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Unit outline_

LAWS6330: Fundamentals of Regulation

Semester 2b, 2024 [Block mode] - Camperdown/Darlington, Sydney

This unit acts as a general 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, 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. It also aims to provide a gateway for further study in more specialized areas of regulation. Please note that this unit does not focus on a specific area of regulation and does not cover financial services regulation or economic regulation more generally. While available to students in the Master of Health Law program, it does not focus on healthcare regulation. Further information about this unit is available in the Sydney Law School timetable https://canvas.sydney.edu.au/courses/4533/pages/postgraduate-lecture-timetable, unit of study outline https://www.sydney.edu.au/units and academic staff profile https://www.sydney.edu.au/law/about/our-people/academic-staff.html

Unit details and rules

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

None

Available to study abroad and exchange students

No

Teaching staff

Coordinator Belinda Reeve, belinda.reeve@sydney.edu.au
The census date for this unit availability is 27 September 2024
Type Description Weight Due Length
Presentation Class presentation (20%)
Oral presentation
0% Multiple weeks 10 minutes
Outcomes assessed: LO1 LO4 LO3 LO2
Assignment Short response question (20%)
Short response question
0% Week 05
Due date: 14 Oct 2024 at 16:00

Closing date: 28 Oct 2024
2000 words maximum / 8 weeks
Outcomes assessed: LO1 LO2 LO3 LO4 LO5
Assignment Essay synopsis
Synopsis of essay topic
0% Week 05
Due date: 14 Oct 2024 at 16:00

Closing date: 28 Oct 2024
500 words maximum / 5 weeks
Outcomes assessed: LO1 LO2 LO3 LO4 LO5 LO6
Assignment Regulatory critique (40%)
Regulatory critique
0% Week 07
Due date: 28 Oct 2024 at 16:00

Closing date: 11 Nov 2024
3000 words maximum / 10 weeks
Outcomes assessed: LO2 LO3 LO5 LO6
Assignment Essay (60%)
5,000 word essay
0% Week 09
Due date: 11 Nov 2024 at 16:00

Closing date: 25 Nov 2024
5000 words maximum / 4 weeks
Outcomes assessed: LO1 LO2 LO3 LO4 LO5 LO6
Assignment Essay (80%)
7,000 word essay
0% Week 09
Due date: 11 Nov 2024 at 16:00

Closing date: 25 Nov 2024
7000 words maximum / 4 weeks
Outcomes assessed: LO1 LO2 LO3 LO4 LO5 LO6

Assessment summary

In this unit, students can choose from a range of assessment tasks (set out below). The combination they choose must add up to 100% of their final mark.

Class Presentation (20%): Students will present on a topic from a list made available on Canvas by Monday 19 August, 2024, at 4pm (Sydney, Australia time). Students may use PowerPoint or similar presentation tools in a way that supports their presentation. However, these will only be assessed as described in the marking criteria provided in Canvas. Presentations must be no longer than 10 minutes, with additional time given for responding to questions.

NOTE: Because of timetabling there is a limit of eight in-class presentations. This means that only eight students can give presentations during the unit. Students must sign up to give a presentation, on a first-come, first-served basis, via a sign-up sheet that will be released on Canvas. Once the eight presentation times are filled, no other students will be able to sign up to present. 

Presentations will be delivered in class on the day and time scheduled for the discussion of the topic that the presentation relates to. Further details and marking criteria will be made available via Canvas.

Short Response Question (20%): Students will choose one question from a list provided on Canvas by Monday 19 August, 2024, at 4pm (Sydney, Australia time) and write a 2000-word response (excluding references/footnotes). Students who choose to complete this task must submit their responses via Canvas no later than Monday 14 October, 2024, at 4pm (Sydney, Australia time). Further details and marking criteria will be discussed in class and made available via Canvas.

NOTE: Students may answer a maximum of two short response questions at 2000-words (excluding references/footnotes) each for a combined 40%. Both assignments are due at Monday 14 October, 2024, at 4pm (Sydney, Australia time) at the latest.

Regulatory Critique (40%): In this task, students will research a current regulatory regime, enforcement policy, or corporate social responsibility strategy and, in 3000-words (excluding references/footnotes) summarise its history and context and either, justify its current operation, or suggest how it could be reformed (or a combination of the two). A list of potential regimes to examine will be made available to students via Canvas by Monday 19 August at 4pm (Sydney, Australia time). However, students are encouraged to choose a regulatory regime, enforcement policy, or corporate social responsibility strategy they are familiar with or that they are interested in. Critiques must be submitted via Canvas no later than Monday 28 October, 2024 at 4pm (Sydney, Australia time). Further details and marking criteria will be discussed in class and made available via Canvas.

Essay (60%): Students will research a topic of their choosing and present their findings in a 5000-word answer (excluding references/footnotes). While students may draw on their own interests or background, it is important that the essay demonstrates familiarity with the course material and the readings. The essay must also develop a thesis or argument rather than just being descriptive. Students should determine their topic and submit a brief outline with their main thesis/argument via Canvas no later than Monday 14 October, 2024 at 4pm (Sydney, Australia time). The word limit for the essay outline is 500 words, excluding references. The final essay should be submitted via Canvas no later than Monday 11 November, 2024, at 4pm (Sydney, Australia time). Further details and marking criteria will be discussed in class and made available via Canvas.

Essay (80%): Students will research a topic of their choosing and present their findings in a 7000-word answer (excluding references/footnotes). While students may draw on their own interests or background, it is important that the essay demonstrates familiarity with the course material and the readings. The essay must also develop a thesis or argument rather than just being descriptive. Students should determine their topic and submit a brief outline with their main thesis/argument via Canvas no later than Monday 14 October, 2024 at 4pm (Sydney, Australia time). The word limit for the essay outline is 500 words, excluding references. The final essay should be submitted via Canvas no later than Monday 11 November, 2024 at 4pm (Sydney, Australia time). Further details and marking criteria will be discussed in class and made available via Canvas.

Special consideration: Successful grants of Special Consideration may involve alternative tasks, as appropriate.

Use of editors or proof-readers: In completing unsupervised assessments, students may use editors, proof-readers, and automated writing tools (including translation software, grammar checkers, reference generators and artificial intelligence), provided that all use is acknowledged and consistent with University policies and procedures including Academic Integrity Policy. Acknowledgment must be made in writing on the front of the work submitted for assessment, or in an appropriate footnote or other reference, and state the name of the person or software.   

Word limit 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 all written assessments will exclude references, and acknowledgements of permissible assistance from editors, automated writing tools or generative AI (where use is permitted).

Assessment requirement to pass a unit of study: A student must make a genuine attempt at all assessment tasks they have chosen to complete for this unit in order to obtain a Pass mark and grade (or above); otherwise an Absent Fail grade will be recorded as the student’s result for this Unit of Study.

Assessment criteria

The University awards common result grades, set out in the Coursework Policy 2021 (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.

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, without an approved extension, will attract a penalty of 5% of the total marks available for the piece of assessment per calendar day or part thereof. For example, a submission after 4pm but by 11:59pm on the due date for submission will attract a 5% penalty. A submission after midnight of the due date for submission will attract a 10% penalty. A submission on the following day after midnight will attract a 15% penalty, and so on. Penalties for late submission will be applied strictly, subject to a 5 minute grace period.

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.

Use of generative artificial intelligence (AI) and automated writing tools

You may only use generative AI and automated writing tools in assessment tasks if you are permitted to by your unit coordinator. If you do use these tools, you must acknowledge this in your work, either in a footnote or an acknowledgement section. The assessment instructions or unit outline will give guidance of the types of tools that are permitted and how the tools should be used.

Your final submitted work must be your own, original work. You must acknowledge any use of generative AI tools that have been used in the assessment, and any material that forms part of your submission must be appropriately referenced. For guidance on how to acknowledge the use of AI, please refer to the AI in Education Canvas site.

The unapproved use of these tools or unacknowledged use will be considered a breach of the Academic Integrity Policy and penalties may apply.

Studiosity is permitted unless otherwise indicated by the unit coordinator. The use of this service must be acknowledged in your submission as detailed on the Learning Hub’s Canvas page.

Outside assessment tasks, generative AI tools may be used to support your learning. The AI in Education Canvas site contains a number of productive ways that students are using AI to improve their learning.

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.

Support for students

The Support for Students Policy 2023 reflects the University’s commitment to supporting students in their academic journey and making the University safe for students. It is important that you read and understand this policy so that you are familiar with the range of support services available to you and understand how to engage with them.

The University uses email as its primary source of communication with students who need support under the Support for Students Policy 2023. Make sure you check your University email regularly and respond to any communications received from the University.

Learning resources and detailed information about weekly assessment and learning activities can be accessed via Canvas. It is essential that you visit your unit of study Canvas site to ensure you are up to date with all of your tasks.

If you are having difficulties completing your studies, or are feeling unsure about your progress, we are here to help. You can access the support services offered by the University at any time:

Support and Services (including health and wellbeing services, financial support and learning support)
Course planning and administration
Meet with an Academic Adviser

WK Topic Learning activity Learning outcomes
Mid-semester break Topic 6: Enforcement Seminar (3 hr) LO1 LO2 LO3 LO5
Topic 7: Compliance with regulation Seminar (3 hr) LO1 LO3 LO5
Topic 8: Assessing regulation Seminar (2 hr) LO1 LO4 LO5
Topic 9: Accountability Seminar (2 hr) LO1 LO4 LO5
Topic 10: Global regulation Seminar (3 hr) LO1 LO2 LO3 LO5
Week -01 Topic 1: Introduction to regulation Seminar (1 hr) LO1
Topic 2: Regulatory theories Seminar (3 hr) LO1 LO5
Topic 3: Regulatory instruments Seminar (3 hr) LO1 LO2 LO3 LO5
Topic 4: Regulatory strategies Seminar (3 hr) LO1 LO2 LO5
Topic 5: Regulators Seminar (3 hr) LO1 LO3 LO5

Attendance and class requirements

Attendance: All students are required to attend at least 70% of classes to satisfy the pass requirements for each unit of study. Failure to meet this requirement may result in a student being precluded from undertaking the final assessment. 

For units offered in Intensive mode, participation in all scheduled sessions may be expected by a Unit Coordinator in order to satisfy the requirements of the unit. 

Referencing: Students are permitted to choose which referencing style they will use in submitted assignments, including the Australian Guide to Legal Citation (4th edition, 2018). A link to the library website where this is set out comprehensively is available at Referencing and Citation Styles: AGLC4. 

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

The recommended textbook for the course is:

The required readings are:

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:

  • Ian Bartle, ‘A Strategy for Better Climate Change Regulation: Towards a Public Interest Orientated Regulatory Regime’ (2009) 18 Environmental Politics 689

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

  • Nathalie A Smuha, ‘From a “Race to AI” to a “Race to AI Regulation:” Regulatory Competition for Artificial Intelligence’ (2021) 13 Law, Innovation and Technology 47

Topic 4:

  • Ian Ares and John Braithwaite, Responsive Regulation: Transcending the Deregulation Debate (Oxford University Press, 1992) ch 2
  • 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

Topic 6:

  • Ian Ares and John Braithwaite, Responsive Regulation: Transcending the Deregulation Debate (Oxford University Press, 1992) ch 2 

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

Topic 9:

  • Mark Bovens, ‘Analysing and Assessing Accountability: A Conceptual Framework’ (2007) 13 European Law Journal 447

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

  • Axel Marx et al, ‘Global Governance Through Voluntary Sustainability Standards: Developments, Trends and Challenges’ (2024) Global Policy (Early View), available at: https://onlinelibrary.wiley.com/doi/10.1111/1758-5899.13401

Required readings will be available via the Reading list on Canvas. A list of recommended/further readings will be provided, and these readings can be sourced by students mainly through the Library website. 

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. Critically appraise key theories, concepts, and debates within regulatory studies.
  • LO2. Analyse and differentiate between various regulatory tools, regimes, and strategies.
  • LO3. Assess the effectiveness of compliance and enforcement practices in different regulatory contexts.
  • LO4. Evaluate the efficacy of various assessment methodologies for regulatory regimes.
  • LO5. Synthesise and critique existing research on regulation to develop coherent arguments.
  • LO6. Conduct comprehensive research on regulatory topics and articulate findings effectively through oral and written communication.

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.

The assessment regime has been streamlined following student feedback.

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.