when the Council has specifically authorized such exercise of authority. 3.1.2. In the case of Council members or committees requesting information or assistance without Council authorization, the Registrar/CEO can refuse such requests that require, in the Registrar/CEO’s opinion, a material amount of staff time or funds or are disruptive. 3.1.3. Only the Council acting as a whole can employ, terminate, discipline, or change the conditions of employment of the Registrar/CEO.

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3.2 ACCOUNTABILITY OF THE REGISTRAR/CEO The Registrar/CEO is the Council’s only link to operational achievement and conduct, so that all authority and accountability of staff, as far as the Council is concerned, is considered the authority and accountability of the Registrar/CEO. 3.2.1. The Council will never give instructions to persons who report directly or indirectly to the Registrar/CEO. 3.2.2. The Council will refrain from evaluating, either formally or informally, any staff other than the Registrar/CEO. 3.2.3. The Council will view Registrar/CEO performance as identical to organizational performance, so that organizational accomplishment of Council stated Ends and compliance with Executive Limitations will be viewed as successful Registrar/CEO performance. Therefore the Registrar/CEO’s job contributions shall be accomplishment of the Ends while maintaining compliance with the Executive Limitations.

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3.3 DELEGATION TO THE REGISTRAR/CEO The Council will instruct the Registrar/CEO through written policies which prescribe the organizational Ends to be achieved, and describe organizational situations and actions to be avoided, allowing the Registrar/CEO any reasonable interpretation of these policies.

3.3.1. The Council will develop Ends policies instructing the Registrar/CEO to achieve specified results, for specified recipients at a specified worth. 3.3.1.1. Policies that do not address the subjects of results, recipients or worth will not be included in Ends, as they relate to means. 3.3.1.2. Specifically, documents such as strategic plans and budgets will not be considered Ends, as they relate to operational means of achieving the Ends. 3.3.2. The Council will develop Executive Limitations policies which limit the latitude the Registrar/CEO may exercise in choosing the organizational means. 3.3.2.1. These limiting policies will describe those practices, activities, decisions and circumstances that the Council would find unethical or imprudent, and therefore unacceptable, even if they were to be effective. 3.3.2.2. The Council will never prescribe organizational means delegated to the Registrar/CEO. 3.3.3. All policies will be developed systematically from the broadest, most general level to more defined levels. 3.3.4. As long as the Registrar/CEO uses any reasonable interpretation of the board’s Ends and Executive Limitations policies, the Registrar/CEO is authorized to establish all further policies, make all decisions, take all actions, establish all practices and develop all activities. Such decisions of the Registrar/CEO shall have full force and authority as if decided by the Council. 3.3.5. The Council may change its Ends and Executive Limitations policies, thereby shifting the boundary between the Council and Registrar/CEO domains. By doing so, the Council changes the latitude of choice given to the Registrar/CEO. But as long as any particular delegation is in place, the Council will respect and support any reasonable Registrar/CEO interpretation of the policies. This does not prevent the Council from obtaining information from the Registrar/CEO about the delegated areas, except for data protected by privacy legislation.

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3.4 MONITORING REGISTRAR/CEO PERFORMANCE Registrar/CEO job performance will be measured solely by systematic and rigorous monitoring of Registrar/CEO job performance in comparison to the Council’s required job outputs: organizational accomplishment of a reasonable interpretation of the Ends and organizational operation within the boundaries established in Executive Limitations reasonably interpreted: 3.4.1. The purpose of monitoring is simply to determine the degree to which Council policies are being fulfilled. Only information that does this will be considered to be monitoring. 3.4.2. A given policy may be monitored in one or more of three ways: 3.4.2.1. Internal report: Disclosure of compliance information by the Registrar/CEO, along with his or her explicit interpretation of Council policy, and justification for the reasonableness of interpretation. 3.4.2.2. External report: Discovery of compliance information by an impartial, external auditor, inspector or judge who is selected by and reports directly to the Council. The external party will first be provided with the Registrar/CEO’s explicit interpretation of the policy and justification for the reasonableness of interpretation. The report must assess the reasonableness of the interpretation of Council policy, and compliance with it. The basis for assessment is not the standards of the external party, unless the Council has previously indicated that party’s opinion to be the standard. 3.4.2.3. Direct Council Inspection: Discovery of compliance information by a designated Council member, a committee or the Council as a whole. This is a Council inspection of documents, activities or circumstances directed by the Council that assesses compliance with policy, with access to the Registrar/CEO’s justification for the reasonableness of his/her interpretation. Such an inspection is only undertaken at the instruction of the Council. 3.4.3. In every case, the standard for compliance shall be any reasonable Registrar/CEO interpretation of the Council policy being monitored. The Council is the final arbiter of reasonableness, but will always judge with a “reasonable person” test rather than interpretations favoured by Council members or even the Council as a whole. 3.4.4. Upon the choice of the Council, any policy can be monitored by any of the above methods at any time. For regular monitoring, however, each Ends and Executive Limitations policy will be classified by the Council according to frequency and method.

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Number Policy Method Frequency Date 1 Global End Internal Report Annually March 1.1 Safe, Quality, Professional Practice Internal Report Annually March 1.2 Access to Regulatory Process Effectiveness Internal Report Annually March 1.3 Health System and Public Policy Influence Internal Report Annually March 2 General Executive Constraint Internal Report Every 2 years December 2.1 Treatment of Public and Registrants Internal Report Annually September Treatment of Public and Registrants External Report Every 3 years Sept. 2019 2.2 Treatment of Staff Internal Report Annually June 2017 Treatment of Staff External Report Every 3 years June 2018 2.3 Planning (2.3.3 to 2.3.8) Direct Inspection Annually December Planning (2.3, 2.3.1-2.3.2; 2.3.9) Internal Report Annually June 2.4 Financial Conditions and Activities Internal Reporrt Annually June 2.4.1 Financial Conditions and Activities Internal Report Quarterly Mar, May, Sept, Dec 2.5 Protection of Assets Internal Report Annually September 2.6 Investment Internal Report Annually June 2.7 Compensation and Benefits Internal Report Annually December 2.7.1 Compensation and Benefits (Registrar Expense Direct Inspection Annually June Claims) 2.8 Communication and Support to the Board Internal Report Annually December 2.9 Ethical Behaviour Internal Report Annually June 2.10 Development of Standards Governing Practice Internal Report Annually September 2.11 Amendments to the Act, the Code or Bylaws Internal Report Annually September

3.4.5. A formal evaluation of the Registrar/CEO by the Council will occur annually, based on the achievement of a reasonable interpretation of the Council’s Ends Policies and non-violation of its Executive Limitations policies, reasonably interpreted. This formal evaluation will be conducted by cumulating the regular monitoring data provided during the year and the Board’s recorded acceptance or non-acceptance of the reports, and identifying performance trends evidenced by that data. 3.4.5.1. In December of each year, the Registrar/CEO will identify for the Council the Registrar/CEO’s reasonable interpretation (measureable conditions supported by a rationale) of a one-year segment of progress towards achievement of the Council’s Ends policies. 3.4.5.2. Formal evaluation of the Registrar/CEO is concluded in June at the time of its June Council meeting. 3.4.5.2.1. In March following the submission of the Ends monitoring report, the Executive Committee will compile a summary of the results of the Council’s assessment of regular monitoring data received during the year, along with any additional necessary monitoring data. The Executive Committee will identify evident performance trends.

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3.4.5.2.2. The Executive Committee will circulate their summary of Registrar performance to Council members for review and feedback. 3.4.5.2.3. The Executive Committee will review the Council members’ feedback and prepare a final Registrar Performance Summary which will be reported in-camera to the Council. The Executive Committee will also propose to Council a recommendation for Registrar/CEO compensation. (Ref. CRD-3.5: Registrar/CEO Compensation) 3.4.5.2.4. Only after the final Registrar Performance Summary is reported to the Council will the Executive Committee meet with the Registrar/CEO. The performance review meeting will normally be held in June at the time of the Council meeting.

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3.5 REGISTRAR/CEO COMPENSATION

The Registrar/CEO’s compensation will be decided by the Council as a whole and based on organization performance and executive market conditions. 3.5.1. Organization performance will be only that performance revealed by the monitoring system to be directly related to criteria given by the Council in policy. 3.5.2. Compensation will cover the entire range of salary, benefits, and all other forms of compensation. 3.5.3. Total compensation is to be competitive with the executive market. The executive marketplace to be considered is Ontario regulatory colleges of comparable scope, size (budget and staff complement), challenges and complexity. Total compensation includes salary, benefits, pension, perquisites and incentives. 3.5.3.1. Every three years the Council will commission a formal review of compensation to ensure total compensation is aligned with the market. In each of the intervening two years, the base salary is adjusted by a percentage equivalent to a cost of living increase. 3.5.4. Annually in December, the Council will approve, with due consideration of the organization’s financial capacity, a budget for the salary and benefits package for the coming fiscal year, including provision for any incentive pay to be made available. 3.5.4.1. The Executive Committee may gather information and provide options and their implications to the full Council for its decision. 3.5.5. The Registrar/CEO’s base salary is adjusted annually by a percentage to reflect relative position in the salary range and level of performance (i.e. satisfactory, exceeded, or exemplary). 3.5.6. Compensation may include an Ends-related performance-based incentive. 3.5.7. The President will confirm the Council’s decision about compensation to the Registrar/CEO in a letter after the Executive Committee has held its annual performance review meeting with the Registrar/CEO.

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3.6 REGISTRAR/CEO SUCCESSION

In its role of assuring organizational performance, the Council shall take action in the event the Registrar/CEO is unable to perform his/her duties to ensure consistent leadership for the management of the organization and, when necessary, to ensure an orderly transition in Registrar/CEO succession.

Temporary Planned or Unplanned Absences (not vacation)

3.6.1. When the President is made aware by Registrar/CEO, or management designate, of a planned or unplanned absence, the President will immediately inform the Council. A temporary planned or unplanned absence is a period of 30 days or less. 3.6.2. The Executive Committee will review the Registrar/CEO’s most recent reasonable interpretation for Executive Limitation EL-2.3.9.2 (“Permit the organization to be without sufficient organizational capacity and current information about Registrar/CEO and Council issues and processes for the competent operation of the organization to continue in the event of sudden loss of Registrar/CEO services.”) and enact the provisions detailed in the interpretation. The Executive Committee will provide the Council an opinion on the period of time for which it is prudent to continue with these provisions. The Council will approve the plan. 3.6.3. If the Registrar/CEO has not yet provided a reasonable interpretation for EL-2.3.9.2, the President will convene a meeting of the Executive Committee to which it may invite senior managers. The Executive Committee will determine how interim Registrar/CEO services are to be provided and identify the individual(s) who shall serve as Acting Registrar/CEO for the period of the temporary absence. The Executive Committee will circulate the plan to the Council for approval. The Acting Registrar/CEO shall be accountable to the Council as a whole for the management of the organization consistent with the Council’s policies. Short Term Planned or Unplanned Absences

3.6.4. A short term absence is a period of between 31 and 90 days. The Council will follow the same procedure as described in #1 and #2. 3.6.5. The Council will determine if it wishes to increase the frequency of monitoring for any policy or any part of any policy for the period of the short term absence. 3.6.6. The Council will decide the amount, if any, of the agreed-upon end-of-absence bonus or salary adjustment to be enacted for the period of the absence. 3.6.7. The Council will agree upon a communication plan that addresses the information that will be shared about the appointment and which stakeholders will receive the information.

Version 2.1 – Approved in principle March 2017; for Council Review June, 2017 – Page 9 AGENDA ITEM 5.3.1

Council-Registrar Delegation Policies - Version 2.1

Long-Term Planned or Unplanned Absence

3.6.8. A long-term absence is a period in excess of 90 days. The Council will follow the same procedures described in 3.6.2, 3.6.3, 3.6.5, 3.6.6 and 3.6.7. 3.6.9. In addition to monitoring Acting Registrar/CEO performance through the normal cycle of monitoring reports, the Council will provide a summative performance assessment of the Acting Registrar/CEO at agreed upon intervals and in a manner consistent with CRD-3.4 3.6.10. The Council will determine the period of time that it is prudent to continue with these provisions. Permanent Absence 3.6.11. A permanent absence occurs when the Registrar/CEO does not return from a planned or unplanned absence of any duration, resigns, is terminated, or retires. 3.6.12. The Council will form a Transition Committee to carry out the recruitment, selection and orientation of a new permanent Registrar/CEO. The terms of reference for the Transition Committee are documented in GP 4.9: Registrar/CEO Transition Committee. 3.6.13. The Council will approve the plan and budget for recruitment, selection and orientation. Engagement of Successor 3.6.14. Following the Council’s approval of its preferred candidate, an offer of employment shall be negotiated on behalf of the Council through the Transition Committee or its contracted recruitment firm. The President shall execute the offer of employment. 3.6.15. An employment contract will be drafted by legal counsel for approval of the Council and signed by both parties prior to the commencement of employment. The President will be the authorized signatory of the contract. 3.6.16. The Transition Committee will ensure that an orientation program is in place prior to the new Registrar/CEO’s start date. The program would cover the first 12 months and should aim to ensure a successful transition to the Registrar/CEO position. Key elements of the plan to include:  Briefing from the outgoing Registrar/CEO, if possible, to ensure appropriate file transfer and communication of organizational issues requiring immediate attention.  Inclusion of professional development activities as required to ensure effective transition.  Time with Council members to facilitate development of a strong relationship and understanding of the Council’s policies, priorities, process and expectations. 3.6.17. The Council may choose to arrange for a coaching plan for this first year and, if so, will authorize an appropriate budget.

Version 2.1 – Approved in principle March 2017; for Council Review June, 2017 – Page 10 AGENDA ITEM 5.3.1

Council-Registrar Delegation Policies - Version 2.1

3.7 REGISTRAR/CEO TERMINATION Registrar/CEO termination is an authority retained by the Council, not delegated to any officer or committee. 3.7.1. The decision process will be informed by performance data drawn from the monitoring system, which is itself directly related to Registrar/CEO performance on criteria the Council has stated in policy. 3.7.2. The Council may choose to terminate for other reasons, but must then negotiate the terms of that termination or follow whatever provisions have been made by contract. 3.7.3. A committee process may be used to gather information and to provide options and their implications to the full Council.

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