TWO DAY ONLINE CONFERENCE
Identify & understand risks to enhance the efficiency of your compliance program
Conference Date
Tuesday 23rd & Wednesday 24th February 2021
Location
Online
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Agenda

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Day 1 - Tuesday 23rd February, 2021

Utilising data to identify & define risks
9:45 (AEDT)
Registration opens
10:00
Opening remarks by the Chair
Jane Hudson
Learning designer and strategist
10:10
KEYNOTE: Exploring how to effectively implement risk-based approaches

• Discovering the regulatory role and its importance
• Ensuring a consistent understanding on what regulation is
• Learning how to exercise risk-based regulation
• Examining the importance of prompt and timely implementation of risk-based approaches

Rose Webb
Deputy Secretary Better Regulation Division and Commissioner Fair Trading
Department of Customer Service NSW
10:45
OPENING RISK PANEL: What does it mean to be a “ RiskBased Regulator”?

• Does risk-based regulation facilitate robust governance?
• How does risk-based regulation contribute to efficient and effective use of regulatory resources ?
• Exploring the key factors that shape the adoption of a riskbased strategy
• Development and operation of risk-based approaches

Scott May
Executive Director, Regulatory Policy & Legal Services & General Counsel
Victorian Commission for Gambling & Liquor Regulation
Adam Beaumont
Director
With Purpose Consulting
Dominic Crowley
Senior Economist
Better Regulation Victoria
Chris Webb
Executive Director - Regulatory Practice and Strategy
Environment Protection Authority VIC
11:30
Short break
11:45
CASE STUDY: Does risk-based mean some get-off easy?

• ONSRs risk profiling process and work program
• How incidents & investigations impact this
• Then what? How does this relate to regulatory tools?

Sue McCarrey
Chief Executive Officer
Office of the National Rail Safety Regulator
12:20
Interactive group break-out discussion

Risk-based regulations during coronavirus restrictions
In small group discussions participants will have the chance to share their personal experiences of how regulators prioritised their activities during the pandemic. Discussion will focus on:
• How business restrictions and closures can be best targeted to highest risk activities to minimise the economic cost of restriction
• Share tools and techniques that have been helpful in assessing risk

12:50
Short break
1:10
Australian Government health programs: Using data, intelligence and engagement to inform strategic regulation activities in a health context

* Effectively using data & Intelligence in addressing non-compliance
* Enhancing your regulatory model to fully understand the risks to the integrity of the system
* Aligning your approach to address risks strategically

Alex Taylor
Director Risk Treatment Section
Australian Government Department of Health
1:45
Balancing risk between the regulator & duty holder

• Considering relative risk in legislative design
• Bridging the different risk perspectives between business and regulator
• The efficiency dividend from good risk-based regulation
• The challenge of knowing, but not acting
• Managing the authorising environment for long term gain

Chris Webb
Executive Director - Regulatory Practice and Strategy
Environment Protection Authority VIC
2:20
Closing remarks from the Chair & Close of Day One

Day 2 - Wednesday 24th February, 2021

Implementing & evaluating the effectiveness of risk-based regulations
9:45 (AEDT)
Registration opens
10:00
Opening remarks by the Chair
Jane Hudson
Learning designer and strategist
10:10
KEYNOTE: The role of risk-based thinking in regulatory stewardship

• Exploring regulatory stewardship as an ideal and as a practice
• Understanding the role of risk-based thinking in regulatory stewardship
• Discovering how regulatory stewardship principles can improve risk-based approaches

Professor Jeroen van der Heijden
Chair in Regulatory Practice, School of Government
Victoria University of Wellington
10:45
EPA NSW CASE STUDY: Our journey to world class regulation
Tracy Mackey
Chief Executive Officer
Environment Protection Authority NSW
11:20
Short break
11:35
How we are using data to determine how to target risk

• Using data and evidence to identify emerging risks
• Learn how to utilise data in explaining the severity of risk to relevant stakeholders
• Using risk-based regulation to improve outcomes

Anna Peatt
Chief Officer Medicines and Poisons Regulation Health Protection and Emergency Management
Department of Health & Human Services, VIC
12:10
Implementing a risk-based monitoring program
  • Risk resetting in the context of a pandemic
  • Adapting to new ways of mitigating risks in a monitoring program
  • Organising resources to maximise regulatory outcomes
Neil Ellis
Executive Director, Regulatory Practice and Compliance Branch
Office of the Gene Technology Regulator Australian Government Department of Health
12:45
Short break
1:10
Utilising data & analytics to understand & address risk

• Examining how to utilise data in quantifying risk
• Enhancing risk profiling through data analytics to determine which cohort you are regulating
• Utilising data for intelligence purposes such as addressing patterns and trends

Pierre Skorich
Principal Director, Compliance Testing and Intervention
Department of Agriculture, Water & the Environment
1:45
VICTORIAN CASE STUDIES: How to effectively use Data Sharing to better identify high risk operators

• Enabling regulators to target their resources effectively
• Identify and address areas of risk
• Using technology to facilitate data sharing without compromising privacy concerns
• Using the available data to drive interagency conversations/collaboration to strengthen compliance

Don Parker
Director
Better Regulation Victoria
2:20
Closing remarks from the Chair & Close of Conference
Workshop A: Implementing risk based regulation
Monday 22nd February 2021, 9:30am - 12:30pm AEDT

The workshop
Adam will facilitate an interactive and engaging workshop to explore the opportunities and challenges faced by regulators in applying risk based approaches. Drawing on over 15 years of experience working with regulators large and small, Adam will discuss common approaches and frameworks that he has seen regulators put in place to deliver risk based regulation. Adam will also explore the underlying capabilities regulators need to have in place to deliver this approach.



Why attend this workshop?
• Learn about the theory of risk based regulation, and more importantly how to apply it
• Learn about the key capabilities regulators need to have in place, including the importance of organisational culture to effectively deliver a risk based approach
• An opportunity to hear about the theory as well as the practical application of risk based approaches, and to have an engaging discussion with other regulatory professionals and discuss the challenges and benefits of effectively applying risk based regulation



What will you takeaway?
• A practical understanding of what is meant by risk based regulation
• A framework for how to consider the regulatory capabilities needed to deliver a risk based approach
• The real-life and practical challenges faced by regulators in implementing risk based approaches, and how to overcome them

Adam Mason-Jefferies
Director
KPMG Management Consulting Group
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Key Speakers

Rose Webb
Deputy Secretary Better Regulation Division and Commissioner Fair Trading
Department of Customer Service NSW
Tracy Mackey
Chief Executive Officer
Environment Protection Authority NSW
Professor Jeroen van der Heijden
Chair in Regulatory Practice, School of Government
Victoria University of Wellington
Sue McCarrey
Chief Executive Officer
Office of the National Rail Safety Regulator