Public Confidence in Professional Regulation: Earn It, Keep It Council on Licensure, Enforcement and...
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Public Confidence in Professional Regulation: Earn It, Keep It Council on Licensure, Enforcement and Regulation Toronto, Ontario June 7, 2012 Photo © Michael Haegele/Corbis © CLEAR 2012 Doing the Right Things Bruce G. Matthews Real Estate Council of Ontario
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Transcript of Public Confidence in Professional Regulation: Earn It, Keep It Council on Licensure, Enforcement and...
Public Confidence in Professional Regulation:
Earn It, Keep It
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Photo © Michael Haegele/Corbis
© CLEAR 2012
Doing the Right Things
Bruce G. MatthewsReal Estate Council of
Ontario
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Overview
• Why regulate?
• What are the “right things”?
• What aren’t the “right things”?
• Understanding and managing consumer expectations
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Why Regulate?
• Regulation as risk management and risk mitigation
• Risk to individuals and risk to the “public welfare” and “public interest”
• “Right touch regulation”
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Right Touch Regulation
‘Right touch regulation is based on a proper evaluation of risk, is proportionate and outcome focused; it creates a framework in which professionalism can flourish and organizations can be excellent. Excellence is the consistent performance of good practice combined with continuous improvement’
– Harry Cayton, Chief Executive, CHRE (UK)
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Right Touch Regulation
• Identify the problem first• Assess and quantify the risks• Focus on outcomes• Use regulation only when necessary• Keep it simple• Be mindful of unintended
consequences• Review and be responsive to change
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
The Right Touch Process
• Identify the problem– Does it represent a risk?
• Assess the risks– What are they and how significant are
they?– Are they being managed now?
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
The Right Touch Process
• Assess the scope of the problem
– Local versus universal
• Is regulation an appropriate solution?
• Assess the potential for unintended consequences
– Does the solution create its own risks?
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Laws of Right Touch Regulation
1. Apply the minimum regulatory force needed to achieve the desired outcome.
2. Use regulation as a last resort.
3. A list is not a solution.
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
What are the “Right Things”?
• Setting standards
– Qualification / Practice / Conduct
• Establishing processes
• Enforcing the law
• Communications
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Setting Standards of Qualification
• Knowledge, skill and judgment
• These are minimums required to permit unsupervised practice and use of restricted titles
• Setting the bar
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Entry to Practice Process
• Assessing knowledge, skill and judgment
• Issues of education, training and experience
• The regulator as gatekeeper
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Setting Standards of Practice
• Technical performance / execution of day to day responsibilities
• Controlled acts
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Setting Standards of Conduct
• Behaviours
• Code of Conduct / Code of Ethics
• Issues of fairness, honesty, integrity, professionalism
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Enforcing the Standards
• The regulator as shepherd
• Governance of practitioners
• Complaints / Discipline process
• Issues of openness and transparency
• Issues of fairness, due process, justice
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Dealing with Unlicensed Practice
• Dealing with charlatans, pretenders
– Overt and covert
• Proactive and reactive approaches
• The regulator as a police force
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Communication
• The public can’t have confidence in a regulator that it doesn’t know exists
• Opportunity to be proactive
• Managing the message
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
What aren’t the “Right Things”?
• Advocacy
• Anything perceived as being primarily in the interest of members
• Anything unrelated to risk management and risk mitigation
• Anything heavy-handed
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Consumer Expectations
• What does the public care about?
• Perception versus reality
• Accessibility
• Customer service
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Summary
• A philosophy of right touch regulation will facilitate public confidence
• Doing the “right things” is a package deal
• Understanding consumer expectations about the “what” and the “why” is key
Council on Licensure,
Enforcement and Regulation
Toronto, Ontario
June 7, 2012
Speaker Contact Information
Bruce G. MatthewsDeputy Registrar, Regulatory ComplianceReal Estate Council of Ontario3300 Bloor Street WestWest Tower, Suite 1200Toronto, ON M8X 2X2T: 416-207-5149E: [email protected]
