Complaints, Investigations, and Outcomes: A New PerspectiveCharles 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 2010

• 730 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

“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 CaytonChief 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 processmeet your expectations?

CBS Surveys

CBS Surveys

Was the PCRO courteous,professional, approachable?

Trends and Results

Trends and Results

Speaker Contact Information

Charles StevensonDirector, Professional StandardsReal Estate Council of Albertae: Charles@RECA.cat: 403.685.7921