A Risk Sciences International Case Study

Developing a Risk-Based Compliance Framework for Digital Service Delivery

Consumer data and protection

Client: Financial Consumer Agency of Canada (FCAC)

Listing of the client in no way affirms the client's support, sponsorship, or validation in any form of Risk Sciences International or the RSI staff member(s) who conducted this project during their stay with RSI or prior to joining the company. This case study is displayed for informative purposes only to demonstrate the capacity of RSI staff members. This case study reveals no proprietary information or information deemed sensitive.

Project description:

Developing a Risk-Based Compliance Framework for Digital Service Delivery

The Financial Consumer Agency of Canada (FCAC) engaged Risk Sciences International to provide strategic advisory services aimed at enhancing its regulatory compliance model through risk-based methodologies. FCAC’s objective was to explore new approaches that would integrate digital tools and data-driven strategies into its compliance activities, in line with its strategic goal of strengthening consumer protection in financial markets.

The work focused on designing strategies and frameworks to assess current practices, identify gaps, and propose forward-looking options. The project included a discovery phase with a review of internal documentation and relevant international guidance, followed by qualitative consultations with FCAC staff to gather insights on existing processes and challenges. A comparative analysis phase examined FCAC’s current compliance operations against best practices and stakeholder feedback to develop practical options for a risk assessment framework and a risk outlook tool.

Deliverables included a comprehensive final report outlining the current state of compliance operations, proposed frameworks for risk-based compliance, and a roadmap for implementation. The recommendations were crafted to support FCAC in allocating resources more effectively, improving non-compliance detection, and enhancing the agency’s digital service delivery capabilities.

Start: 2023

End: 2023

Experts related to this case study

Andrew Maw

Senior Analyst
Andrew’s focus since retiring from the Canadian federal public service has been to help clients improve digital service delivery by maximizing the use of their data holdings and assisting government regulators in adopting risk-based compliance models derived from data on...
Read More about Andrew Maw

More RSI Case Studies

RSI presents a very small selection of case studies to highlight some of its key work.

Communication material on lithium in drinking water and health risks

To support public communication around emerging drinking water concerns, RSI was engaged to develop accessible, scientifically grounded materials on lithium exposure and its potential health effects. The work focused on equipping stakeholders with clear, credible information that could inform both...
Read More about Communication material on lithium in drinking water and health risks

Technical Support for Risk-Based Decision Making (RBDM)

To enhance the oversight of cannabis production under its regulatory mandate, the Cannabis Directorate sought expert support in developing a risk-based decision-making framework tailored to its compliance and enforcement responsibilities. The directorate aimed to better assess and respond to non-conformance...
Read More about Technical Support for Risk-Based Decision Making (RBDM)

Finalization of Risk Assessment on Secure Opioid Dispensing Devices

To support decision-making around modifications to opioid agonist treatment delivery, a detailed risk assessment was requested to evaluate the integration of secure dispensing devices for direct patient access to hydromorphone. Building on a previously conducted preliminary assessment, the work required...
Read More about Finalization of Risk Assessment on Secure Opioid Dispensing Devices

Validation and Optimization of the Computational Tool for the Microbial Risk Assessment Framework (MRAF)

To support more consistent and quantitative assessments of new micro-organisms under the Canadian Environmental Protection Act, Health Canada's New Substances Program (NSP) sought to refine the tools and processes within its Microbial Risk Assessment Framework (MRAF). The NSP had previously...
Read More about Validation and Optimization of the Computational Tool for the Microbial Risk Assessment Framework (MRAF)

EFSA Framework for Problem Formulation

To enhance the methodological rigour of its scientific assessments, EFSA sought to develop a standardised framework for problem formulation (PF) within its non-application scientific assessment protocols. The goal was to support the planning phase of these assessments by establishing a...
Read More about EFSA Framework for Problem Formulation

Applying New Assessment Methods (NAMs) for Assessing Semi-Volatile Organic Compounds (SVOCs) in Indoor Residential Environments

Health Canada sought expert support in advancing its efforts to develop screening values for semi-volatile organic compounds (SVOCs) commonly found in residential indoor environments. Previous work on indoor air contaminants had focused on volatile organic compounds (VOCs), where screening values...
Read More about Applying New Assessment Methods (NAMs) for Assessing Semi-Volatile Organic Compounds (SVOCs) in Indoor Residential Environments

Development of a National Food Safety Information System and Risk Assessment Capacity in Vietnam

Authorities in Vietnam sought targeted expertise to strengthen the country’s ability to detect, assess, and respond to food safety threats. This initiative had two linked objectives: building a comprehensive, transparent, and reliable national food safety information system, and enhancing risk...
Read More about Development of a National Food Safety Information System and Risk Assessment Capacity in Vietnam

External Peer Review of the Draft Screening Assessment Report on Selected C3-C5 Alcohols

To support the quality and defensibility of regulatory decision-making under the Canadian Environmental Protection Act, 1999 (CEPA), Health Canada engaged Risk Sciences International to coordinate an independent external peer review of the Draft Screening Assessment Report (DSAR) for Selected C3-C5...
Read More about External Peer Review of the Draft Screening Assessment Report on Selected C3-C5 Alcohols

Risk Communication on McIntyre Powder

In response to increasing public concern about the historical use of McIntyre Powder—an aluminum-based substance once administered to miners in Ontario to prevent silicosis—the client sought expert guidance on managing risk communication related to potential health implications. Widespread media coverage...
Read More about Risk Communication on McIntyre Powder

Marine Planning and Conservation National Ecological Risk Guidance: Risk Communication Expertise

To support the refinement and implementation of its ecological risk guidance, a federal department responsible for marine conservation engaged expert assistance in risk communication. The primary objective was to ensure that the national guidance for ecological risk assessment—developed as part...
Read More about Marine Planning and Conservation National Ecological Risk Guidance: Risk Communication Expertise

Risk-Based Decision-Making (RBDM) Support for Plasma Supply / Sufficiency

Facing renewed challenges in securing a reliable domestic plasma supply, Canadian Blood Services sought support to apply a Risk-Based Decision-Making (RBDM) framework. The objective was to assess the value and implications of expanding domestic plasma collection and processing capacity in...
Read More about Risk-Based Decision-Making (RBDM) Support for Plasma Supply / Sufficiency

Analysis in Support of Risk-Based Decision-Making for the Alberta Safety Codes Council

An independent regulatory organization responsible for oversight of Alberta’s safety codes system sought to strengthen its capacity for risk-based decision-making. The organization aimed to ensure that regulatory actions—particularly in the area of petroleum storage tanks—were guided by clear, evidence-based prioritization...
Read More about Analysis in Support of Risk-Based Decision-Making for the Alberta Safety Codes Council

Age-Related Cognitive Decline: Systematic Review and Meta-Analysis

The College of Physicians & Surgeons of Alberta (CPSA) commissioned a systematic review and meta-analysis to support evidence-informed decision-making around age-related cognitive decline among practicing physicians. The initiative was led by CPSA’s Physician Health Monitoring Program (PHMP), which sought to...
Read More about Age-Related Cognitive Decline: Systematic Review and Meta-Analysis

Pickering Nuclear Facility Re‑licensing

The client sought support to finalize a Commission Member Document (CMD) for the re‑licensing of a nuclear facility. Recognizing the complexity and sensitivity of reactor re‑licensing, they requested assistance in crafting communication materials that were both technically comprehensive and accessible...
Read More about Pickering Nuclear Facility Re‑licensing

Airport traffic flow and signage review

An international airport authority sought a comprehensive assessment of passenger and vehicle traffic flow after receiving complaints of confusion and safety concerns. Reports indicated that passengers were struggling to interpret signage, often stopping too long to process graphics, which caused...
Read More about Airport traffic flow and signage review

Characterizing uncertainty in MAF values estimated using the KEMI MAF

The client sought to improve understanding of uncertainties surrounding the application of mixture assessment factors (MAFs) for aquatic receptors, specifically those estimated using the KEMI methodology. While the KEMI MAF approach is considered technically robust, its assumptions—particularly about chemical-specific controls,...
Read More about Characterizing uncertainty in MAF values estimated using the KEMI MAF

Wildfire and residential smoke risk communication

Government authorities faced recurring challenges in communicating health risks from smoke caused by both wildfires and residential burning. While these events were becoming more frequent and more severe, the public health messages often failed to resonate with affected communities or...
Read More about Wildfire and residential smoke risk communication
Load More loader