Managing regulation, enforcement and compliance

As the world reels and recovers from the impacts of COVID-19, it has never been more important for regulators to develop a clearer understanding of how to deliver effective risk-control, solve important problems and manage compliance.  

Join Harvard Kennedy School of Government Professor Malcolm Sparrow, a former senior British Police Officer, who will examine the distinctive managerial and operational challenges faced by government officials and other professionals who have regulatory, enforcement, security, compliance-management, or other risk-control responsibilities. These roles involve the provision of societal protections or the control of harms—a type of governmental work quite different than that of delivering services.

This one-of-a-kind online workshop emphasises the management and operations of such agencies (regulatory practice) as opposed to the reform of law (regulatory policy), and it is oriented more towards social regulation (provision of safety, health, security) rather than economic regulation (efficient functioning of specific markets). 

“I hope in this course to honour the importance of the role that regulatory practitioners play, and to recognise the complexity of the choices they face as they design their regulatory operations and carry out their public duties,” says Professor Sparrow.   

“Many participants leave the program excited to think of themselves as part of a community of professional regulators, experts in the art of risk-control and harm-reduction.” 

This online workshop will provide you with an opportunity to be part of a stimulating, intellectually rigorous learning environment. Discussions and cases will span a variety of regulatory and enforcement domains, from the environment to public health to crime. Each case is chosen based on its ability to provoke, illuminate, and define ubiquitous dilemmas and emerging approaches. 

A critical component of the program involves personal reflection upon your own professional experiences and sharing these examples in both small group and class sessions. You will leave the program with a better understanding of the pressures faced by regulators today and a broader appreciation of potential adaptations you might make in response.  

The program is designed for career public servants destined for senior management and executive roles and provides them with an understanding of a broad range of opportunities to improve the value and effectiveness of agency operations.  

What will you learn?  

Professor Sparrow’s workshop will include plenary and small-group discussions, and a small number of special guest presentations. Managing regulation, enforcement and compliance will provide you with an opportunity to develop a clear understanding of the following core issues in regulatory practice:  

  • How success should be defined and best measured in a regulatory or risk-control setting. 
  • What taking a “risk-based approach” to regulation means in practice. 
  • What it means to be vigilant with respect to novel, emerging, or invisible risks. 
  • How to determine which parts of the risk-management task can be safely delegated to industry and third parties, and under what circumstances.   
  • What structural decisions are involved in choosing among various regulatory models, such as prescriptive regulation, performance-based regulation, responsive-regulation, self-regulation, etc.
  • Why and when should one model be preferred over another. 
  • How executives can focus their agencies on specific harm-reduction objectives when the harms don’t align with any established piece of the organizational structure. 
  • What types of discretion are involved as regulators pick and choose what to work on and what methods to use.  And what values count in governing the choices that have to be made. 
  • What type of partnerships regulators can form with diverse stakeholder groups without compromising their regulatory missions. 
  • How should professional regulators respond to “de-regulatory” winds and other political pressures? 

Who should attend?  

The program is designed for mid-to-senior-level managers in national, state, and municipal government officials who oversee, support, or run organizations that have significant regulatory or enforcement responsibilities. Participants come from a broad range of regulatory fields including, but not limited to, crime control, tax-compliance, environment, health, customs and immigration, financial regulation, fraud and corruption control, transportation, and occupational safety. 

Other professionals who benefit greatly from this program include non-profit leaders as well as members of professional boards who want to better understand the challenges of risk-control and harm-reduction. These include senior practitioners within professions like law and medicine who, by virtue of their election or appointment to a Board, acquire disciplinary, compliance management, and risk-control responsibilities.  

Who will lead the course?  

Professor Malcolm K. Sparrow – a leading international expert in regulatory and enforcement strategy, security and risk control. Read Professor Sparrow’s biography.   

This workshop will be delivered via Zoom providing a platform for inspiring and engaging delivery. Participants are encouraged to utilise a personal device if Zoom is unable to be accessed via work servers. 

ANZSOG alumni receive a 15% discount. Every person that completes the Executive Masters of Public Administration, Executive Fellows Program, Towards Strategic Leadership or an international program becomes part of our alumniOnly one discount is redeemable for each registration. 

 

When  7 – 11 June 2021 (Orientation 2 June 2021) 
Time  5 days, approximately 9am-3pm AEST each day 
Where  Online (AEST) – Zoom
Contact  Executive Education team | Telephone: +61 3 8344 1984 | Email: [email protected]
Cost  $5500 AUD (inc. GST)
Applications close 1 June, 2021 

Venue

Online AEST (Zoom)