Targeted Diagnostic & Consulting Support for Profession Regulators

Regulatory Capacity System™

A structured, evidence-based system for strengthening how regulators plan, decide, perform, and demonstrate public value.

Most regulatory challenges are not isolated.
They reflect underlying capacity across strategy, policy, performance, transparency, service delivery, and stakeholder engagement.

The Regulatory Capacity System brings these elements together into a single, practical framework—supported by targeted diagnostics and Board-ready roadmaps.

How We Support Regulators

We work comfortably within regulatory, governance, and oversight environments, and design our support to integrate with existing structures and accountability expectations.

Our experience inside Ontario’s professional regulatory system means rapid project start-up—with no steep learning curve.

We Speak Regulator.

Common Regulatory Capacity Gaps

Across Ontario regulators, a consistent set of capacity challenges continues to emerge:

Strategic plans that no longer reflect operating realities
Policy development backlogs without dedicated capacity
Pressure to act on AI without clear direction
Performance frameworks that do not support Board assurance
Annual reports that have become compliance-focused
Persistent service delivery or user experience friction
Training that does not translate into sustained capability

These are rarely isolated issues—they typically reflect broader capacity gaps across the system.

The Six Elements of Regulatory Capacity

Each element represents a critical dimension of how regulators operate—and where capacity gaps most often emerge.

1. Strategic Agility

Strengthens how regulators adapt direction, reprioritize, and respond mid-cycle.

Includes:

Strategic Agility Diagnostic (SADI)
Strategic Plan Rapid Review
Strategic Agility Implementation & Capacity Building

2. Regulatory Approach & Policy

Strengthens how regulatory tools, frameworks, and right-touch principles are applied.

Includes:

Policy Capacity Diagnostic & Roadmap
Right Touch Regulation Integration Diagnostic & Roadmap

3. Performance & Impact

Strengthens how regulators define, measure, and use outcomes to inform decisions.

Includes:

Integrated Strategy–Performance System (ISPS) & Roadmap
Performance Measurement & Reporting Diagnostic & Roadmap

4. Transparency & Public Interest

Strengthens how regulators demonstrate accountability and build public confidence.

Includes:

Transparency & Public Interest Diagnostic & Roadmap
Annual Report Maturity Upgrade
Ontario Regulatory Website Transparency Index (ORWTI)

5. Stakeholder Engagement & Influence

Strengthens how external insight informs regulatory decision-making.

Includes:

Stakeholder Engagement Capacity Diagnostic & Roadmap

6. Service Delivery & User Experience

Strengthens how regulatory services are designed and experienced.

Includes:

Service Delivery & UX Diagnostic & Roadmap
UX Fix Sprint

Cross-System Enablers

Some capabilities strengthen multiple elements of regulatory capacity and are applied across the system.

How This Work Is Structured

All engagements are clearly scoped, time-limited, and designed for regulatory environments.

We focus on targeted diagnostics and practical work packages—rather than large-scale transformation initiatives.

Typical engagements:

1–6 weeks in duration
Board-aware and decision-support oriented
Focused on clear outputs and implementation-ready direction

How This Work Typically Starts

Most engagements begin with a short, structured diagnostic to identify where capacity gaps may be limiting effectiveness.

From there, organizations receive:

A clear, evidence-based assessment
A Board-ready summary of findings
A practical roadmap with prioritized actions

Not sure where to begin?

👉 Run the Regulatory Capacity Self-Check

Strategic Agility

Strategic Agility Diagnostic (SADI)
Part of the Regulatory Capacity System™ — strengthening how regulators adapt direction, reprioritize, and respond to changing conditions.

In many regulators, strategic plans continue to be reported against—even as underlying conditions shift.

The Strategic Agility Diagnostic assesses how well an organization can adapt in real time: identifying where planning, governance, and operating practices may be limiting responsiveness.

Who this is typically for

Registrars and CEOs
Boards and Councils
Strategy, policy, and executive leadership teams

What’s included

Targeted review of strategic plans, Board materials, and supporting documents
Structured assessment of strategic agility across core organizational dimensions
Leadership input through focused discussions or interviews
Identification of constraints to responsiveness (governance, planning, or operational)
Visual scoring profile and cross-cutting insights
Executive Brief (Board-ready) with key findings
Practical roadmap to strengthen strategic agility

Why regulators use this support

To identify where strategic plans are no longer aligned with operating realities
To strengthen Board-level discussion and decision-making on emerging issues
To improve the organization’s ability to respond to changing risks and priorities
To move from plan-based reporting to adaptive, real-time strategy

Interested in strengthening your organization’s ability to adapt mid-cycle?

Download the Strategic Agility Diagnostic & Roadmap (SADI) brochure

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Decision Tool: Strategic Plan Rapid Review
Part of the Regulatory Capacity System™ — supporting clear, evidence-based decisions on whether to refresh or replace your Strategic Plan.

Many regulators reach a point where their Strategic Plan no longer fully reflects operating conditions—but it is not always clear whether a full renewal is required.

The Strategic Plan Rapid Review provides a structured, evidence-based assessment of your current plan—helping leadership and Boards determine whether a targeted update or full redevelopment is the appropriate next step.

Who this is typically for

Registrars and CEOs
Policy, strategy, and governance leads
Senior leadership teams
Boards and Board committees

What’s included

Review of Strategic Plan development history, intent, and visibility
Assessment of current plan sufficiency, performance, and relevance
Evaluation of environmental alignment and strategic durability
Review of governance context and organizational readiness for planning
Identification of gaps, risks, and areas of misalignment
Clear recommendation: targeted refresh vs full Strategic Plan renewal
Executive- or Board-ready summary to support decision-making

Why regulators use this support

To avoid unnecessary or premature full planning exercises
To ensure Strategic Plans remain credible, relevant, and defensible
To align planning effort with current risks, priorities, and oversight expectations
To bring clarity and confidence to Board-level planning decisions

Not sure whether your current Strategic Plan still holds?

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Strategic Agility Implementation & Capacity Building
Follow-on support within the Regulatory Capacity System™ — translating Strategic Agility Diagnostic (SADI) insights into practical organizational capability.

Many regulators recognize the need for greater strategic agility—but translating that into day-to-day practices, governance, and decision-making can be challenging.

This targeted support builds on diagnostic insights (often from SADI), helping organizations strengthen their ability to adapt direction, reprioritize, and respond to changing conditions in practice.

Who this is typically for

Registrars and CEOs
Policy, strategy, and governance leads
Senior leadership teams
Boards and Board committees

What’s included

Translation of diagnostic findings into practical capability-building actions
Identification of key drivers of agility (governance, planning, resourcing, decision processes)
Assessment of organizational readiness to support adaptive practices
Development of tailored approaches to strengthen responsiveness and reprioritization
Targeted roadmap to embed strategic agility into operations and governance
Executive- or Board-ready summary of recommended actions

Why regulators use this support

To move from diagnosed gaps to implemented change
To strengthen real-time responsiveness to emerging risks and priorities
To embed agility into governance, planning, and operational practices
To avoid reverting to rigid, plan-based approaches

How this fits within Strategic Agility support:

This support is typically used:

following a Strategic Agility Diagnostic (SADI)
where agility gaps are already understood and implementation is the priority
when organizations need to embed adaptive practices into governance and operations

Looking to move from identifying agility gaps to actually building adaptive capability?

👉 Start with the Strategic Agility Diagnostic or get in touch to discuss your context.

Regulatory Approach & Policy

Policy Capacity Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how regulators prioritize, develop, and manage policy in alignment with risk and the public interest.

Many regulators experience a steady accumulation of policy issues—without a clear framework to prioritize, resource, and advance them.

This diagnostic assesses policy capacity in practice, identifying where demand, prioritization, and development processes may be limiting progress—and establishing a structured, risk-informed path forward.

Who this is typically for

Registrars and CEOs
Policy, strategy, and governance leads
Senior leadership teams

What’s included

Assessment of current policy capacity, structure, and resourcing
Inventory and categorization of active and emerging policy issues
Risk-based prioritization framework aligned to mandate and public interest
Review of policy development processes and decision pathways
Identification of bottlenecks, gaps, and competing demands
Practical roadmap with prioritized actions and implementation considerations
Executive- or Board-ready summary

Why regulators use this support

To move from reactive policy work to structured, defensible prioritization and decision-making
To bring clarity and discipline to competing policy demands
To better align policy activity with risk, strategy, and regulatory priorities
To improve visibility and confidence at the Board and leadership level
To establish a sustainable approach to managing ongoing policy workload

What happens next

The roadmap provides a structured approach to prioritizing and advancing policy work. Support can be provided to implement improvements in prioritization, governance, and development processes.

Interested in bringing structure and prioritization to your policy workload?

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Right Touch Regulation Integration Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how risk-proportionate regulatory principles are applied consistently across governance, decision-making, and operations.

Many regulators have articulated “Right Touch” or risk-proportionate principles—but applying those principles consistently in practice can be challenging.

This diagnostic assesses how effectively those principles are embedded and operationalized across governance, policy, and day-to-day regulatory decisions—identifying where gaps may affect consistency, defensibility, and alignment.

Who this is typically for

Registrars and CEOs
Senior leadership teams
Policy and operational leads
Governance or Board committees

What’s included

Review of regulatory philosophy, principles, and proportionality framework
Assessment of how risk-based principles are applied across functions (policy, operations, decision-making)
Evaluation of governance, oversight, and accountability for proportionality
Identification of inconsistencies, gaps, and areas of misalignment
Structured maturity scoring with cross-cutting insights
Practical, prioritized roadmap to strengthen integration and application, including implementation considerations
Executive- or Board-ready summary of findings

Why regulators use this support

To move from stated principles to consistently applied regulatory practice
To ensure proportionality is embedded across policy, operations, and decision-making
To strengthen defensibility under oversight, audit, or public scrutiny
To reduce inconsistent or reactive regulatory responses
To embed a sustainable, risk-based approach across the organization

What happens next

The roadmap outlines steps to embed risk-proportionate principles across governance and operations. Support can be provided to implement changes and strengthen consistency and defensibility in practice.

Interested in strengthening how risk-proportionate principles are applied in practice—not just articulated?

Download the Right Touch Regulation Integration Diagnostic & Roadmap brochure

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Performance & Impact

Integrated Strategy-Performance System (ISPS) Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how regulators link strategy, performance, decision-making, and reporting into a coherent system.

Many regulators have strong strategic plans, KPIs, and reporting practices—but these elements are not always connected.

The ISPS Diagnostic assesses how effectively your organization links strategy, performance measurement, reporting, and decision-making—identifying where fragmentation may be limiting impact, oversight, and accountability.

Who this is typically for

Registrars and CEOs
Strategy, policy, and performance leads
Communications and reporting teams
Boards and Board committees

What’s included

Assessment of strategic clarity and outcome definition
KPI alignment and quality review (including outcome vs activity measures)
Evaluation of reporting structure, clarity, and transparency
Analysis of how performance information is used in Board and leadership decision-making
Structured maturity scoring with visual profile (dashboard/heatmap)
Identification of gaps and misalignment across the system
Practical roadmap (6–12 months) with prioritized actions and implementation considerations

Why regulators use this support

To move from fragmented reporting to an integrated strategy–performance system
To strengthen Board oversight and evidence-informed decision-making
To better demonstrate outcomes and public interest impact
To improve alignment between strategy, measurement, and reporting
To enhance transparency and accountability through clearer performance narratives

What happens next

The roadmap provides a structured path to strengthen integration across strategy, performance, and reporting. Implementation support can be provided to embed changes in governance, measurement, and decision-making practices.

Interested in strengthening how strategy, performance, and reporting work together in practice?

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Performance Measurement & Reporting Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how regulators define, measure, and report performance.

Many regulators have established KPIs and reporting practices—but these do not always provide clear insight into outcomes, performance, or public interest impact.

The Performance Measurement & Reporting Diagnostic focuses specifically on measurement quality and reporting clarity—helping organizations strengthen how performance is defined, tracked, and communicated.

Who this is typically for

Registrars and CEOs
Policy, strategy, finance, PMO, communications, and governance leads
Senior leadership teams

What’s included

Assessment of current performance measurement capacity and data maturity
Review of KPIs, targets, and benchmarks (including outcome vs activity measures)
Evaluation of reporting structure, clarity, and usefulness
Identification of gaps in measurement, alignment, and communication
Structured maturity scoring with targeted insights
Practical roadmap to strengthen measurement and reporting practices, including implementation considerations
Executive- or Board-ready summary

Why regulators use this support

To strengthen the quality and clarity of performance measurement
To improve reporting for Boards, stakeholders, and the public
To better demonstrate outcomes and public interest impact
To move beyond activity-based reporting to more meaningful performance insight
To build a stronger foundation for broader performance system integration

How this relates to ISPS

The PMRD provides a focused assessment of measurement and reporting. It is often used:

As a targeted alternative where a full system review is not required
Or as a component within the Integrated Strategy–Performance System (ISPS) Diagnostic

What happens next

The roadmap provides targeted improvements to performance measurement and reporting. Support can be provided to implement changes and strengthen data, reporting, and communication practices.

Interested in strengthening how your organization measures and reports performance?

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Transparency & Public Interest

Transparency & Public Interest (TPI) Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how regulators demonstrate accountability and build public confidence.

From Disclosure to Demonstrated Accountability

Many regulators publish extensive information—but this does not always translate into clarity, understanding, or public confidence.

The Transparency & Public Interest Diagnostic assesses how transparency functions in practice across governance, performance, and public communication—identifying where disclosure may not yet support demonstrated accountability.

Who this is typically for

Registrars and CEOs
Senior leadership teams
Communications and policy leads
Boards and Councils seeking to strengthen transparency and public confidence

What’s included

Structured, consulting-grade assessment of transparency across four domains:
Public-Facing, Governance & Decision-Making, Performance & Public Interest Visibility, and Regulatory Focus & Public Protection Signals
Maturity profile with domain-level scoring and cross-cutting insights
Identification of gaps between disclosure and demonstrated accountability
Targeted observations on strengths and areas for improvement
Prioritized, practical roadmap aligned to governance and operating context, including implementation considerations

Why regulators use this support

To move from compliance-based disclosure to demonstrated accountability
To strengthen public trust and confidence through clearer communication and visibility
To improve Board-level transparency of performance, decisions, and public interest rationale
To identify high-impact, practical improvements across governance and communications
To better align transparency with strategy, performance, and regulatory purpose

What happens next

The roadmap identifies practical steps to strengthen transparency and accountability. Support can be provided to implement improvements in reporting, communication, and governance practices.

Interested in strengthening how transparency functions in practice—not just what is published?

Download the Transparency & Public Interest Diagnostic & Roadmap brochure

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Annual Report Maturity Upgrade

Targeted support within the Regulatory Capacity System™ — strengthening annual reports as tools for accountability, transparency, and public communication.

Annual reports are one of the most visible ways regulators demonstrate accountability—but many remain compliance-focused and do not fully communicate performance, outcomes, or public interest impact.

This targeted support strengthens how annual reports function in practice—improving structure, clarity, and alignment with governance, performance, and transparency expectations.

Who this is typically for

Executives and senior leadership teams
Communications and performance/reporting staff
Boards and Board committees

What’s included

Review of current annual report against leading practices and regulatory expectations
Assessment of alignment with strategy, performance, and public interest outcomes
Identification of gaps in clarity, structure, and narrative
Recommendations to strengthen transparency, accessibility, and impact
Targeted revisions, sample sections, or content guidance
Executive- or Board-ready summary of key improvements

Why regulators use this support

To move beyond compliance-based reporting to demonstrated accountability
To better communicate performance, outcomes, and public protection
To strengthen public confidence through clearer, more accessible reporting
To align annual reporting with broader transparency and performance systems
To improve the usefulness of annual reports for Boards and stakeholders

How this fits within the Regulatory Capacity System

This work is typically undertaken:

As a targeted follow-on to the Transparency & Public Interest Diagnostic (TPI)
Or as a focused improvement where reporting is the primary gap

Looking to strengthen how your organization demonstrates accountability through its annual report?

👉 Start with the Transparency & Public Interest Diagnostic or get in touch to discuss your context.

Ontario Regulatory Website Transparency Index (ORWTI)

Part of the Regulatory Capacity System™ — providing structured benchmarking of transparency practices across Ontario regulators.

Transparency expectations for regulators continue to evolve—but it is not always clear how individual organizations compare across the sector.

The Ontario Regulatory Website Transparency Index (ORWTI) provides a structured assessment of publicly available transparency practices, focusing on governance visibility, performance reporting, and public interest communication.

What ORWTI assesses

The index evaluates transparency across key dimensions, including:

Governance visibility (e.g., Board composition, agendas, and decisions)
Accessibility of strategic and annual reporting
Clarity of public interest and regulatory purpose
Availability of performance and outcome information
Public access to participation, input, and engagement processes

How regulators use ORWTI

To understand how their transparency practices compare across the sector
To identify gaps in publicly visible governance and reporting
To inform improvements in website content and accessibility
To support broader transparency and public confidence initiatives

How this fits within the Regulatory Capacity System

ORWTI provides a benchmarking lens that complements the:

Transparency & Public Interest Diagnostic (TPI) (organizational assessment)
Annual Report Maturity Upgrade (reporting improvement)

Interested in understanding how your organization’s transparency compares?

👉 Get in touch to discuss how ORWTI insights can inform your approach.

Stakeholder Engagement & Influence

Stakeholder Engagement Capacity Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how regulators incorporate external insight into decision-making and build durable relationships.

Stakeholder engagement is a core function of modern regulation. Most regulators are active in engagement—but far fewer can demonstrate how that engagement influences decisions or strengthens relationships over time.

This diagnostic assesses how engagement functions in practice: examining whether activities are structured, connected to decision-making, and capable of generating sustained value.

Who this is typically for

Registrars and CEOs
Senior leadership teams
Policy and strategy leaders
Communications teams

What’s included

Inventory and mapping of stakeholder ecosystem and key relationships
Review of current engagement approaches, practices, and reach
Evaluation of engagement depth, consistency, and influence on decision-making
Maturity profile with structured scoring and insights
Identification of gaps, including breadth, depth, and engagement fatigue risks
Practical roadmap to strengthen stakeholder engagement and collaboration, including implementation considerations
Executive-ready summary with targeted recommendations

Why regulators use this support

To move beyond consultation activity to purposeful, decision-linked engagement
To strengthen the role of stakeholder insight in policy and strategic decisions
To improve stakeholder trust through clearer, more consistent engagement practices
To move from stakeholder disengagement or consultation fatigue to sustained, partner-based collaboration

What happens next

The roadmap provides clear steps to strengthen engagement practices and decision linkage. Support can be provided to implement changes and build more consistent, sustainable engagement approaches.

Interested in strengthening how stakeholder engagement informs decisions and builds long-term trust?

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Service Delivery & User Experience

Service Delivery & UX Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how regulatory services are designed, delivered, and continuously improved across the full lifecycle.

Regulatory services are central to how organizations interact with the public and registrants. Many regulators have improved individual processes—but fewer have a structured approach to service design, measurement, and continuous improvement.

This diagnostic assesses how effectively services are designed and managed in practice—examining user experience, performance, and governance across the full regulatory lifecycle.

Who this is typically for

Registrars and CEOs
Operations and service delivery teams
Policy and communications leads
Senior leadership teams
Boards and Board committees

What’s included

Assessment of service design and user experience maturity across the lifecycle
Review of service KPIs, performance measures, and alignment with mandate and public protection objectives
Evaluation of UX capacity, tools, and resource allocation
Assessment of user understanding practices (e.g., empathy work, journey mapping, prototyping)
Review of governance, leadership oversight, and accountability for service performance
Maturity profile with structured scoring and cross-cutting insights
Practical, phased roadmap for service improvement and capability development, including implementation considerations
Executive- or Board-ready summary presentation

Why regulators use this support

To move from reactive service fixes to structured, intentional service design
To reduce friction and improve user experience across key regulatory interactions
To strengthen service performance in areas such as registration, CPD, and complaints processes
To better align service delivery with public protection and regulatory objectives
To embed a sustainable approach to continuous service improvement

What happens next

The roadmap outlines targeted improvements across service design, performance, and governance. Where needed, support can be provided to implement changes and embed continuous service improvement practices.

Interested in strengthening how your services are designed and experienced across the regulatory lifecycle? 👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Implementation: Targeted UX Fix Sprint

Targeted support within the Regulatory Capacity System™ — rapidly resolving specific service or process issues using structured UX methods.

Regulators often face specific service or process challenges—where the issue is clear, but resolution is slowed by competing priorities or lack of structured design approaches.

The Targeted UX Fix Sprint provides a focused, time-limited intervention to define the problem, test solutions, and establish a clear path to improvement.

Who this is typically for

Operations and service delivery teams
Program leads
PMO or transformation teams

What’s included

Rapid clarification and scoping of the service or process issue
Review of current-state experience and pain points
Use of user-informed methods to generate and assess solution options
Rapid prototyping and testing of potential improvements
Clear recommendations and implementation guidance
Summary of findings and next steps for leadership

Why regulators use this support

To resolve specific service issues quickly and effectively
To reduce user friction and operational inefficiencies
To test solutions before committing to broader changes
To introduce structured UX methods in a practical, low-risk way
To support immediate improvements while longer-term work is underway

How this fits within the Regulatory Capacity System

This work is typically undertaken:

As a targeted follow-on to the Service Delivery & UX Diagnostic
Or where a specific service issue is already well understood and requires rapid resolution

Have a specific service issue that needs to be resolved quickly?

👉 Get in touch to discuss a focused UX Fix Sprint.

Regulatory Capacity Diagnostic (RCD)
The system-level diagnostic within the Regulatory Capacity System™ — providing a omprehensive, organization-wide assessment of regulatory capacity.

Most regulatory challenges do not sit within a single function. They reflect underlying capacity across strategy, policy, performance, transparency, service delivery, and stakeholder engagement.

The Regulatory Capacity Diagnostic provides a structured, evidence-based assessment across these domains—identifying strengths, gaps, and practical opportunities to strengthen overall regulatory effectiveness.

Who this is typically for

Regulators undertaking modernization or transformation initiatives
Organizations experiencing performance, transparency, or service delivery challenges
Leadership teams seeking a clear, structured view of organizational capacity
Boards seeking assurance on regulatory effectiveness and alignment with the public interest

What’s included

Structured assessment across core regulatory capacity domains
Review of key documents, systems, and organizational practices
Leadership input through targeted discussions and interviews
Evidence-based scoring and identification of cross-domain gaps
Visual maturity profile with integrated insights across the system
Executive Brief (Board-ready) summarizing key findings
Practical Capacity Roadmap with prioritized, sequenced actions

Why regulators use this support

To move from fragmented improvement efforts to a coherent, system-level capacity strategy
To identify root causes across functions—not just symptoms within individual areas
To support Board-level discussions with objective, structured evidence
To prioritize effort and investment where it will have the greatest impact
To strengthen the organization’s ability to demonstrate performance, transparency, and public protection

How this fits within the Regulatory Capacity System

The RCD provides a whole-of-organization view of capacity. It is often used:

As a starting point to identify priority areas for improvement
Or alongside targeted diagnostics (e.g., Strategic Agility, ISPS, TPI) for deeper analysis

Not Sure Where to Start?

Run the Regulatory Capacity Self-Check (👉 Takes 3–5 minutes)

A short, structured assessment to identify where your systems may be limiting performance, transparency, and impact.

Enter your email to receive:

A tailored summary of your results
Key observations based on your responses
Suggested next steps aligned to common regulatory capacity gaps

This is not an automated scorecard—it is a brief, structured interpretation of what your results may mean for your organization. Your email address will only be used by Upstream Management Solutions to provide your results and follow-up insights.

What your results may point to

Across Ontario regulators, Self-Check results often highlight a small number of underlying capacity areas:

Strategy & Agility – where plans are not adapting to emerging risks
Policy Capacity & Regulatory Design – where frameworks are under pressure
Performance Measurement & Reporting – where outcomes are not clearly defined or tracked
Transparency & Public Interest – where expectations are increasing

The Self-Check helps identify where these patterns may exist. The next step is understanding what they mean—and how to address them.

Cross-System Enablers

Artificial Intelligence (AI) Adoption Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how regulators adopt and govern emerging technologies in alignment with the public interest.

Interest in Artificial Intelligence (AI) is accelerating across regulators—but adoption often outpaces governance, policy, and risk clarity.

This diagnostic assesses current and planned AI use, identifying governance, transparency, and public-interest considerations—and establishing a proportionate, defensible path forward.

Who this is typically for

Registrars and CEOs
Policy, strategy, and innovation leads
IT and digital transformation teams
Governance committees and senior leadership

What’s included

Inventory and risk mapping of current and proposed AI use cases
Review of AI governance structures, policies, and internal guidance
Assessment of key risk dimensions (bias, transparency, accountability, and public-interest alignment)
Evaluation of organizational readiness and oversight capacity
Structured maturity scoring with cross-cutting insights
Phased roadmap for responsible AI adoption and governance, including implementation considerations
Executive- or Board-ready briefing

Why regulators use this support

To explore AI opportunities while managing regulatory, legal, and reputational risk
To proactively address bias, transparency, and accountability considerations
To align AI use with statutory obligations and the public interest
To move from ad hoc experimentation to structured, governed adoption
To support informed Board and leadership discussions on AI

What happens next

The roadmap outlines a proportionate path forward for AI adoption. Support can be provided to implement governance structures, policies, and oversight mechanisms.

Interested in exploring AI in a way that is governed, proportionate, and aligned with the public interest?

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Learning & Performance System Diagnostic & Roadmap

Part of the Regulatory Capacity System™ — strengthening how learning translates into consistent performance and measurable public protection outcomes.

Most regulators invest in training and development—but learning does not always translate into consistent behavior, improved performance, or measurable impact.

This diagnostic assesses how learning functions as a system: examining alignment with regulatory risk, instructional quality, reinforcement, and whether learning leads to sustained performance improvement in practice.

Who this is typically for

Registrars and CEOs
Human Resources and Learning leads
Senior leadership teams
Governance or performance committees
Managers responsible for staff or volunteer development

What’s included

Structured assessment of learning and performance system maturity
Review of alignment between learning priorities, regulatory mandate, and risk
Evaluation of curriculum design, coherence, and lifecycle management
Assessment of reinforcement, transfer, and on-the-job application systems
Review of measurement approaches, including multi-level evaluation and KPI linkage
Structured scoring profile with cross-cutting insights
Gap analysis and phased roadmap (6–18 months), including implementation considerations
Executive- or Board-ready summary presentation

Why regulators use this support

To move beyond compliance-based training to performance-focused learning systems
To improve consistency of practice and reduce errors or rework
To strengthen the link between learning investments and regulatory outcomes
To support measurable improvements in performance and public protection
To embed a sustainable culture of continuous learning and improvement

How this fits within the Regulatory Capacity System

Learning and performance systems act as a cross-system enabler—supporting:

Strategy execution (Strategic Agility)
Performance improvement (ISPS / PMRD)
Service quality (UX)
Regulatory consistency (RTR, Policy Capacity)

What happens next

The roadmap identifies steps to strengthen learning and performance systems. Support can be provided to implement improvements in curriculum, reinforcement, and measurement practices

Interested in strengthening how learning translates into measurable performance and public protection outcomes?

👉 Start with the Regulatory Capacity Self-Check or get in touch to discuss your context.

Cross-System Enablers (cont'd.)

Policy Intelligence & Environmental Scanning
Part of the Regulatory Capacity System™ — strengthening how regulators identify, interpret, and act on emerging policy, regulatory, and environmental signals.

Regulators operate in environments where policy expectations, risks, and external pressures evolve continuously. While many organizations monitor developments informally, fewer have structured approaches to identifying, interpreting, and acting on emerging signals.

This support strengthens policy intelligence capability—helping organizations move from ad hoc scanning to systematic, decision-relevant insight.

Who this is typically for

Registrars and CEOs
Policy, strategy, and governance leads
Senior leadership teams
Boards and Board committees

What’s included

Review of current environmental scanning and intelligence practices
Identification of key external domains (policy, legislative, sector, stakeholder, risk)
Assessment of how external signals are captured, filtered, and prioritized
Evaluation of how intelligence informs decision-making and governance discussions
Structured approach to organizing and maintaining policy intelligence
Practical recommendations to strengthen scanning, interpretation, and use
Executive- or Board-ready summary

Why regulators use this support

To move from informal monitoring to structured policy intelligence
To identify emerging risks and opportunities earlier
To strengthen strategic agility and forward-looking decision-making
To improve the quality of Board and leadership discussions
To ensure external developments are systematically considered in policy and strategy

How this fits within the Regulatory Capacity System

Policy intelligence supports multiple elements:

Strategic Agility (external signals and triggers)
Policy Capacity and RTR (emerging regulatory directions)
ISPS and TPI (evolving expectations for performance and transparency)

It complements ORMI, which provides sector-level insight, by strengthening how organizations interpret and apply that intelligence internally.

Interested in strengthening how your organization identifies and uses external policy signals?

👉 Get in touch to discuss your context.

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

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.

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

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.

Targeted Diagnostic & Consulting Support for Profession Regulators

How We Support Regulators

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​​​The Six Elements of Regulatory Capacity

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Cross-System Enablers

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How This Work Is Structured

How This Work Typically Starts

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Strategic Agility

Strategic Agility Diagnostic (SADI) Part of the Regulatory Capacity System™ — strengthening how regulators adapt direction, reprioritize, and respond to changing conditions.

Decision Tool: Strategic Plan Rapid Review Part of the Regulatory Capacity System™ — supporting clear, evidence-based decisions on whether to refresh or replace your Strategic Plan.

Strategic Agility Implementation & Capacity Building Follow-on support within the Regulatory Capacity System™ — translating Strategic Agility Diagnostic (SADI) insights into practical organizational capability.

Regulatory Approach & Policy

Policy Capacity Diagnostic & Roadmap

Performance & Impact

Transparency & Public Interest

Transparency & Public Interest (TPI) Diagnostic & Roadmap

Annual Report Maturity Upgrade

Stakeholder Engagement & Influence

Stakeholder Engagement Capacity Diagnostic & Roadmap

Service Delivery & User Experience

Regulatory Capacity Diagnostic (RCD) The system-level diagnostic within the Regulatory Capacity System™ — providing a omprehensive, organization-wide assessment of regulatory capacity.

Cross-System Enablers

Artificial Intelligence (AI) Adoption Diagnostic & Roadmap

What happens next

Learning & Performance System Diagnostic & Roadmap

Cross-System Enablers (cont'd.)

Policy Intelligence & Environmental Scanning Part of the Regulatory Capacity System™ — strengthening how regulators identify, interpret, and act on emerging policy, regulatory, and environmental signals.

Corporate Briefings & Presentations

Staff & Volunteer Training Programs

The Six Elements of Regulatory Capacity

Strategic Agility Diagnostic (SADI)
Part of the Regulatory Capacity System™ — strengthening how regulators adapt direction, reprioritize, and respond to changing conditions.

Decision Tool: Strategic Plan Rapid Review
Part of the Regulatory Capacity System™ — supporting clear, evidence-based decisions on whether to refresh or replace your Strategic Plan.

Strategic Agility Implementation & Capacity Building
Follow-on support within the Regulatory Capacity System™ — translating Strategic Agility Diagnostic (SADI) insights into practical organizational capability.

Regulatory Capacity Diagnostic (RCD)
The system-level diagnostic within the Regulatory Capacity System™ — providing a omprehensive, organization-wide assessment of regulatory capacity.

Policy Intelligence & Environmental Scanning
Part of the Regulatory Capacity System™ — strengthening how regulators identify, interpret, and act on emerging policy, regulatory, and environmental signals.