Complaints, Investigations, and Outcomes: A New Perspective Charles Stevenson.

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Presentation transcript:

Complaints, Investigations, and Outcomes: A New Perspective Charles Stevenson

Real Estate Council of Alberta (RECA) Offices in Calgary, Alberta, Canada Established in 1996 The Real Estate Act (enabling legislation) Real estate, mortgage brokerage, property management & real estate appraisers

RECA’s Mandate Self-regulation 12 Council members Set and enforce standards of conduct Detect and suppress mortgage fraud Protect consumers Provide services to improve the industry Administer the Real Estate Act

RECA’s Licensees Issue roughly 16,000 licences annually Real Estate –1,025 brokerages + 11,750 individuals Mortgage Brokerage –350 brokerages + 2,250 individuals Real Estate Appraisal –450 individuals

Professional Standards Unit (PSU) Trust Assurance & Practice Review –1 Coordinator, 2 Auditors, 1 Admin assistant Professional Conduct Review –10 Investigators, 1 Administrative assistant Professional Conduct Proceedings –1 Coordinator, 4 Lawyers, 1 Admin assistant

RECA Investigations Unauthorized activities Licensees –Real Estate, Mortgage Brokerage, Real Estate Appraisal –Level 1, Level 2, Level 3

PSU Annual Volumes 750 to 850 unique discipline inquiries 350 to 450 investigation files 250 to 350 disciplinary outcomes

Situation Analysis – Jan Open investigation files Intake continues to exceed output More than 2 years behind and some files in which complaint events were 5 years prior to the date of complaint

The Journey Think Tank Session – March, 2010 Resources & Resourcefulness Tactical Team – Reviews 200+ Files

The Journey Additional Resources –2 X additional investigators –2 X additional lawyers (1 year later) Electronic Case Management System

The Journey Strategic Planning Retreat – March, 2011 –Plan adopted by Council October, 2011 Corporate Realignment – December, 2011 –Combine audit, investigations & prosecution

Statement on Self-Regulation

Right-Touch Compliance proportionate and targeted It is the minimum regulatory force required to achieve the desired result. “Right-touch regulation means always asking what risk we are trying to regulate, being proportionate and targeted in regulating that risk or finding ways other than regulation to promote good practice and high quality health care. It is the minimum regulatory force required to achieve the desired result.” Harry Cayton Chief Executive Council for Healthcare Regulatory Excellence

The Journey Policies, procedures, and work flow simplified to assist rather than inhibit CRIAA Team (Intake Team) New PCRO Recruitment & Training Alternate Complaint Resolution Re-Branding Launch

Crystal Clear Vision

Peter Drucker

Key Performance Indicators Level 1 – Maximum 90 days Level 2 – Maximum 180 days Level 3 – Maximum 365 days Prosecution – Hearing set within 8 months

CBS Surveys Complainant, Broker, and Subject Post conduct proceeding surveys 25% of all complete files in subsequent fiscal quarter

CBS Surveys Did you attempt to resolve the complaint? Did you find our requests easy to understand? Did the length of the process meet your expectations?

CBS Surveys … courteous, professional, and approachable? … present your side of the story? … handling of the complaint was fair and just?

CBS Surveys Did the length of the process meet your expectations?

CBS Surveys

Was the PCRO courteous, professional, approachable?

Trends and Results

Speaker Contact Information Charles Stevenson Director, Professional Standards Real Estate Council of Alberta e: t: