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“Why Technology is Critical to the Regulatory Process”

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

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“Why Technology is Critical to the Regulatory Process”

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

  2. Why Does a Professional Regulator Need Technology? 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

  3. 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 14-16 Alexandria, Virginia

  4. Responsibilities of the Regulator The professional regulator has some awesome responsibilities. They include: • transparency and accessibility • fairness and neutrality • providing full and timely disclosure Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  5. 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 14-16 Alexandria, Virginia

  6. 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 14-16 Alexandria, Virginia

  7. 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 14-16 Alexandria, Virginia

  8. 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 14-16 Alexandria, Virginia

  9. 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 Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  10. 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:

  11. 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 14-16 Alexandria, Virginia

  12. Global Expectations… Other global expectations: • privacy of personal information • labour mobility Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  13. 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

  14. 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 14-16 Alexandria, Virginia

  15. How can technology help?... The benefits of technology are endless … Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  16. 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:

  17. 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 14-16 Alexandria, Virginia

  18. What is an effective information management system?... • produce meaningful audits, statistics and reports quickly and easily Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  19. 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

  20. 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 14-16 Alexandria, Virginia

  21. 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 14-16 Alexandria, Virginia

  22. 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 14-16 Alexandria, Virginia

  23. 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 14-16 Alexandria, Virginia

  24. 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 14-16 Alexandria, Virginia

  25. 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 14-16 Alexandria, Virginia

  26. 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 14-16 Alexandria, Virginia

  27. In summary… • an information management system is critical to professional regulation in today’s global environment Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  28. Sample Screen – Individual look up Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  29. Sample Screen – Individual Profile Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  30. Sample Screen – Individual Profile (continued) Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  31. Sample Screen – Case look up Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  32. Sample Screen: Case look up (continued) Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  33. Sample Screen – Case Profile Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  34. Sample Screen – Case General Info. Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  35. Sample Screen – Process Tracking (Actions) Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  36. Sample Screen – Telephone Call Note Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  37. 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 14-16 Alexandria, Virginia

  38. Reports Some examples of useful reports: • Statistics • Costs • Types of complaints (issues) • Outcomes / Decisions Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  39. Reports • Case timeframes • Year to year comparisons (trends, numbers, etc.) • Appeal rates • Investigator Performance Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  40. Speaker Contact Information Lori Long Royal College of Dental Surgeons of Ontario 6 Crescent Road, Toronto, Ontario M4W 1T1 Phone: (416) 934-5623 Fax: (416) 961-5814 E-mail: llong@rcdso.org www.rcdso.org Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

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

  42. Key Technology Components Important core case management capabilities Shared Document Repository Business Process Management Shared Data Repository Communications & Collaboration Search – Information Access Integrated Desktop Applications Reporting & Accountability Existing Systems Integration Mobility Support Mobility Support Self Service Presented at the 2006 CLEAR Annual Conference September 14-16 Alexandria, Virginia

  43. Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

  44. Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

  45. Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

  46. Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

  47. Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

  48. Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

  49. X Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

  50. Limited Presented at the 2006 CLEAR Annual Conference September 14 – 16 Alexandria Virginia

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