Transcript Document

Modernizing Regulatory Compliance
The Ontario Experience
Presentation to the
Regulatory Craft in Nova Scotia 2007
Conference
November 20, 2007
Purpose
 To highlight Ontario’s regulatory compliance
modernization agenda.
 To promote innovative approaches to addressing key
compliance issues.
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Overview of the II&E Community
in Ontario
 13 provincial ministries with regulatory compliance
responsibilities, plus a number of Delegated
Administrative Authorities (DAAs) and Agencies.
 Across our thirteen regulatory compliance ministries we
have:
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Responsibility for over 120 Acts with regulatory
implications;
Over 2,500 front-line field staff in line Ministries;
47 program areas across II&E ministries, for example:
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Occupational health and safety and employment standards;
Environmental protection;
Commercial vehicle safety;
Oversight of long-term care facilities;
Forestry management;
Tobacco and fuel taxes, etc.
A broad and varied regulated community.
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Role of the Inspections, Investigations and
Enforcement (II&E) Secretariat
Historical Role (Up to 2004):
 Promoting broad themes of cooperation, promotion of Best
Practices and assistance to regulatory compliance ministries and
governments
 Facilitating improvements in consistency and co-ordination across
ministries, for example:
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Coordinating delivery of specific initiatives (e.g. Risk framework, Code
of Professionalism, foundations training)
Re-Defined Role (After 2004):
 Major leadership role in development/implementation of II&E
Modernization initiatives across 13 ministries
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Drivers for Improving Overall Capabilities
 II&E ministries are doing great work in protecting the public interest but
there are drivers for continued improvement:
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The impact of the breadth of regulatory requirements on the business
community and on gov’t operational resources.
Growing size and changing nature of the regulated community.
Areas of overlap and duplication between ministry programs.
Technology advances are opening up new opportunities for delivery of II&E
services.
 The regulated community has raised issues as well:
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Number of regulatory requirements.
Difficulty in accessing and interpreting requirements.
Lack of in-house technical knowledge to meet requirements.
Perception that ministries do not cooperate or communicate with each other.
Perception that government is not effectively addressing serious, repeat
violators.
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What are We Doing to Address These
Challenges?
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Strategies for Improving Regulatory
Compliance Capabilities
1.
Strengthening the capabilities of regulatory ministries to work more
co-operatively and use information more effectively.
A.
Enabled through the Regulatory Modernization Act, 2007, which
received Royal ascent on May 17, 2007.
The RMA:
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Focuses on:
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Compliance-related information;
Business or equivalent information
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The Regulatory Modernization Act
(RMA)
The RMA:
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Strengthens capabilities for collection, use and disclosure of
compliance information among programs/ministries/agencies
and other entities which administer and enforce legislation.
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Information collection, use and disclosure generally limited to
information about “organizations”.
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Specifies the types and purposes of information that could be
collected, used and disclosed.
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Does not authorize the sharing of personal information, except
limited information about owners, officers, and directors of
organizations.
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The Regulatory Modernization Act
(RMA)
The RMA:
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Enables authority for heads-ups among
programs/ministries/ agencies/ boards/ Delegated
Administrative Authorities (DAA’s) and other entities that
enforce legislation.
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Does not authorize “fishing expeditions”.
Provides authority to publish compliance and conviction
information about organizations and conviction information
about individuals.
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Does not authorize the publication of personal information,
except for conviction information.
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The Regulatory Modernization Act
(RMA)
The RMA:
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Allows Minister/Ministers to authorize enforcement officers
to conduct enforcement actions for the purposes of multiple
statutes.
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Requires the court to consider previous convictions, which
in the opinion of the prosecutor are relevant in determining
the penalty for a conviction.
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Does not remove the discretion that a Judge/Justice of the
Peace (JP) has when determining sentence.
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RMA Implementation Activities
 Working towards effective date of January 17, 2008:
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Heads-ups and Previous convictions clauses automatically
enabled as of the effective date.
Development and Cabinet approval of LGIC regulation(s) for:
• Collection, use and disclosure;
• Publication; and
• Multiple authorizations.
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Development of implementation guidelines and templates to
ensure consistent implementation across II&E ministries.
Training of line ministries and field staff for RMA
implementation.
Identifying specific RMA implementation projects.
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Strategies for Improving Regulatory
Compliance Capabilities (Continued)
2.
Implement a Small Business compliance
improvement strategy that increases compliance,
complementing current approaches with additional
compliance support tools:
A.
B.
Implemented Compliance Information Centres (CICs) for
the Auto Body Sector (June/06) and the Plastics
Manufacturing Sector (May/07);
Currently developing a sector-focused, government-wide,
compliance checklist.
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What is the CIC?
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It is a web-based information retrieval & online service delivery
system designed to provide compliance assistance, enabling
workplace stakeholders to easily access & understand their
regulatory responsibilities, rights and contacts.
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It is an initiative to identify, develop and test innovative
opportunities for compliance improvement in a SME representative
sector.
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CIC innovations include:
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Compliance focus;
Organized thought process; and
On-line forms and services.
Key government contact information;
Popular links to sector-related government and non-government web sites;
General workplace topics;
Frequently asked questions.
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Plastics CIC
(www.serviceontario.ca/plastics)
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Strategies for Improving Regulatory
Compliance Capabilities (Continued)
3.
Introducing consistent High Performers and
Serious Repeat Violator strategies across
regulatory compliance ministries.
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Strategies for Improving Regulatory
Compliance Capabilities (cont.)
4.
Assessing opportunities to improve approaches to training and
learning across regulatory compliance ministries, focusing on:
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Compliance foundations training;
Investigative skills training.
The need:
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Re-defining current OPS foundational level training to better meet
the training needs of field staff;
Access for all OPS regulatory compliance staff to consistent,
regulatory training;
Identifying sustainable delivery models for II&E training that are costeffective, consistent and ensure timely availability of training and
learning;
Formal training modules with defensible training standards and
instructor manuals to address issues of accountability, transparency
and liability.
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Compliance Foundations Training
In order to deal with the training challenges facing the community, the II&E
Secretariat has created, in conjunction with senior managers and training
specialists from across the regulatory community, a new Compliance
Foundation Training Program, consisting of 12 modules.
 Introduction to Law and the
Charter of Rights
 Introduction to the Provincial
Offences Act
 Overview of Risk
 Note Taking
 Evidence
 Courtroom Demeanor,
Preparation and Proceedings
 Inspection vs. Investigation
 Personal Safety & Awareness,
Non-Violent Conflict Resolution
 Interviewing Techniques
 Code of Professionalism
 Cultural Diversity
 Overview of Regulatory
Modernization Act & FOIPPA
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Regulatory Investigations Training
 The II&E Secretariat has also created, in conjunction with line
ministries, four 4-day courses in the following areas:
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Introduction to Regulatory Investigations;
Note Taking and Court Testimony;
Advanced Interviewing and Cautioned Statements;
Search Warrants.
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Strategies for Improving Regulatory
Compliance Capabilities
5.
Other II&E community-building priorities:
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Assessing opportunities for improving the toolkit of compliance
activities within and between ministries.
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Achieving greater field understanding and involvement in II&E
activities.
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E.g. Regional conferences;
II&E Intranet site.
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Initiating a demonstration project to be launched shortly after
effective date (January 17, 2008) for the RMA.
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Pursuing IM/IT investments to strengthen II&E community
capabilities.
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E.g. Single business identifier;
Community IM/IT plan.
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What Broader Benefits Can We Achieve?
 Greater protection of the public interest.
 Leveling the playing field for Ontario businesses and recognizing
superior performance.
 Streamlining business interactions with government.
 Meets the need for greater public transparency.
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For More Information:
 John Stager
Assistant Deputy Minister
II&E Secretariat, Ontario Ministry of Labour
Phone: (416)326-5441
E-mail: [email protected]
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