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Unit of study_

LAWS6330: Fundamentals of Regulation

Intensive September, 2020 [Block mode] - Camperdown/Darlington, Sydney

This unit examines regulatory theory and practice within the context of the regulatory state. Growing privatization and corporatization has heightened demand for public regulation of private activities, but also for regulation of the state itself. At the same time, consumers, governments, and civil society place pressure on the private sector to address the social and environmental consequences of its actions through various forms of self-regulation. These trends have produced increasingly complex regulatory systems, and regulation is now a dominant aspect of the legal landscape, at both national and international levels. This unit acts as an introduction to key theories, concepts, and debates within the field of regulatory studies, as well as to the main tools and instruments of regulation. Focusing on social regulation, it uses practical examples to analyze the implementation and enforcement of regulatory regimes in various areas, including public health, workplace health and safety, and environmental protection. It explores corporate responses to regulation, as well as the roles, practices, and accountability of regulatory agencies, and of other actors involved in the administration, monitoring, and enforcement of regulation. The unit will be of interest to lawyers and other professionals engaged in regulatory compliance and enforcement, as well as to students with an interest in regulatory theory and practice more broadly. This unit will provide a gateway for further study in more specialized areas of regulation.

Unit details and rules

Unit code LAWS6330
Academic unit Law
Credit points 6
Prohibitions
? 
None
Prerequisites
? 
None
Corequisites
? 
None
Assumed knowledge
? 

None

Available to study abroad and exchange students

No

Teaching staff

Coordinator Belinda Reeve, belinda.reeve@sydney.edu.au
Type Description Weight Due Length
Participation Class participation
Participation in class discussions and online discussion board
0% - Ongoing
Outcomes assessed: LO1 LO6 LO5 LO4 LO3 LO2
Presentation Class presentation
Oral presentation
0% Week 07
Due date: 16 Oct 2020 at 16:00

Closing date: 20 Nov 2020
15 minutes
Outcomes assessed: LO1 LO6 LO5 LO4 LO3 LO2
Assignment Short response question
Short response question
0% Week 07
Due date: 16 Oct 2020 at 16:00

Closing date: 20 Nov 2020
2000 words maximum
Outcomes assessed: LO1 LO2 LO3 LO4 LO5 LO6
Assignment hurdle task Essay synopsis
Synopsis of essay topic
0% Week 07
Due date: 16 Oct 2020 at 16:00

Closing date: 30 Oct 2020
200 words maximum
Outcomes assessed: LO1 LO2 LO3 LO4 LO5 LO6
Assignment Problem question
Problem question
0% Week 09
Due date: 30 Oct 2020 at 16:00

Closing date: 20 Nov 2020
3000 words
Outcomes assessed: LO2 LO3 LO5 LO6
Online task Online quiz
Four online quizzes
0% Week 11
Due date: 13 Nov 2020 at 23:00

Closing date: 30 Nov 2020
20 minutes
Outcomes assessed: LO1 LO4 LO3 LO2
Assignment Essay 1
5,000 word essay
0% Week 11
Due date: 13 Nov 2020 at 16:00

Closing date: 11 Dec 2020
5000 words
Outcomes assessed: LO1 LO2 LO3 LO4 LO5 LO6
Assignment Essay 2
7,000 word essay
0% Week 11
Due date: 13 Nov 2020 at 16:00

Closing date: 11 Dec 2020
7000 words
Outcomes assessed: LO1 LO2 LO3 LO4 LO5 LO6
hurdle task = hurdle task ?

Assessment summary

Students can choose a combination of the assessment tasks below. The combination chosen must add up to 80% of the final mark (the remaining 20% comprises the compulsory online component (10%) and class participation mark (10%).

  • Class presentations:  There is a limit of eight presentations and students must choose from a list of questions to present on. This assessment is worth 20% of the final grade if chosen.
  • Short response questions: Students choose from a list of provided questions and write a short response. Students can also choose to do two short response questions. This assessment is worth 20% of the final grade if chosen. If students choose to do two short response questions, each one will be worth 20% of their final mark.
  • Problem questions: These problem questions are designed to test your skills in critically evaluating regulatory tools and practices. This assessment is worth 40% of the final grade if chosen.
  • Essays (5000 or 7000 words): You are required to select your own essay topic. While you may draw on your own interests or background, it is important that your essay demonstrates familiarity with the course material and the readings. Your essay must also develop a thesis or argument rather than just being descriptive. The 5000 word essay will contribute to 60% of the final grade if chosen, and the 7000 word essay will contribute 80%. 

Detailed information for each assessment option can be found on Canvas.

Assessment criteria

The University awards common result grades, set out in the Coursework Policy 2014 (Schedule 1).

As a general guide, a high distinction indicates work of an exceptional standard, a distinction a very high standard, a credit a good standard, and a pass an acceptable standard.

Result name

Mark range

Description

High distinction

85 - 100

  • Completely answers the question.
  • Contains striking originality of approach or analysis.
  • Demonstrates exhaustive or innovative research (where independent research required).
  • Exceptionally well written, structured and expressed.
  • Is otherwise exceptional in some way.

Distinction

75 - 84

  • Completely answers the question.
  • Achieves a critical and evaluative approach to the issues.
  • Content and structure is well organised in support of the argument.
  • Demonstrates extensive research and analysis to support a well-documented argument.
  • Generally well expressed and free from errors.
  • Has a clear structure and is well articulated.

Credit

65 - 74

  • Covers main issues fairly well in answering the question.
  • Contains no significant errors.
  • Demonstrates an attempted critical approach to the issues.
  • Demonstrates reasonably sound research and analysis in addressing the key issues.
  • Has a clear structure and reasonably clear expression.

Pass

50 - 64

  • Identifies the key issues, but does not follow through with a reasoned argument.
  • Contains some significant errors.
  • Displays satisfactory engagement with the key issues.
  • Offers a descriptive summary of material relevant to the question.
  • Superficial use of material, and may display a tendency to paraphrase.
  • Demonstrates little evidence of in-depth research or analysis.
  • Adequate expression.
  • Overall, demonstrates the minimum level of competence in the assessment and satisfies the requirements to proceed to higher-level studies in the degree or subject area.

Fail

0 - 49

  • Does not answer the question.
  • Contains significant or numerous errors.
  • Few or no identifiable arguments.
  • Content that is inappropriate or irrelevant.
  • Lack of research or analysis.
  • Difficult or impossible to understand through poor grammar, expression or structure.
  • Overall, does not demonstrate the minimum level of competence in the assessment.

For more information see guide to grades.

Late submission

In accordance with University policy, these penalties apply when written work is submitted after 11:59pm on the due date:

  • Deduction of 5% of the maximum mark for each calendar day after the due date.
  • After ten calendar days late, a mark of zero will be awarded.

This unit has an exception to the standard University policy or supplementary information has been provided by the unit coordinator. This information is displayed below:

The late submission of a piece of assessment, which has not been granted an extension, will attract a penalty of 10% of the total marks available for the piece of assessment per calendar day or part thereof.

Academic integrity

The Current Student website  provides information on academic integrity and the resources available to all students. The University expects students and staff to act ethically and honestly and will treat all allegations of academic integrity breaches seriously.  

We use similarity detection software to detect potential instances of plagiarism or other forms of academic integrity breach. If such matches indicate evidence of plagiarism or other forms of academic integrity breaches, your teacher is required to report your work for further investigation.

You may only use artificial intelligence and writing assistance tools in assessment tasks if you are permitted to by your unit coordinator, and if you do use them, you must also acknowledge this in your work, either in a footnote or an acknowledgement section.

Studiosity is permitted for postgraduate units unless otherwise indicated by the unit coordinator. The use of this service must be acknowledged in your submission.

Simple extensions

If you encounter a problem submitting your work on time, you may be able to apply for an extension of five calendar days through a simple extension.  The application process will be different depending on the type of assessment and extensions cannot be granted for some assessment types like exams.

Special consideration

If exceptional circumstances mean you can’t complete an assessment, you need consideration for a longer period of time, or if you have essential commitments which impact your performance in an assessment, you may be eligible for special consideration or special arrangements.

Special consideration applications will not be affected by a simple extension application.

Using AI responsibly

Co-created with students, AI in Education includes lots of helpful examples of how students use generative AI tools to support their learning. It explains how generative AI works, the different tools available and how to use them responsibly and productively.

WK Topic Learning activity Learning outcomes
Mid-semester break Topics 6-10 (activities, guest lectures and discussion conducted via Zoom) Block teaching (6 hr) LO1 LO4 LO5 LO6
Week 02 Topics 1-5 (activities, guest lectures, and discussion conducted via Zoom) Block teaching (6 hr) LO1 LO2 LO3 LO6

Attendance and class requirements

Attendance: There are no attendance requirements for the course in light of COVID-19, but it would be appreciated if students attended the two “Zoom” days.

Word count penalty: A piece of assessment which exceeds the prescribed word limit will attract a penalty of 10% of the total marks available for the piece of assessment for every 100 words, or part thereof. The total word count for essay and other written assessments will exclude bibliography; footnote numbers; footnote citation; cover page and include body text; headings and sub-headings; quotations; anything other than numbers and citations in footnotes.

Referencing: The Sydney Law School expects you to use the Australian Guide to Legal Citation (4th edition, 2018) for your footnoting style, although you should confirm this with your lecturer, and a link to the library website where this is set out comprehensively is available at https://libguides.library.usyd.edu.au/c.php?g=508212&p=3476376

Study commitment

Typically, there is a minimum expectation of 1.5-2 hours of student effort per week per credit point for units of study offered over a full semester. For a 6 credit point unit, this equates to roughly 120-150 hours of student effort in total.

Required readings

Textbook:

Topic 1:

  • John Braithwaite, ‘The Regulatory State?’ In Sarah A Binder, RAW Rhodes and Bert A Rockman (eds), The Oxford Handbook of Political Institutions (Oxford University Press, 2008) ch 21

Topic 2:

  • Cameron Holley and Clifford Shearing, ‘A Nodal Perspective on Governance: Advances in Nodal Governance Thinking.’ In Peter Drahos (ed), Regulatory Theory: Foundations and Applications (ANU Press, 2017) 163-180

  • Martin Nøkleberg, ‘Security Governance–An Empirical Analysis of the Norwegian Context’ (2016) 3 Nordisk Politiforskning 53-82

Topic 3:

  • Neil Gunningham and Cameron Holley, ‘Next-Generation Environmental Regulation: Law, Regulation and Governance’ (2016) 12 Annual Review of Law and Social Sciences 273

  • Karen Yeung, ‘Algorithmic Regulation: A Critical Interrogation’ (2018) 12 Regulation & Governance 505-523

Topic 4:

  • Ian Ares and John Braithwaite, Responsive Regulation: Transcending the Deregulation Debate (Oxford University Press, 1992) ch 2 (esp. pp.38-40)
  • Christine Parker, ‘Twenty Years of Responsive Regulation: An Appreciation and Appraisal’ (2013) 7 Regulation & Governance 2

Topic 5:

  • Mark Thatcher, ‘Delegation to Independent Regulatory Agencies: Pressures, Functions and Contextual Mediation’ (2002) 25 West European Politics 125

  • Philip Moss, Review of the Regulatory Capability and Culture of the Department of Agriculture and Water Resources in the Regulation of Live Animal Exports (27 September 2018) executive summary, ch 6

Topic 6:

  • Ian Ares and John Braithwaite, Responsive Regulation: Transcending the Deregulation Debate (Oxford University Press, 1992) ch 2 
  • Toni Schofield, Belinda Reeve and Ron McCallum, ‘Deterrence and OHS Prosecutions: Prosecuted Employers’ Responses’ (2009) 25 Journal of Occupational Health and Safety 263

Topic 7: 

  • Christine Parker and Vibeke Lehmann Nielsen, ‘Corporate Compliance Systems: Could They Make Any Difference?’ (2009) 41 Administration & Society 3

  • Neil A Gunningham, Dorothy Thornton and Robert A Kagan, ‘Motivating Management: Corporate Compliance in Environmental Protection’ (2005) 27 Law & Policy 289

Topic 8:

  • Sue Taylor, Julie-Ann Tarr and Anthony Asher, ‘Australia's Flawed Regulatory Impact Statement (RIS) Process’ (2016) 44 Australian Business Law Review 361
  • Australian Government, Australian Government Guide to Regulatory Impact Analysis (Commonwealth of Australia, 2020)

Topic 9:

  • Judith Bannister et al, Government Accountability: Australian Administrative Law (Cambridge University Press, 2015) ch 1

  • Australian Competition and Consumer Commission, Accountability Framework for Investigations (ACCC, 2019)

Topic 10:

  • Mathias Koenig-Archibugi, ‘Global Regulation’ in Robert Baldwin, Martin Cave and Martin Lodge (eds), The Oxford Handbook of Regulation: Theory, Strategy and Practice (Oxford University Press, 2010) ch 17

  • Jordan Nikoloyuk, Tom R Burns and Renier de Man, ‘The Promise and Limitations of Partnered Governance: The Case of Sustainable Palm Oil’ (2010) 10 Corporate Governance: International Journal of Business in Society 59

All other readings for this unit can be accessed through the Library eReserve, available on Canvas.

Learning outcomes are what students know, understand and are able to do on completion of a unit of study. They are aligned with the University's graduate qualities and are assessed as part of the curriculum.

At the completion of this unit, you should be able to:

  • LO1. Describe key theories, concepts and debates in the field of regulatory studies
  • LO2. Explain and analyse different regulatory tools, regimes, and strategies
  • LO3. Explain and analyse the compliance and enforcement practices of regulators and regulated businesses
  • LO4. Describe and critique different ways of assessing regulatory regimes
  • LO5. Engage with, and critically evaluate, existing research on regulation
  • LO6. Effectively research and communicate information and ideas on regulation, via oral presentations and in written form

Graduate qualities

The graduate qualities are the qualities and skills that all University of Sydney graduates must demonstrate on successful completion of an award course. As a future Sydney graduate, the set of qualities have been designed to equip you for the contemporary world.

GQ1 Depth of disciplinary expertise

Deep disciplinary expertise is the ability to integrate and rigorously apply knowledge, understanding and skills of a recognised discipline defined by scholarly activity, as well as familiarity with evolving practice of the discipline.

GQ2 Critical thinking and problem solving

Critical thinking and problem solving are the questioning of ideas, evidence and assumptions in order to propose and evaluate hypotheses or alternative arguments before formulating a conclusion or a solution to an identified problem.

GQ3 Oral and written communication

Effective communication, in both oral and written form, is the clear exchange of meaning in a manner that is appropriate to audience and context.

GQ4 Information and digital literacy

Information and digital literacy is the ability to locate, interpret, evaluate, manage, adapt, integrate, create and convey information using appropriate resources, tools and strategies.

GQ5 Inventiveness

Generating novel ideas and solutions.

GQ6 Cultural competence

Cultural Competence is the ability to actively, ethically, respectfully, and successfully engage across and between cultures. In the Australian context, this includes and celebrates Aboriginal and Torres Strait Islander cultures, knowledge systems, and a mature understanding of contemporary issues.

GQ7 Interdisciplinary effectiveness

Interdisciplinary effectiveness is the integration and synthesis of multiple viewpoints and practices, working effectively across disciplinary boundaries.

GQ8 Integrated professional, ethical, and personal identity

An integrated professional, ethical and personal identity is understanding the interaction between one’s personal and professional selves in an ethical context.

GQ9 Influence

Engaging others in a process, idea or vision.

Outcome map

Learning outcomes Graduate qualities
GQ1 GQ2 GQ3 GQ4 GQ5 GQ6 GQ7 GQ8 GQ9

This section outlines changes made to this unit following staff and student reviews.

Changes have been made to the assessment regime following student feedback.

Please note that at the time of preparing this outline, there was significant uncertainty around how courses would be taught in semester 2, 2020, due to the COVID-19 outbreak. The outline reflects my understanding of the situation as at August 2020, but students should carefully monitor their emails and the Canvas site for the course for any updates on the teaching situation.

Disclaimer

The University reserves the right to amend units of study or no longer offer certain units, including where there are low enrolment numbers.

To help you understand common terms that we use at the University, we offer an online glossary.