Perspectives on the Public Interest – Regulation and Governance

1. Perspectives on the Public Interest – Regulation and Governance Moderator: Caroline MacIssac-Power

2. Introduction • Background • What is “the public interest”? • Session Format CLEAR 2008 Annual Conference Anchorage, Alaska

3. Perspectives on the Public Interest – Regulating the Profession James Collins Budd A. Hetrick, Jr.

4. Regulating the Profession • Setting Standards of Qualification • Establishing a Process to obtain a License • Defining Controlled Acts • Taking Action Against Unlicensed Individuals CLEAR 2008 Annual Conference Anchorage, Alaska

5. Regulation & Governance James Collins, Director Delaware Division of Professional Regulation

6. Regulating the Profession Setting Standards of Qualification Establishing a Process to Obtain a License CLEAR 2008 Annual Conference Anchorage, Alaska CLEAR 2008 Annual Conference Anchorage, Alaska

7. Setting the Standards CLEAR 2008 Annual Conference Anchorage, Alaska • Establishing the criteria for licensure • Regulating conduct after receipt of licensure CLEAR 2008 Annual Conference Anchorage, Alaska

8. Setting the Standards CLEAR 2008 Annual Conference Anchorage, Alaska Standard: A degree or level of requirement, excellence, or attainment. CLEAR 2008 Annual Conference Anchorage, Alaska

9. Qualifications CLEAR 2008 Annual Conference Anchorage, Alaska Education Experience Examination (written/practical) Certification Licensure in Other Jurisdiction CLEAR 2008 Annual Conference Anchorage, Alaska

10. The Process Apply for License Supply Required Information Receive a License. Maybe? You’ll be amazed with the process! CLEAR 2008 Annual Conference Anchorage, Alaska CLEAR 2008 Annual Conference Anchorage, Alaska

11. Process Considerations CLEAR 2008 Annual Conference Anchorage, Alaska Authenticate/Verifiable Automated Secure Intuitive Comply with the statutory and regulation requirements CLEAR 2008 Annual Conference Anchorage, Alaska

12. Speaker Contact Information James Collins, Director Delaware Dept. of State Division of Professional Regulation Phone: 302.744.4501 Email: james.l.collins@state.de.us CLEAR 2008 Annual Conference Anchorage, Alaska CLEAR 2008 Annual Conference Anchorage, Alaska

13. Perspectives on the Public Interest – Regulating the Profession: Defining Choices in Regulation Budd A. Hetrick, Jr. Deputy Bureau Chief Idaho Bureau of Occupational Licenses

14. Governing the Practitioners • Defining Controlled Acts Why – What – Who • Enforcement Unlicensed activity CLEAR 2008 Annual Conference Anchorage, Alaska

15. Why regulate? • Playing well with others • Protection in the public’s interest • Protection in someone’s interest CLEAR 2008 Annual Conference Anchorage, Alaska

16. The Prime Directive • “the protection of the public’s health, safety and welfare” CLEAR 2008 Annual Conference Anchorage, Alaska

17. Public Health • Potential for harm physical & mental • Physicians & Surgeons • Allied Health Professions CLEAR 2008 Annual Conference Anchorage, Alaska

18. Public Safety • Personal Services • Public Services CLEAR 2008 Annual Conference Anchorage, Alaska

19. Public Welfare • Standards are dynamic – they change over time • Social / political / professional influences • Changes in public expectations CLEAR 2008 Annual Conference Anchorage, Alaska

20. Administer and Enforce • To administer Proof of minimum competence = the right (license) to practice • To enforce Fail to exhibit minimum competence = sanction to the right (license) CLEAR 2008 Annual Conference Anchorage, Alaska

21. Unlicensed acts • Who has jurisdiction? Civil law Criminal law Another agency Most often NOT the regulator • Education is key CLEAR 2008 Annual Conference Anchorage, Alaska

22. Regulating a profession • Why – to protect the public • What – an activity with potential to harm • Who – those who engage in such activities CLEAR 2008 Annual Conference Anchorage, Alaska

23. Speaker Contact Information • Budd A. Hetrick, Jr. Deputy Bureau Chief Idaho Bureau of Occupational Licenses 1109 Main Street, Suite 220 Boise, Idaho, 83702 T: 208 334-3233 F: 208 334-3406 E: bhetrick@ibol.idaho.gov CLEAR 2008 Annual Conference Anchorage, Alaska

24. Q & A CLEAR 2008 Annual Conference Anchorage, Alaska

25. Let’s take a break… CLEAR 2008 Annual Conference Anchorage, Alaska

26. Perspectives on the Public Interest – Governing the Practitioners Bruce G. Matthews, P.Eng. Bonni Ellis, MA, JD

27. Governing the Practitioners • Setting Standards of Practice and Ethics • Continuing Competency / Professional Development requirements • Defining Professional Misconduct • Establishing a Complaints & Discipline Process CLEAR 2008 Annual Conference Anchorage, Alaska

28. Governing the Practitioners – Practice, Ethics and Competency Bruce G. Matthews, P.Eng. Professional Engineers Ontario

29. Why set standards of practice? • Practitioners have demonstrated the necessary knowledge and skills to get licensed – what more is needed? • Is it possible to get licensed in a profession without knowing the standards of practice? CLEAR 2008 Annual Conference Anchorage, Alaska

30. Why set standards of practice? • Helps define the profession • Communicates expectations to all concerned • Standards are dynamic – they change over time • Changes in technology • Social / political / professional influences • Changes in public expectations CLEAR 2008 Annual Conference Anchorage, Alaska

31. Public interest impetus • Need for consistency in practice • Need for common understanding of practice • Need for tangible measure or benchmark of practice against which practitioners will be assessed and held accountable if found to fall short CLEAR 2008 Annual Conference Anchorage, Alaska

32. Why set standards of ethics? • Ethics = Conduct (i.e., behaviours – non-technical aspect of a practitioners work; professionalism) • Is it reasonable to expect more from a licensed professional than from a member of the public with respect to conduct? CLEAR 2008 Annual Conference Anchorage, Alaska

33. Why set standards of ethics? • Helps define the profession • Communicates expectations to all concerned • Standards are dynamic – they change over time • Social / political / professional influences • Changes in public expectations CLEAR 2008 Annual Conference Anchorage, Alaska

34. Public interest impetus • Need for consistency in conduct • Need for common understanding of expected conduct • Need for hold practitioners accountable if conduct falls short of the standard CLEAR 2008 Annual Conference Anchorage, Alaska

35. Continuing competency • Vocabulary: Competency Assurance, Continuing Professional Development, Professional Excellence, Practitioner Quality Assurance • May or may not be compulsory CLEAR 2008 Annual Conference Anchorage, Alaska

36. Continuing competency • Knowledge and skill are perishable commodities – without some level of effort they fade over time • Applicants for licensure may cram for any tests or examinations necessary to obtain a licence – with the typical poor retention afterwards CLEAR 2008 Annual Conference Anchorage, Alaska

37. Continuing competency • Dynamic standards of practice would seem to dictate that some form of professional development is necessary • Concept of “keeping current” CLEAR 2008 Annual Conference Anchorage, Alaska

38. Public interest impetus • If standards were not dynamic, would there still be a need for continuing professional development? • There has to be more to retaining a licence than paying an annual fee • Public’s right to expect a practitioner to actively maintain a minimum level of knowledge and skill CLEAR 2008 Annual Conference Anchorage, Alaska

39. Speaker Contact Information • Bruce G. Matthews, P.Eng. Deputy Registrar, Regulatory Compliance Professional Engineers Ontario 25 Sheppard Ave. W., Suite 1000 Toronto, Ontario M2N 6S9 T: 416-840-1076 F: 416-224-9974 E: bmatthews@peo.on.ca CLEAR 2008 Annual Conference Anchorage, Alaska

40. Incorporating the Public Interest into Complaints and Discipline Bonni Ellis MA, JD Steinecke Maciura LeBlanc

41. Defining “the public interest” To say that only those businesses affected with a public interest may be regulated is but another way of stating that all those businesses which may be regulated are affected with a public interest. – Harlan Stone (former Chief Justice of the U.S Supreme Court) CLEAR 2008 Annual Conference Anchorage, Alaska

42. Defining “the public interest” • Relativistic - represents the goals and values of a defined group • Amorphous - constantly changing and evolving • Context Sensitive - applies to a particular state of affairs as they exist at a particular time • Multi-faceted - incorporates underlying values and reflects the legal, social, economic, political and religious landscape CLEAR 2008 Annual Conference Anchorage, Alaska

43. Defining “the public interest” CLEAR 2008 Annual Conference Anchorage, Alaska

44. Locating/identifying/defining “the public interest” • External sources - jurisprudence - media - social/political/economic landscape • Internal sources - enabling legislation and other statutes - resources - results CLEAR 2008 Annual Conference Anchorage, Alaska

45. Incorporating “the public interest” into definitions of professional misconduct • Why? - accountability - public protection - public confidence • How? - by reflecting relationships and risks - through collateral standards, policies and guidelines - by demanding accountability to the regulator CLEAR 2008 Annual Conference Anchorage, Alaska

46. Incorporating “the public interest” into the complaints/discipline process • Responsive • Thorough • Transparent • Balances individual interests • Considers resources CLEAR 2008 Annual Conference Anchorage, Alaska

47. Incorporating “the public interest” into the complaints/discipline process CLEAR 2008 Annual Conference Anchorage, Alaska

48. Examples of “the public interest” in the complaints process Transparency CLEAR 2008 Annual Conference Anchorage, Alaska

49. Examples of “the public interest” in the discipline process Transparency CLEAR 2008 Annual Conference Anchorage, Alaska

50. Defining “the public interest” The public interest is best served by the free exchange of ideas. — Judge John Kane CLEAR 2008 Annual Conference Anchorage, Alaska