Targeted Diagnostic & Consulting Support for Profession Regulators

How We Help Regulators

Upstream Management Solutions provides time-limited, targeted consulting and diagnostic support to professional regulatory bodies and public-sector organizations. Our work focuses on providing external capacity and specialized expertise for work regulators typically do internally—but may not have the time, resources, or specialist support to complete confidently.

We work comfortably within regulatory, governance, and oversight environments, and design our support to integrate with existing structures and accountability expectations. Our extensive experience in regulatory bodies means quick project start up – no steep learning curves.

We Speak Regulator.

Some Common Capacity Gaps We Address

- Strategic plans that no longer reflect operating realities
- Growing policy development or review project backlogs without dedicated policy capacity
- Pressure to act on AI without clear guidance
- Performance frameworks that do not support Board assurance
- Annual reports that have become compliance-focused
- Persistent service delivery or UX pain points

- Training doesn't deliver lasting impact & value

How Our Work Is Structured

Our consulting support is clearly scoped, time-limited, Board-aware, and focused on tangible outputs. We offer short diagnostics and targeted work packages rather than large transformation initiatives. All engagements are proportionate to scope and typically range from 1–6 weeks.

Project Menu Overview

Policy & Regulatory Frameworks:

- Policy Capacity Diagnostic & Roadmap

- Right Touch Regulation Integration Diagnostic

- Artificial Intelligence Adoption Diagnostic & Roadmap

- Stakeholder Engagement Capacity Diagnostic

Strategy & Direction:
- Strategic Plan Rapid Review
- Agility Diagnostic & Capacity Building

Performance, Accountability & Reporting:
- Annual Report Maturity Upgrade

- Performance Measurement & Reporting Diagnostic & Roadmap

Service Delivery & User Experience:
- Service Delivery & UX Diagnostic & Roadmap
- Targeted UX Fix Sprint

Learning & Development:

- Learning & Performance System Diagnostic & Roadmap

How to Get Started

If the issue is unclear, a short diagnostic is often the simplest first step. If the issue is already well understood, a targeted work package may be appropriate. For an informal discussion, please contact Upstream Management Solutions.

Policy & Regulatory Frameworks

Policy Capacity Diagnostic & Roadmap

For regulators experiencing an accumulation of policy issues without a clear prioritization framework or wanting to improve their policy development capacity.

Who this is typically for
- Registrar /CEO
- Policy, strategy, or governance leads
- Senior leadership teams

What’s included
- Review of current policymaking capacity

- Inventory of policy issues
- Risk-based prioritization
- Practical policy roadmap
- Executive- or Board-ready summary

Why regulators use this support:
To move from reactive policy work to structured, defensible decision-making

Right Touch Regulation Integration Diagnostic & Roadmap

This diagnostic assesses how effectively "Right-Touch" risk-proportionate principles are embedded in governance, decision-making, and operational practices, and provides a practical roadmap for stronger integration and defensibility.

Who this is typically for

- Registrar / CEO

- Senior leadership teams

- Policy and operational leads

- Governance or Board committees

What’s Included

- Review of regulatory philosophy and proportionality framework

- Assessment of cross-functional alignment (registration, QA, complaints, policy, enforcement)

- Governance and oversight alignment review

- Structured maturity scoring (4-level rubric)

- Practical, prioritized integration roadmap

- Executive- or Board-ready summary of findings

Why regulators use this support

- To ensure proportionality is consistently applied across functions

- To strengthen defensibility under oversight scrutiny

- To reduce inconsistent or reactive decision-making

- To embed risk-based thinking into governance and operations

Policy & Regulatory Frameworks Cont'd.

AI Adoption Diagnostic & Roadmap

This diagnostic helps regulators assess current and planned Artificial Intelligence (AI) use, identify governance and public-interest risks, and establish a proportionate, defensible path forward.

Who this is typically for

- Registrar / CEO

- Policy, strategy, or innovation leads

- IT and digital transformation teams

- Governance committees

What’s Included

- Inventory and risk mapping of current and proposed AI use

- Review of AI governance, policy & guidance

- Assessment of bias, transparency, and public- interest alignment

- Structured maturity scoring (4-level rubric)

- Phased AI adoption roadmap

- Executive- or Board-ready briefing

Why regulators use this support

- To responsibly explore AI opportunities without regulatory risk

- To proactively address transparency and bias concerns

-To align AI adoption with statutory and public interest obligations

- To move from ad hoc experimentation to structured governance

Stakeholder Engagement Capacity

For regulators experiencing challenges with stakeholders' engagement breadth & depth on policy change proposals

Who this is typically for
- Registrar / CEO
- Policy, communications leads
- Senior leadership teams

What’s included
- Inventory of ecosystem & stakeholders
- Review of engagement practices

- Practical roadmap
- Executive- or Board-ready summary

Why regulators use this support
To move from stakeholder disengagement or burnout to partner collaboration

Strategy & Direction

Strategic Plan Rapid Review

The Strategic Plan Rapid Review determines whether your organization requires a brand new Strategic Plan or a focused update.

Who this is typically for
- Registrar / CEO
- Policy, strategy, or governance leads
- Senior leadership teams

- Boards or Board Committees

What's Included

- Development history and visibility

- Current plan sufficiency and performance

- Environmental and strategic durability

- Governance and organizational readiness

Why Regulators Use this support

- To avoid unnecessary full planning exercises

- To ensure strategic credibility and defensibility

- To align planning effort with oversight expectations

- To bring clarity to Board-level decision making

Agility Capacity Building

For regulators wanting to balance strategic direction with agility and responsiveness to changing situations and environments

Who this is typically for
- Registrar / CEO
- Policy, strategy, or governance leads
- Senior leadership teams

- Boards or Board Committees

What’s included
- Identification of possible changing circumstances or environments

- Adaptiveness/agility capacity assessment
- Practical roadmap
- Executive- or Board-ready summary

Why regulators use this support
To move from strategic rigidity to strategic agility and responsiveness

Performance, Accountability & Reporting

Annual Report Maturity Upgrade

To strengthen regulators' annual reports as accountability, communications, and transparency tools.

Who this is typically for
- Executives
- Communications and performance staff
- Boards

What’s included
- Review against best practices
- Structural and narrative recommendations
- Revised sections or guidance

Why regulators use this support
To ensure annual reports go beyond minimum compliance.

Performance Measurement & Reporting Diagnostic & Roadmap

For regulators wanting to improve their performance measurement and reporting

Who this is typically for
- Registrar / CEO
- Policy, strategy, finance, PMO, communications, or governance leads
- Senior leadership teams

What’s included
- Assessment of current data capacity
- Review, development and measurement of KPIs, targets, and benchmarks

- Improving reporting practices
- Executive- or Board-ready summary

Why regulators use this support
To demonstrate effective regulation in the public interest

Service Delivery & User Experience

Service Delivery & UX Diagnostic

The Service Delivery & UX Diagnostic assesses how effectively your organization designs, delivers, measures, and continuously improves regulatory services across the full lifecycle — from empathy and journey mapping to governance oversight.

Who This Is Typically For

- Registrar / CEO

- Operations and service teams

- Policy and communications leads

- Senior leadership teams

- Boards or Board committees

What’s Included

- UX maturity assessment

- Review of service KPIs and mandate alignment

- Evaluation of UX capacity, tools, and resource allocation

- Assessment of empathy practices, journey mapping, and prototyping

- Governance and executive oversight review

- Clear maturity scoring profile

- Practical, phased improvement roadmap

- Executive- or Board-ready summary presentation

Why Regulators Use This Support

- To move from reactive service fixes to structured design

- To reduce friction and user frustration

- To improve registration, CPD, complaints, and other interactions

- To align service delivery with public protection objectives

- To embed continuous service improvement discipline

Targeted UX Fix Sprint

Addresses a known service or process problem quickly.

Who this is typically for
- Operations teams
- Program leads

- PMO

What’s included
- Problem definition
- User-informed solutions

- Rapid prototyping & testing
- Implementation guidance

Why regulators use this support
For fast, focused relief where the issue is clear.

Learning & Development

Learning & Performance System Diagnostic & Roadmap

This diagnostic evaluates learning architecture, instructional design quality, reinforcement systems, and measurable organizational impact.

Who This Is Typically For

- Registrar / CEO

- Human Resources & Learning leads

- Senior leadership teams

- Governance or performance committees

- Managers responsible for staff or volunteer development

What’s Included

- Structured maturity assessment

- Review of learning alignment with mandate & risk

- Evaluation of curriculum coherence & lifecycle management

- Assessment of reinforcement & transfer systems

- Multi-level evaluation & KPI linkage review

- Equal-weighted scoring profile

- Gap analysis & phased roadmap (6–18 months)

- Executive- or Board-ready summary presentation

Why Regulators Use This Support

- To move beyond compliance-based training

- To improve behavior change and performance consistency

- To reduce regulatory errors and rework

- To link learning investments to measurable public protection outcomes

-To embed a culture of continuous improvement

Staff & Volunteer Training Programs

Enhance your team's capabilities with our customized and specialized training programs and solutions to empower your workforce and volunteers. Our session topics include:

Regulatory Policy Development & Analysis - Basic/Intermediate/Advanced

Getting Started (Basic)
Introduction to "Right Touch" Regulation (Basic)
Making Act and Regulation Change requests (Basic)
Policy Analysis (Intermediate)
Policy Objectives & Options Development (Intermediate)
Stakeholder Consultations & Communication (Intermediate)
Implementation Planning & Evaluation (Intermediate)
Policy Decision-Making by Regulatory Boards (Intermediate)
Extending Right Touch Regulation Across Your Regulatory Functions (Intermediate)
Policy Intelligence (Advanced)
“Upstream” Problem Solving (Advanced)

Strategy/Strategic Planning

Strategic Thinking for Regulators (Basic)
Annual Reports in the Public Interest (Basic)
Strategy Making, Planning & Adaptation for Regulators (Intermediate)
Evaluating and Updating Strategic Plans (Advanced)
AI Strategy & Use (Intermediate)
Performance Measurement & Reporting (Advanced)

User Experience/Human-Centred Design

Service Design improvements through User Experience (Intermediate)

Learning & Development

Turning Training into Action (intermediate)

Stakeholder Engagement

From Stakeholder Management to Partner Collaboration (Intermediate).

...and more to come!

Go to our E-Learning page to register

We also offer customized training to meet your specific audience and needs. Available in in-person, remote or hybrid options, live or asynchronous (e-learning) at competitive rates. For groups of more than 5, or for bundles for more than 3 courses, contact us for a group rate.

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Empower your team with our Training programs and solutions.

Corporate Briefings & Presentations

Do you have an upcoming staff or volunteer training event, strategy session, board retreat or meeting, and are looking for practical advice and thought-provoking insights from across Ontario’s regulatory sector or facilitation?

Jordan brings 20+ years of experience inside profession regulation, working with Boards, executives, staff and committee volunteers across Ontario regulators and delegated administrative authorities. Sessions are practical, non-sales, and grounded in real regulatory contexts. He can speak (or participate in a panel) on a variety of regulatory topics on Policy making, Strategy, User Experience, Learning or Stakeholder Engagement, or facilitate your group's discussion.

Available Speaking Topics (with more to come)

Turning Training Into Action: Why training fails — and how regulators can make learning stick

Why most training doesn’t change behaviour
Practical reinforcement strategies regulators actually use

Annual Reports That Matter: Moving beyond compliance to demonstrate public interest

Common weaknesses in regulatory annual reports
Best practices from higher-performing regulators

Better Board Policy Decisions: From discussion to defensible direction

How to direct Policy (and avoid "solution mode")
Where board policy decisions often break down
Practical tools to improve clarity and consistency

Strategy That Actually Works: Linking plans, priorities, and performance

How to think and act more strategically
Why strategic plans stall (or even fail to deliver)
How to connect strategy to KPIs and reporting

Current and Emerging Regulatory Trends, and How to be Adaptive

Trends to watch out for
How to become more predictive
How to become more responsive and agile to surprises

Thinking Upstream about preventing regulatory problems

Why prevention matters
How to identify upstream and midstream opportunities

Delivery

✔ Virtual or in-person

For more information and quotes, contact us at jordan@upstreammanagesolutions.com

Ontario Regulatory Modernization Index (ORMI):
Tracking governance modernization across Ontario’s profession regulatory sector

Quarterly Sector Intelligence Monitor

The Ontario Regulatory Modernization Index (ORMI) provides structured analysis of modernization activity across Ontario’s professional regulatory sector.

Developed exclusively by Upstream Management Solutions, ORMI analyzes publicly available Board and Council agenda materials to identify emerging governance, policy, and regulatory modernization trends.

The index helps answer three key questions:

• Where is regulatory modernization occurring?
• What policy instruments are driving modernization?
• How much governance attention is being devoted to modernization initiatives?

ORMI will be updated quarterly as additional regulatory Board and Council materials become available.

What the ORMI Sector Intelligence Monitor reveals

ORMI analysis provides an evidence-based snapshot of modernization activity across Ontario’s professional regulatory sector.

The report highlights:

• how frequently modernization initiatives appear on regulatory Board agendas
• which regulatory functions are driving modernization activity
• where structural regulatory change signals are concentrated
• how governance attention is distributed between modernization initiatives and routine oversight

The ORMI Sector Intelligence Monitor provides detailed analysis of modernization signals across Ontario regulators.

The report includes:

• ORMI sector snapshot and scorecard
• Board Agenda Attention Mix (BAAM) analysis
• modernization signal distribution
• cross-tab analysis of modernization drivers
• interpretation of sector trends

**Download the latest ORMI Sector Intelligence Monitor**

ORMI Executive Brief

For regulatory leaders interested in deeper analysis, the ORMI Executive Brief provides additional interpretation of modernization signals across the sector.

The Executive Brief includes:

• deeper interpretation of modernization patterns
• benchmarking insights across regulatory domains
• implications for governance and policy capacity

If your organization would benefit from mapping its policy architecture against broader modernization signals, the ORMI Executive Brief and Board briefing options are available upon request to jordan@upstreammanagesolutions.com.

Targeted Diagnostic & Consulting Support for Profession Regulators

How We Help Regulators

Some Common Capacity Gaps We Address

How Our Work Is Structured

Project Menu Overview

How to Get Started

Policy & Regulatory Frameworks

Policy & Regulatory Frameworks Cont'd.

Strategy & Direction

​

What's Included

​Why Regulators Use this support

Performance, Accountability & Reporting

To strengthen regulators' annual reports as accountability, communications, and transparency tools.

​

Service Delivery & User Experience

Learning & Development

Staff & Volunteer Training Programs

Corporate Briefings & Presentations

Ontario Regulatory Modernization Index (ORMI): Tracking governance modernization across Ontario’s profession regulatory sector

Quarterly Sector Intelligence Monitor

Upstream Management Solutions

Why Regulators Use this support

Ontario Regulatory Modernization Index (ORMI):
Tracking governance modernization across Ontario’s profession regulatory sector