Table 1 Regulatory authority self-assessment

 Implementing legislation

The regulatory body interprets legislation to facilitate and accommodate changing public protection needs

1

1

2

1

2

 Advocacy

The regulatory body routinely provides comments on wide health system reform and change

0

2

1

2

1

Promotes professional issues that are congruent with protecting the public

1

2

2

2

1

 Responsiveness

The regulatory body has processes that are consistent with those of other disciplines

1

1

2

2

2

The regulatory body keeps guidance, codes, standards, competencies and rules in step with changing expectations of the public

1

0

2

2

2

The regulatory body interprets legislation to facilitate and accommodate changing public protection needs

0

0

2

2

2

 Board governance

Board Members of the regulatory body are subject to regular performance appraisal

1

0

1

0

0

Clear criteria and the necessary competences for the selection and appointment of senior officials and board members are available

0

0

1

0

1

Induction processes are in place for new Board Members

0

2

3

0

2

 Business processes

The regulatory body collaborates with other regulatory agencies to minimize administrative burden and maximize the use and impact of data

0

0

3

0

0

The regulatory body has mechanisms to align their accreditation systems with other agencies while continuing to fulfil their mandate

0

0

2

0

0

Develops guidance and rules that are supportive of health system change

0

0

2

0

2

The regulatory body uses new technology to streamline business and regulatory processes

0

0

2

0

2

The regulatory body has mechanisms in place to detect and deal with fraudulent applications and requests for verification

0

0

3

0

1

The regulatory body has in place disaster recovery procedures and processes

0

0

0

0

0

The regulatory body has adequate resources to enable all responsibilities to be fully discharged

1

1

2

0

1

Reporting lines are clear, and reports are comprehensive and timely

1

0

0

2

1

All committees have explicit, regularly reviewed terms of reference, and the activities of the committees are reported regularly to a full regulatory body

0

0

2

2

0

 Quality Improvement

The regulatory body identifies and promotes best regulatory practice

0

1

2

2

1

The regulatory body has access to relevant expert advice to support its decision-making processes

1

0

2

0

2

Emergent trends from the outcomes of the conduct and competence process are used to inform revisions of standards and requirements for continuing competence

0

0

2

1

0

The regulatory body routinely examines a sample of completed continuing competence returns

0

0

1

1

0

The regulatory body monitors its performance and seeks to continually improve the time taken to deal with fitness to practice allegations

0

0

2

1

2

 Accountability

The regulatory body is held to account for its performance

0

1

2

1

1

The regulatory body has a clear set of performance measures that are reported regularly

0

0

1

0

0

While there may be multi-stakeholder input to the development of standards, codes, scopes of practice policies and procedures, their application is free of inappropriate influence by government, the profession or other interested parties

2

0

2

0

0

The regulatory body acts in a manner that maintains the confidence of the public, professionals, employers and other key stakeholders

1

0

2

2

1

The regulatory body has a strategic plan with linked operation objectives that are regularly reviewed and updated

2

0

1

2

0

 Transparency

The regulatory body has a set of clearly defined and publically available operating procedures

1

0

2

3

1

The regulatory body has a balance between lay and professional members

2

0

0

2

0

The regulatory body provides clear and succinct information on their responsibilities and process to registrants and the public

1

0

3

2

1

There are clear appeals processes that can be pursued if the decisions or the actions of the regulatory body are thought to be unsound

0

0

1

2

2

All decision-making is transparent, documented and accessible to the profession and the public

0

0

3

3

1

 Collaboration

The regulatory body engages and consults key stakeholders in the development of policy and standards

0

0

3

2

2

 Competence and conduct

Continuing competence procedures are in place that uses data from multiple sources

0

0

2

2

0

The regulatory body maintains independence in resolving allegations and complaints

0

0

3

2

0

Clear, accessible and well-publicized complaint procedures are readily available

0

0

2

0

0

The regulatory body has standards of performance in relation to dealing with the receipt, acknowledgement, investigation and resolution of fitness to practice complaints and allegations

0

0

2

0

2

The regulatory body has an impartial approach in dealing with an allegation both with regard to complaints and registrants

0

0

2

2

0

An adequate range of meaningful sanctions for non-observance of the standards and non-compliance with codes of conduct is available

0

0

3

1

0

 Registry integrity

The register is accurate, comprehensive and readily accessible by the public, the registrants, employers and any other interested parties

1

0

2

2

1

The regulatory body ensures that only persons who meet stipulated criteria for licensure can practice as a health professional

2

0

3

2

1

Registration renewal procedures are efficient and effective

0

0

3

2

0

 Ethics and professional behaviour

Promotes registrant behaviour that is reflective and self-regulatory

0

0

3

2

2

The regulatory body develops and promotes sound ethical and conduct codes

1

0

3

2

3

 Standards and education

The regulatory body ensures educational programmes are aligned with the competences required by registrants for fitness to practice

0

0

3

0

1

Professional standards and competencies are developed and set in collaboration with educational providers, employers, professional organization and the public

1

0

3

0

2

 Mobility

Processes relating to health professionals wishing to migrate into or emigrate from the jurisdiction are efficient and effective

0

0

3

2

0