Although responsive regulation includes much more than the enforcement pyramid, it is the pyramid that has received most attention from academics and practitioners. This is despite the fact that the implementation of the strategy of gradual escalation has proved challenging in many respects. Why has the enforcement pyramid been so attractive? Apart from its scholarly and policy usefulness, this paper suggests that it appeals to practitioners because it provides a theoretical endorsement of the professional autonomy to which practitioners aspire. It was, and is, still appealing to scholars because it provides a practical means to improve regulation, which is congruent with the dominant neoliberal reflex to depoliticize the regulation of capitalist economies. All in all, because responsive regulation has very largely been reduced to the enforcement pyramid, the literature has neglected the normative issues surrounding the regulation of capitalist economies that were central to Ayres and Braithwaite. Adapted from the source document.
Effective enforcement is vital to the successful implementation of social legislation, and legislation that is not enforced rarely fulfils its social objectives. This article examines the question of how the enforcement task might best be conducted in order to achieve policy outcomes that are effective and efficient, while also maintaining community confidence. It begins by examining the two strategies that for many years dominated the debate about enforcement strategy, the question of �regulatory style� and whether it is more appropriate for regulators to �punish or persuade�. Such an examination begins with John Braithwaite's seminal contribution and the arguments he makes in favour of �responsive regulation�. This approach conceives of regulation in terms of dialogic regulatory culture. It is taken further by Smart Regulation, which accepts Braithwaite's arguments as to the benefits of an escalating response up an enforcement pyramid.
Responsive Regulation advocates a differentiated style of regulation and enforcement that is more responsive to the behavior of the regulated parties than a system of general or uniform rules. This article investigates whether such a differentiated approach can be reconciled with the traditional ideal of general law. On the basis of a conceptual analysis of generality, it is argued that the notion of generality is at best tautological and not inconsistent with a differentiated approach to regulation and enforcement. However, the value of generality is based on the assumption that rules function as reasons, rather than as instructions. As reasons, rules need not comprise large categories, but they do need to last for a long period of time. The conclusion drawn is that flexibility (rather than differentiation) is hard to reconcile with the notion of rules as reasons, although it may be demanded by a notion of rules as effective implementers of policies. Adapted from the source document.
Using a large, original database of 385 politically connected firms under the Mubarak regime in Egypt, we document for the first time the negative impact of cronyism on economic growth. In the early 2000s, a policy shift in Egypt led to the expansion of crony activities into new, previously unconnected sectors. 4-digit sectors that experienced crony entry between 1996 and 2006 experienced lower aggregate employment growth during the period than those that did not. A wide array of supporting evidence indicates that this effect was causal, reflecting the mechanisms described in Aghion et al. (2001), and not due to selection. Crony entry skewed the distribution of employment toward smaller, less productive firms; crony firms did not enter into sectors that would have also grown more slowly even in the absence of crony entry; and they enjoyed multiple regulatory and fiscal privileges that reduced competition and investments by non-crony firms, including trade protection, energy subsidies, access to land, and favorable regulatory enforcement. Moreover, energy subsidies and trade protection account for the higher profits of politically connected firms.
This paper uses an original database of 469 politically connected firms under the Mubarak regime in Egypt to explore the economic effects of close state-business relations. Previous research has shown that political connections are lucrative. The paper addresses several questions raised by this research. Do connected firms receive favorable regulatory treatment? They do: connected firms are more likely to benefit from trade protection, energy subsidies, access to land, and regulatory enforcement. Does regulatory capture account for the high value of connected firms? In the sample, regulatory capture as revealed by energy subsidies and trade protection account for the higher profits of politically connected firms. Do politically connected firms hurt aggregate growth? The paper identifies the growth effects of the entry of politically connected firms by comparing detailed 4-digit sectors where they entered, between 1996 and 2006, and sectors that remained unconnected. The entry of connected firms into new, modern, and previously unconnected sectors slows aggregate employment growth and skews the distribution of employment toward less productive, smaller firms.
The Bailiff and the Compulsory Enforcement of Rulings in Civil Matters : An Empirical Reconstruction of the « Pyramid of Enforcement » in Flanders. The compulsory enforcement of civil rulings follows a distinct number of successive steps stipulated by the Judicial Code and is meant to increase the pressure on the debtor. For this study, 23 bailiffs provided us with 276 cases of compulsory enforcement. The resulting « pyramid of enforcement » offers a quantitative assessment of the flow and fall-out of cases throughout the process of compulsory enforcement. Furthermore, the configurations of the parties involved reveal different modes of enforcement.
Responsive regulation is a general theory of how to steer the flow of events. This article seeks to understand when violence is and is not defensible as an enforcement escalation. It specifies limits on the claim of responsive regulatory theory that a tough enforcement peak to a regulatory pyramid helps drive regulation down to persuasion at the base of the pyramid. Those limits are about the counterproductive effects of violence at the peak of an enforcement pyramid. Erica Chenoweth and her colleagues show that nonviolent civilian resistance to regimes is twice as likely as armed struggle to succeed. Nonviolence complemented by a violent radical flank is less effective than disciplined nonviolence. This refutes the "benign big gun" aspect of responsive regulatory theory as a general theory of the regulation of social action. The theory implies that capacity to escalate to armed struggle at the peak of a regulatory pyramid should empower resistance. Can responsive theory be adapted to this empirical challenge? Can that adaptation show a productive path to an ethics of when to constrain escalation to violence as an option at the peak of all kinds of regulatory pyramids? Lessons are drawn from how Nelson Mandela's struggle against apartheid opened nonviolent paths to transformation without total renunciation of violence.
Smart Regulation embraces complementary combinations of environmental instruments tailored to specific policy circumstances. It seeks to build on the concept of an enforcement pyramid, that is at the core of responsive regulation, by engaging government as well as business and other third parties in the regulatory process. As such, it canvasses a range of environmental instruments, including information, self-regulation, co- regulation, economic instruments, as well as command and control regulation. The use and application of various instrument combinations and regulatory actors are governed by a set of regulatory design principles that can adapt to different environmental imperatives and circumstances, and aim to provide for better regulatory outcomes. In this regard, complementary combinations of instruments are key. The principles of smart regulation are pertinent today where governments confront complex environmental issues, and yet appear unable or unwilling to produce adequate regulatory responses
The research focuses on the basic theoretical and practical aspects of legal norms enforcement in terms of pluralism of interpretation of inherent requirements of law enforcer's morality. The analysis of morality as a society social regulator has been provided through the prism of its social differentiation. Moreover, moral principles of the person depend on the level of needs (under A. Maslow's pyramid of needs) where a person`s activity is directed. Although, a person's ability to meet the requirements of a certain level depends more or less on the person's age, intellectual level, their residential area, religion, financial standing and their role in working process organization etc.The factors under consideration in terms of the formation of individual's moral consciousness depends are the following: social background, national and cultural traditions, certain conditions of personality formation (family, school, the closest environment), urbanization, individual and social experience (including professional– e.g. the difference between moral assessments of local court judges and the Supreme Court of Ukrainian Justices), the sphere of activity, religiousness, influence of public opinion and mass media, age factors, differences in needs and interests etc.In Ukraine, there are a lot of law enforcement subjects providing a moral assessment in their activity. Some of these subjects' powers intersect each other so that in some cases they pass different (even opposite) decisions concerning the same object of moral assessment. The practice of Ukrainian legislation application is analyzed in terms of differences in the application of the same legal norm because of a different understanding of morality requirements. The pluralism of morality requirements understanding during law enforcement by the bodies of state power belonging to the same sphere has been demonstrated.For this purpose, the judicial practice has been analyzed as well. The position of the courts as to what should be considered as immoral offense while applying the legal norm which foresees dismissing of an employee because of committing the immoral offense inconsistent with work continuance is established to be different. Some of the judicial decisions in the analyzed cases are based on the fact whether the participation of a pedagogical worker in a fight is an immoral offense. Different views of judges on this issue caused different material law norm enforcement.It has been justified that the understanding of morality during law applying in socially heterogeneous society can be expressed in two ways: law enforcers on the same hierarchy level apply the legal norm differently that specifies the necessity of case circumstances for moral assessment on the basis of their different understanding of the morality requirements; law enforcement subject within own competence cancels the law enforcing act of another law enforcement subject, being guided by another understanding of morality requirements (for example a court repeals the law enforcement act of another body or court of the higher instance repeals the decision of the lower instance court). ; Досліджено основні теоретико-правові та практичні аспекти застосування правових норм з огляду на плюралізм інтерпретацій змістовних вимог моралі. У контексті дослідження проаналізовано мораль як соціальний регулятор суспільства крізь призму соціальної диференціації суспільства. Значну увагу приділено прикладам та практичному застосуванню отриманих при дослідженні результатів.З'ясовано, що плюралізм розуміння вимог моралі під час правозастосування в соціально неоднорідному суспільстві може проявлятися двома способами: суб'єкти правозастосування одного рівня по-різному застосовують правову норму, що обумовлює необхідність морального оцінювання обставин справи, керуючись їх різним розумінням вимог моралі; суб'єкт правозастосування у межах компетенції скасовує правозастосовчий акт іншого суб'єкта правозастосування, зважаючи на інше розуміння вимог моралі (наприклад, скасування судом правозастосовчого акта іншого органу або ж суд вищої інстанції скасовує рішення суду нижчої інстанції).
This thesis is an investigation and analysis of responsive regulation. It draws on research into the role of regulation and a case study of regulatory innovation in the Australian trucking sector to examine what motivates agencies to introduce regulatory innovation that emphasises compliance orientated practice. The case study examines the National Heavy Vehicle Accreditation Scheme (NHVAS), which aims to encourage firms to more effectively self-regulate. The research examines the role of markets and incentives in regulatory design and how this influences participant responses to new standards and requirements. The analysis identifies changes in practice, understanding and compliance behavior that result from introducing a responsive approach to regulation and enforcement. The research asks if such change has been effective in improving compliance and road safety. More broadly, the analysis explores features that make responsive regulatory practice effective in complex and dynamic industrial sectors like trucking. This study relies on a qualitative methodology drawing on interviews with key regulators and industry participants in the sector. Data has also been obtained from document analysis and an extensive review of the academic literature on regulation. The research finds that regulatory reform in the Australian trucking sector has been significantly influenced by governments' general support for neoliberal policies and the liberalisation of markets. Incentives have been used effectively to engage industry in a voluntary program that supports higher compliance standards and generates a stronger focus on safety. The research shows that responsive regulatory practice is far more challenging than traditional models of the responsive enforcement pyramid suggest. The evidence indicates that responsive regulatory practice is a dynamic process of engagement that relies on learning and innovation. This is significantly different to the binary and calibrated approach outlined in the literature. This study finds that a ...
As most software used by government agencies and companies is proprietary, malicious computer activity targeting breaches in that software can be likened to a pandemic of an infectious disease in the cyber world. When a breach occurs, the consequences can be widespread and damaging because the damage can spread rapidly. Therefore, cybercrime prevention needs to involve all users in a cooperative effort, with warnings and information on countermeasures distributed to users in order to prevent the "disease" from spreading when unprotected computers encounter an attack. This cooperative effort relies heavily on all institutions reporting information security incidents. Based on institutional theory, together with regulatory pluralism and responsive regulation theory, this paper examines the pluralized regulatory approach adopted to promote a system for sharing reports of information security incidents in Taiwan and China. An expanded model of regulatory enforcement and a strengths-basedpyramid are proposed and used as a frameworkfor discussing existing systems for encouraging the reporting of information security incidents.
This book examines the politics of Banking Union and EMU reform in the EU, and draws lessons for what it means for international politics, both in Europe, and for international relations more broadly. It demonstrates that most of the reforms in Europe to break free of the Eurozone and banking crises in which Europe continues to find itself focus on building up the capacities of national authorities rather than European ones. The result is that national authorities remain largely in control of the decisions and funds that are to be deployed to prevent economic disaster if a single EU bank fails. The likely outcome is an accelerated balkanization of the European market for the foreseeable future. The book also contends that power politics, and realism in particular, is a defining feature of European politics with coercion and enforced national responsibility at the demand of Germany; the dominant form of institution-building that established the responsible sovereignty model, and shut down the possibility of alternatives. In making this case, the book demonstrates that the dominant view in international relations, that power politics best explains the behaviour of states, also apply to the EU. This text will be of key interest to scholars and students of the Eurozone crisis, EU politics, economic policy, and more broadly to political economy, public policy and international relations.
