The Regulatory Craft: Controlling Risks, Solving Problems, and Managing Compliance

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Brookings Institution Press, Jan 1, 2011 - Law - 370 pages

The Regulatory Craft tackles one of the most pressing public policy issues of our time—the reform of regulatory and enforcement practice. Malcolm K. Sparrow shows how the vogue prescriptions for reform (centered on concepts of customer service and process improvement) fail to take account of the distinctive character of regulatory responsibilities—which involve the delivery of obligations rather than just services.In order to construct more balanced prescriptions for reform, Sparrow invites us to reconsider the central purpose of social regulation—the abatement or control of risks to society. He recounts the experiences of pioneering agencies that have confronted the risk-control challenge directly, developing operational capacities for specifying risk-concentrations, problem areas, or patterns of noncompliance, and then designing interventions tailored to each problem.

At the heart of a new regulatory craftsmanship, according to Sparrow, lies the central notion, "pick important problems and fix them." This beguilingly simple idea turns out to present enormously complex implementation challenges and carries with it profound consequences for the way regulators organize their work, manage their discretion, and report their performance. Although the book is primarily aimed at regulatory and law-enforcement practitioners, it will also be invaluable for legislators, overseers, and others who care about the nature and quality of regulatory practice, and who want to know what kind of performance to demand from regulators and how it might be delivered. It stresses the enormous benefit to society that might accrue from development of the risk-control art as a core professional skill for regulators.

 

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Contents

VII
17
VIII
29
IX
44
X
53
XI
65
XII
79
XIII
81
XIV
99
XXI
194
XXII
205
XXIII
207
XXIV
224
XXV
238
XXVI
255
XXVII
279
XXVIII
281

XV
109
XVI
123
XVII
137
XVIII
155
XIX
171
XX
181
XXIX
293
XXX
309
XXXI
315
XXXII
335
Copyright

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Page 32 - Third, we believe that the people who work in government are not the problem; the systems in which they work are the problem.
Page 11 - I know of certainty that ye would gain the time, because ye see the thing is gone from me. But if ye will not make known unto me the dream, there is but one decree for you : for ye have prepared lying and corrupt words to speak before me, till the time be changed : therefore tell me the dream, and I shall know that ye can shew me the interpretation thereof.
Page xvii - The dilemma of the professional today lies in the fact that both ends of the gap he is expected to bridge with his profession are changing so rapidly: the body of knowledge that he must use and the expectations of the society that he must serve.
Page 2 - They can impose economic penalties, place liens upon or seize property, limit business practices, suspend professional licenses, destroy livelihoods. They can restrict liberty, use force, and even kill — either in the heat of some dangerous moment on the street or through the cold calculations of the execution room.

About the author (2011)

Malcolm K. Sparrow is Professor of the Practice of Public Management at the John F. Kennedy School of Government, Harvard University. He is Faculty Chair of the School's Executive Programs on regulation and enforcement, corruption control, policing, and counter-terrorism.

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