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Regulatory Assessment Sydney

Regulatory Assessment, Design & Implementation

We work together with public and private organisations to review, design and implement their regulatory frameworks.

We have reviewed and drafted legislation, regulations, policies, procedures, guidelines and fact sheets in relation to the following:

  • Complaints
  • Investigations
  • Privacy
  • Discrimination
  • Occupational health and safety
  • Data security and records management
  • Risk management
  • Governance
  • Confidentiality
  • Child Protection, and
    Practice management.

We ensure that every regulatory system we design and implement delivers the following outcomes:

1. The regulatory framework is proactive, not reactive

Regulation is traditionally reactive. That is, regulation is created and enforced in response to an event that has previously occurred. This is the typical regulatory framework for regulators of professions.

In this scenario, a regulator receives notification about certain conduct or behaviour, either through a complaint or many complaints or through notifications, media reports or whistle blowers. Upon receiving such information, the regulator considers an appropriate response. This response may include an amendment to the regulatory framework prohibiting or modifying such behaviour or conduct.

A proactive regulatory approach envisages regulators developing processes and procedures designed to deal with conduct and behaviours before they become a problem. “Entity regulation” and “proactive management based regulation” is an example of proactive regulation.

2. The regulatory framework has a stated purpose

The adoption of a clearly stated purpose in regulation has multi-faceted benefits. These include as follows:

(a) a purpose statement definitively sets out the intention of the regulation(s) and its parameters and serves as a guide to assist those regulating and those being regulated.
(b) a clearly stated purpose statement assists in ensuring that the function and purpose of the regulation(s) is transparent; and
(c) a clearly stated purpose can help define the parameters of the regulator.

3. The regulatory framework is comprised of principles or outcomes

The regulatory framework should comprise of principles and proscription, but with an emphasis on principles. That is, the regulatory framework should not contain detailed, prescriptive rules but should contain more high level, broadly stated principles or outcomes to set the standards by which regulated individuals and entities need to practice.

A regulatory framework based on principles or outcomes will allow greater flexibility both the regulator and regulated and will shift the focus to the purpose behind the regulation(s), rather than just on the detailed provisions. A regulatory framework that is based on principles or outcomes will also remove the regulatory burden off those being regulated. Lastly a regulatory framework that is based on principles or outcomes will result in cultural change by defining how the regulator and regulated should behave.

4. The regulatory framework creates a partnership between the regulator and the regulated

4. The regulatory framework creates a partnership between the regulator and the regulated
Regulatory frameworks are traditionally adversarial. That is, the regulator is often pitted against the regulated and the framework is based on control and suppression of inappropriate behaviour and unfortunately, initiative.

Regulatory frameworks that have a stated purpose which is shared by both the regulator and the regulated result in greater understanding and willingness to regulate and act to ensure improvement in customer service and greater levels of professionalism.

5. The regulatory framework offers benefits to all stakeholders.
Regulatory frameworks do not typically offer benefit to all stakeholders. Rather they offer benefits to one particular group such as to the government or perhaps consumers and in some circumstances both. The impact of this situation is frequent complaints by those being regulated that regulation is suppressive and irrelevant. This situation can be ameliorated by ensuring that regulatory frameworks are designed to offer benefits to all stakeholders.

Our Works & Contributions

More Information - Follow Source
L.S. Terry, S. Mark and T. Gordon, “Adopting Regulatory Objectives for the Legal Profession”, May 2012, Fordham Law Review, Fordham University School of Law, Vol 80, No 6, p.2685-2760.

See www.ir.lawnet.fordham.edu/article-4807

T. Gordon, S. Mark and C. Parker “Regulating Law Firm Ethics Management: An Empirical Assessment of the Regulation of Incorporated Legal Practices in NSW”, Journal of Law and Society, 2010.

See http://onlinelibrary.wiley. com/doi/10.1111/j.1467-6478. 2010.00515.x/abstract

Susan S. Fortney and Tahlia Gordon, Adopting Law Firm Management Systems to Survive and Thrive: A Study of the Australian Approach to Management-Based Regulation, 10 U. St. Thomas L.J. 152 (2012),

See scholarlycommons.law.hofstra.edu/article-1292/faculty-scholarship

L. Terry, S. Mark and T. Gordon, Trends and Challenges in Lawyer Regulation:
The Impact of Globalization and Technology, 80 Fordham L. Rev. 2621 (2012),

See www.ir.lawnet.fordham.edu/article_4806

S. Mark and T. Gordon, “Regulating the Legal Profession – A Prototype for Change”, in J. O’Brien and G. Gilligan (eds.), Integrity, Risk and Accountability in Capital Markets Regulating Culture, First edition, Hart Publishing, September 2013.

See, https://www.amazon.com/Integrity-Risk-Accountability-Capital-Markets/dp/1849465673