Managing Regulation, Enforcement and Compliance

30 November - 5 December 2008
Wellington, New Zealand

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This executive workshop examines the distinctive strategic and managerial challenges that surround government’s regulatory and enforcement functions. The course focuses on a range of areas of regulation and law enforcement, and participants come from a wide variety of fields such as safety, environment and resources, primary industries, customs, financial and economic regulation. A key issue is the management of compliance and the design and delivery of effective compliance strategies.

The emphasis is more on the strategic aspects of operations and management of regulatory and enforcement functions than on reform of the legal framework or on economic analysis. In this sense the course focuses on issues concerning the abatement or control of risks to society.

Current prescriptions for 'reinvention' and reform (such as those oriented towards customer service and process improvement) are 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 policymakers and senior enforcement officials who oversee, support, or run organisations that have a significant regulatory or enforcement component.

Participants represent a broad range of regulatory areas (e.g., tax and finance, environment and resources management, primary industries, law enforcement, customs, occupational health and safety, transport, communications and media) and functional responsibilities (compliance, legal, budgeting, operations). Typical participants are managers of units or divisions focused on bringing regulatory and enforcement strategies to maturity.

Course Leader - Malcolm Sparrow

Malcolm Sparrow is a foremost international expert in regulatory and enforcement strategy, security and risk control. He is the Professor of the Practice of Public Management at the Harvard Kennedy School, Harvard University, and Faculty Chair of the Executive Program on Strategic Management of Regulator and Enforcement Agencies. He is the author of the widely acclaimed book, The Regulatory Craft: Controlling Risks, Solving Problems & Managing Compliance. A mathematician by training, he joined the British Police Service in 1977, serving for ten years and rising to the rank of Detective Chief Inspector. At that rank, he headed the Kent County Constabulary Fraud Squad. During that time, he conducted internal affairs investigations, commanded a tactical firearms unit, and had extensive experience of criminal investigation and general police management. In 1988, he left the police service to take up a faculty appointment at Harvard University.

His research interests relate to the risk-control functions of government, and to the special managerial challenges, which confront agencies of social regulation and law enforcement. He is an international published author in areas of regulation, fraud, policing, and ethics. He is the patent holding inventor in the area of Automated Fingerprint Identification System (AFIS); having developed the topological approach to fingerprint matching that is now built into the FBI’s new NCIC system.