The Professional Regulator
Risk-based regulatory & enforcement practice
Conference Date
30th & 31st March 2020
The Fullerton Hotel Sydney
Early Bird - Save $100
Book by 13/03/20
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Day 1 - Monday 30th March, 2020

Registration, coffee & networking
Opening remarks
Risk-based regulation: Trends in reform
PART A: Risk-based regulation: Trends in reform

Professor Sparrow will provide a high-level and broad-ranging lecture and discussion on recent developments in regulatory and law enforcement strategies, and the challenges of effective risk-control. Specifically, this session will cover: 

  • Legal versus expert models of regulation
  • The relationship between promoting goods and controlling bads
  • The need for, and nature of, regulatory craftsmanship
PART B: Risk-based regulation: Trends in reform

This session will highlight the challenges of organising around risks or “problems”, rather than around functions and processes, and will examine the various possible implications of adopting a “risk-based,” “problem-centric” or “harm-reduction” focus.”  

Q & A Session

A chance for participants to nominate issues of particular concern for attention during the remainder of the workshop.

Defining success & measuring performance in a risk control setting
PART A: Defining success & measuring performance in a risk control setting

The role of analysis and management systems in risk control; project management; the aggregation and disaggregation of risks; relationship to strategic objectives; working smart, and on the right things:

  • Political and public pressures on performance reporting
  • Deficiencies of traditional reporting practices
  • Classic frustrations in trying to demonstrate “risks-reduced”
PART B: Defining success & measuring performance in a risk control setting
  • Options for defining and delegating risk-reduction tasks
  • Establishing causality
  • Measuring prevention
  • Defining long-term success
Closing remarks

Day 2 - Tuesday 31st March, 2020

Welcome, coffee & networking
Opening remarks
PART A: Management of Discretion
Management of Discretion

An interactive session in which participants will be organised into mixed groups to discuss the use of, and management of, discretion in compliance-management and risk-control settings:

  • Recognising forms of discretion and their distribution within the agency, i.e. what kinds of decisions need to be made, and who gets to make them?
  • Discussion of the changes of decision-making practices that come with the adoption of an explicit risk-mitigation approach
  • Implications for ethics, the values at stake and the nature of public accountability for agencies with regulatory, enforcement, and harm-reduction missions
CASE STUDY: Boston gun control project
PART B: Management of Discretion
Alternative regulatory structures – Lessons from civil aviation
  • The Relationship between risk-management as an operational methodology and regulatory structure
  • Different types of relationships with regulated industry
LECTURE & DISCUSSION: Understanding special categories of risk, and implications for effective control

This session will explore the implications of risks that possess certain “wicked” qualities which complicate the task of controlling them.

Closing remarks
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Key Speakers

Professor Malcolm K. Sparrow
John F Kennedy School of Government
Harvard University