“Why Technology is Critical to the Regulatory Process” Lori Long Royal College of Dental Surgeons of Ontario 2006 Annual ConferenceAlexandria, Virginia Council on Licensure, Enforcement and Regulation Expect the Unexpected: Are We Clearly Prepared?

We will review: the awesome responsibilities of the regulator the core business of the regulator the expectations placed on the regulator in today’s global environment Why Does a Professional Regulator Need Technology?

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Why does a professional regulator need technology?... how technology can help the regulator meet its obligations what is an effective information management system? sample case files, menus, screens, look-ups, reports

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Responsibilities of the Regulator transparency and accessibility fairness and neutrality providing full and timely disclosure The professional regulator has some awesome responsibilities. They include:

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Responsibilities of the Regulator… accountability and reporting to various stakeholders, including: government agencies; public; members of the profession maintaining confidentiality governance of the profession through core business activities

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Core Business of the Regulator licensure in a global village environment administration and enforcement of legislation, rules, by-laws protection of the public investigation of complaints

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Core Business of the Regulator.. registrar’s investigations fitness to practice / incapacity malpractice discipline alternate dispute resolution (mediation)

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Core Business of the Regulator… by-law and regulation development development of practice guidelines and standards quality assurance / continuing education

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Core Business of the Regulator… maintaining information available to the public respecting each member maintaining confidential information respecting each member media relations / communications document and file management

Expectations Placed on a Regulator in Today’s Global Environment accessibility transparency accountability Governments around the globe are responding to a more sophisticated and educated public. Key issues raised by the public are:

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Global Expectations… As the use of the internet increases globally, the regulator must meet expectations for information to be available at the “touch of a button”

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Global Expectations… Other global expectations: privacy of personal information labour mobility

So, How Can Technology Help the Regulator Fulfil its Many Responsibilities? As you can see, it is challenging for any regulator to carry out its core business activities, while meeting all of the expectations of its stakeholders

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia How can technology help?... As a prominent health profession regulator in Canada, the Royal College of Dental Surgeons of Ontario has found that a well- designed information management system allows us to fulfil our mandate effectively and efficiently.

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia How can technology help?... The benefits of technology are endless …

What is an effective Information Management System ? provide for consistency of file management ensure accuracy and completeness reduce paper and time A well-designed information system can:

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia What is an effective information management system?... provide an up-to-date “snapshot” of the status of any file allow for inter-departmental integration and sharing of information integrate desktop applications store historical data electronically assist with disclosure obligations

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia What is an effective information management system?... produce meaningful audits, statistics and reports quickly and easily

Examples of the Benefits and Uses of a Case Management System a member of the public calls for the “public record” of a member a regulator in another jurisdiction requests a “certificate of standing” regarding a member who is seeking licensure in that jurisdiction

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Benefits and uses of a case management system… the complaints committee is deciding whether or not to refer a member to discipline for professional misconduct and requests a “relevant history” with respect to that member prior to making its decision

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Benefits and uses of a case management system… a member inquires as to the current status of a complaint made against him or her an investigator has 100 case files to manage and needs reminders on required actions, deadlines, etc.

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Benefits and uses of a case management system… a complainant appeals the decision of your complaints committee and the appeal board requests a complete record of the investigation the member’s legal counsel is alleging that the member did not receive full disclosure

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Benefits and uses of a case management system… the member’s legal counsel is alleging that a telephone conversation with your investigator never took place you are asked for a detailed report of all costs related to a case…by tomorrow morning!

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Benefits and uses of a case management system… an executive within your organization is speaking at a conference and needs statistical data and reports regarding the number and types of complaints investigated in the past five years, and their dispositions

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Benefits and uses of a case management system… your prosecutor is preparing his or her argument as to the appropriate penalty and asks you for precedents for similar conduct your committee wants to have “paperless” meetings a government agency conducts a review of your process

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia In Summary: technology provides a mechanism for the regulator to deliver its responsibilities effectively and efficiently technology promotes accessibility, transparency and accountability

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia In summary… an information management system is critical to professional regulation in today’s global environment

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen – Individual look up

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen – Individual Profile

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen – Individual Profile (continued)

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen – Case look up

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen: Case look up (continued)

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen – Case Profile

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen – Case General Info.

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen – Process Tracking (Actions)

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Sample Screen – Telephone Call Note

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Reports A well-designed case management system can produce a wide range of reports, through specified “queries”. Queries can be saved and re-used.

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Reports Some examples of useful reports: Statistics Costs Types of complaints (issues) Outcomes / Decisions

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Reports Case timeframes Year to year comparisons (trends, numbers, etc.) Appeal rates Investigator Performance

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Speaker Contact Information Lori Long Royal College of Dental Surgeons of Ontario 6 Crescent Road, Toronto, Ontario M4W 1T1 Phone: (416) Fax: (416)

“Technology is Critical to the Regulatory Process” Rhoda Gerard Syntapa Technologies Inc. Unified Business Systems Architect/Consultant 2006 Annual ConferenceAlexandria, Virginia Council on Licensure, Enforcement and Regulation Expect the Unexpected: Are We Clearly Prepared?

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Key Technology Components Shared Document Repository Business Process Management Existing Systems Integration Communications & Collaboration Reporting & Accountability Integrated Desktop Applications Mobility Support Shared Data Repository Important core case management capabilities Search – Information Access Mobility Support Self Service

Shared Data Repository PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

Shared Document Repository PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

Business Process Management PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

Communications & Collaboration PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

Search – Information Access PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

Reporting & Accountability PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

Self-Service PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia X

Existing Systems Integration PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia Limited

Integrated Desktop Applications PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia Word Processing Spreadsheet Office Systems: Word Excel PowerPoint Visio /Calendaring FrontPage Documents/Records Database Interfaces

Mobility Support PastPresent Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia In summary… Technology is critical to managing professional regulation in today’s global environment Today’s Challenge – is its effective use!

Presented at the 2006 CLEAR Annual Conference September Alexandria, Virginia Speaker Contact Information Rhoda Gerard Syntapa Technologies Inc. 200 – 320 March Road, Ottawa Ontario K2K 2E3 Phone: (613) X