Managing Regulation, Enforcement and Compliance
19-24 October 2014, Canberra
This workshop examines the distinctive strategic and managerial challenges that surround government's regulatory and enforcement functions, recognising that the quality of life in a democracy depends heavily on when and how government agencies exercise their coercive power over individuals and institutions.
This course will focus principally on issues of social regulation (the abatement or control of risks to society), although economic regulation will also be considered and discussed. The course focuses on the operations and management of regulatory and enforcement agencies rather than on reforms of the legal frameworks under which they operate. Current prescriptions for reform (such as those oriented toward customer service and process improvement) will be examined in light of the distinctive character of the regulatory task, which values broader public purposes more than satisfying individuals or corporations.
Who should attend?
The course is designed for senior policy makers and senior enforcement officials who oversee, support or run organisations that have a significant regulatory or enforcement component. Typical participants will be managers of units or divisions focused on bringing regulatory and enforcement strategies to maturity.
Participants will represent a broad range of regulatory areas: tax and finance, environment and resources management, primary industries, law enforcement, customs, occupational health and safety, transport, communications and media and functional responsibilities including compliance, legal, budgeting and operations.
At the end of the program, participants will have a clear understanding of:
- The types of budgetary support, analytic support, and authorisation required to run effective risk-control, problem solving or compliance-management operations
- The systems and methods needed to support effective risk assessment, risk selection, and effective action to suppress them
- How an agency might use innovative compliance-orientated tools without being perceived as going ‘soft’ on violators
- The benefits and limitations of applying the customer-service model as a guide for regulatory operations
- The constraints that should be placed on the use of self-audit privileges, amnesties, and immunity from inspection or prosecution
- How to measure agency performance in terms of risk-mitigation impacts
- Forms of discretion recognised and exercised at different levels of the organisation.
Malcolm K. Sparrow is Professor of the Practice of Public Management at Harvard's John F. Kennedy School of Government. He is also Faculty Chair of the school's executive programs on regulation and enforcement, corruption control, policing, and counter-terrorism. In March 2010 he was appointed by President Barack Obama to the Recovery Independent Advisory Panel, to advise on protecting the integrity of the economic stimulus package. Prof Sparrow’s books include The character of harms: operational challenges in control (2008), The regulatory craft: controlling risks, solving problems, and managing compliance (2000), and License to steal: how fraud bleeds America's health care system (2000).
Prof Sparrow served 10 years with the British Police Service, rising to the rank of Detective Chief Inspector. He has conducted internal affairs investigations, commanded a tactical firearms unit, and has extensive experience with criminal investigation. His research interests include regulatory and enforcement strategy, fraud control, corruption control, and operational risk management. He is also a patent-holding inventor in the area of computerised fingerprint analysis and is dead serious at tennis. He holds an MA in mathematics from Cambridge University, an MPA from the Kennedy School, and a PhD in Applied Mathematics from Kent University at Canterbury.
Prof Sparrow is also course leader on the executive workshop Managing Risks to Integrity in the Public Sector.
Five and a half days, residential or non-residential
Non-residential: $AU6,295 (incl GST)
Residential: $AU7,620 (incl GST)
*ANZSOG Alumni receive a 15% discount.