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1.
Jeroen van der Heijden 《Regulation & Governance》2021,15(Z1):S123-S142
This article is an introduction to meta-research, a systematic and replicable process of synthesizing research findings across a body of original research. After introducing the reader to the core of meta-research methodology, meta-research logic and tools are applied to present an evidence synthesis of empirical research on responsive regulation. The article concludes with a meta-research agenda for regulation and governance scholarship, and five key lessons from the empirical responsive regulation literature. 相似文献
2.
One reason that regulation is difficult is that repeated encounters between regulator and regulatee are rare. We suggest diplomacy as a model for reconfiguring regulatory institutions in response. Ambassadors for Regulatory Affairs who would be agents for all state regulatory agencies could be based in most large firms and small and medium enterprises that pose unusual regulatory risks. In rural towns, police would be trained as regulatory ambassadors. Just as a US Secretary of State can launch a “diplomatic surge” in Myanmar from 2009, so regulatory surges are possible in market sectors of high risk or high opportunity. We propose strategies of indirect reciprocity as a way in which reciprocity that is only episodic in these strategic ways can promote more general responsiveness. Indirect reciprocity is reciprocity that we do not personally experience, but learn from the experience of a culture. This means that so long as we sustain regulation as a relational as opposed to a purely technocratic process, indirect reciprocity might civilize regulatory compliance in an historical process informed by the theories of Elias and Putnam. 相似文献
3.
It is often argued that immediate government action regarding nanotechnology is needed to ensure that public opinion does not mistakenly view nanotechnology as dangerous, to restore public trust in government, and to increase the legitimacy of government action through increased public participation. This article questions whether governments can achieve these goals. As the world lurches toward regulation of nanotechnology, we should ask Why the rush? Can anticipatory action, perceived as the government doing something, fulfill the competing hopes to “restore trust,”“pave the way” for nanotechnology, “increase awareness,” and “satisfy democratic notions of accountability”? Or is government action more likely to increase existing divisions over nanotechnology's future? 相似文献
4.
Christopher S. Decker 《Regulation & Governance》2007,1(4):312-328
This paper considers the level of, and changes in, optimal noncompliance penalties under the following conditions: (i) where the regulator responsible for setting policy parameters, such as a penalty, is different from (and thus may have a different objective from) the regulator responsible for enforcing existing regulations; and (ii) where enforcement behavior changes from one in which enforcers are unresponsive to overtures on the part of firms to increase compliance to one in which enforcers are responsive to such overtures. The model developed shows that when enforcers “switch” from unresponsive to responsive enforcement, the optimal penalties for noncompliance need to be reduced. The analysis also gives insights as to what variables dictate the degree of penalty reduction. 相似文献
5.
This article examines the rise of nanotechnology‐specific codes of conduct (nano‐codes) as a private governance mechanism to manage potential risks and promote the technology. It examines their effectiveness as well as their legitimacy as regulatory instruments in the public domain. The study first maps the rise of voluntary nano‐codes and the roles played by different actors. Focusing on five specific nano‐codes, the article then discusses their adequacy in terms of scientific uncertainty, gaps in existing regulatory regimes, and broader societal concerns. It concludes that these voluntary nano‐codes have weaknesses including a lack of explicit standards on which to base independent monitoring, as well as no sanctions for poor compliance. At the same time it also highlights the potential power of these governance mechanisms under conditions of uncertainty and co‐regulation with government. It is likely that nano‐codes will become the “first cut” of a new governance regime for nanotechnologies. 相似文献
6.
The policy ideals of responsive regulation have been developed on the basis of substantial empirical evidence. The overall formulation of responsive regulation theory itself, however, has rarely been empirically tested. This article sets out the theoretical concept of responsive regulation in the context of business regulation enforcement and discusses how we might operationalize and empirically measure it. We develop two alternative theoretical interpretations of responsive regulatory enforcement: “tit for tat” responsive regulation and “restorative justice” responsive regulation. We then measure business firms' perceptions of the reactions and counter‐reactions of a regulatory enforcement agency throughout the investigation and enforcement process. We find little evidence of tit for tat responsiveness actually occurring in practice. To the extent that tit for tat responsiveness does exist, we find a small amount of evidence that it has the hypothesized effects on behavior but not on attitudes. We find clearer evidence of restorative justice responsiveness having the hypothesized effects on attitudes but not on behavior. 相似文献
7.
Judith van Erp 《Regulation & Governance》2011,5(3):287-308
Enforcement agencies increasingly disclose or “name and shame” corporate offenders. This article uses responsive regulation as a framework for an empirical study of the impact of non‐anonymous publication of sanctions in the Dutch financial market. These publications are characterized as “naming without shaming”, because they are used for technical guidance rather than with the intention to shame. The findings show that naming offenders functions as a general deterrent in the market for financial intermediaries, but considerably less so in the capital market. In both markets, the publication of sanctions weakened the impact of enforcement. In the capital market, the publications neutralized the seriousness of offenses and contributed to the image of the regulator as powerless. In the market for financial intermediaries, naming offenders was perceived as stigmatizing shaming and led to defiance, rather than compliance. The case study suggests, however, that the publication of sanctions may provide an opportunity for guidance, provided they contain a moral message, rather than technical instruction. 相似文献
8.
Responsive regulation usually boils down to the assumption that enforcers should not shift to coercing before it has become clear that persuading does not work. This presupposes that it is possible to determine what the correct enforcement style is, that enforcers can apply the most suitable style, and that enforcers control the negative unintended consequences of their conduct. We have studied the applicability of these presuppositions at the Dutch Food and Consumer Product Safety Authority by way of observations, interviews, and a survey. The applicability of all three presuppositions has proven problematic; enforcement agents apply different styles in comparable cases; they are impeded in applying the most appropriate style; and they do not control the perverse consequences of their conduct because regulatees tend to perceive it as more coercive than intended by inspectors. Our findings are not unique to this inspectorate and hence raise questions about the applicability of the theory of responsive regulation. 相似文献
9.
Design‐Build‐Finance‐Maintain‐Operate (DBFMO) contracts are a particular type of public‐private partnership whereby governments transfer the responsibility for the design, construction, financing, maintenance, and operation of a public infrastructure or utility service building to a multi‐headed private consortium through a long‐term performance contract. These arrangements present a typical principal‐agent problem because they incorporate a “carrot and stick” approach in which the agent (consortium) has to fulfill the expectations of the principal (procurer). This article deals with a neglected aspect in the literature related to the actual use of “the sticks or sanctions” in DBFMOs and assesses to what extent and under which conditions contract managers adopt a deterrence‐based enforcement approach or switch to a persuasion‐based approach, specifically when the contract clauses require the use of (automatic) deterrence. An empirical analysis of four DBFMOs in the Netherlands shows that the continuation of service delivery, the need to build trust, and the lack of agreement on output specifications play a role in the willingness of the procurer to apply a more responsive behavior that uses persuasion, even when deterrence should be automatically applied. © 2016 John Wiley & Sons Australia, Ltd 相似文献
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11.
Responsiveness and accountability constitute the process of democratic representation, reinforcing each other. Responsiveness asks elected representatives to adopt policies ex ante preferred by citizens, while accountability consists of the people's ex post sanctioning of the representatives based on policy outcomes. However, the regulatory literature tends to interpret responsiveness narrowly between a regulator and regulatees: the regulator is responsive to regulatees’ compliance without considering broader public needs and preferences. Democratic regulatory responsiveness requires that the regulator should be responsive to the people, not just regulatees. We address this theoretical gap by pointing out the perils of regulatory capture and advancing John Braithwaite's idea of tripartism as a remedy. We draw out two conditions of democratic regulatory responsiveness from Philip Selznick – comprehensiveness and proactiveness. We then propose overlapping networked responsiveness based on indirect reciprocity among various stakeholders. This mechanism is the key to connecting regulatory responsiveness with accountability. 相似文献
12.
Thomas R. Johnson 《Regulation & Governance》2016,10(1):14-28
In China, urban middle class mobilization against potential pollution risk has become increasingly common. This article examines this phenomenon through a detailed case study of a 2009 anti‐waste incinerator campaign in the Panyu District of Guangzhou, which culminated in a sizeable public protest and government U‐turn. This episode revealed tension between the narrow, state‐centered regulatory model fixated on end‐of‐pipe pollution control, and a much broader decentered approach advocated – and practiced – by project opponents, which incorporated public consultation and much greater emphasis on upstream waste reduction and sorting. In the process, the Panyu campaign progressed beyond a case of “regulation by escalation,” whereby beneficial regulations are belatedly enforced following populist pressure. Instead, it transformed into an open dialogue between a plurality of actors, including citizens, journalists, experts, and officials, about what regulation should constitute and who should determine acceptable levels of risk. By focusing on the processes through which regulatory issues emerged and changed during the Panyu campaign, this article highlights the regulatory dynamism of environmental mobilization in a context of regulatory uncertainty, and campaigns against “locally unwanted land uses” more broadly. 相似文献
13.
RYAN J. THOMAS 《The Political quarterly》2012,83(3):524-531
This article examines the implications of the 2011 phone hacking scandal for press freedom in the United Kingdom. Specifically, it argues that the language of rights has too long dominated public discourse, which has led to discussion of media responsibilities being evaded. The article argues that there is now an opportunity for a radical restructuring of the relationship between the press, the public, and the political system that restores the media to their rightful role as a watchdog on government and steward of the people. It points to the need for independent regulation of the press and a statutory right of reply as means through which the relationship between media and citizen can be recast on the grounds of obligation and responsibility but argues that it is only when we move away from a framework grounded in rights to one grounded in responsibilities that meaningful change can flourish. 相似文献
14.
Because bureaucratic agencies may be less transparent in their decision processes than legislatures, most states have developed processes to incorporate input from regulated communities and other parties potentially affected by regulations. Administrative agencies may encourage democratic practices to increase legitimacy and accountability of the bureaucracy and improve decision‐making processes. However, rules governing the regulatory process vary by state, with some incorporating more open practices than others. Understanding these dynamics is increasingly important, as the rulemaking process has become central to policymaking over the past several decades, with a large portion of policymaking authority delegated to administrative agencies. Drawing from regulatory documents, rulemaking comments, media coverage, and interviews with regulators in 14 regulatory decision processes across five states, this study finds that while states vary in their approach to providing access to information, there are overriding patterns that reduce the role of citizens and the overall transparency of regulatory processes. 相似文献
15.
MARTIN MOORE 《The Political quarterly》2011,82(4):546-548
In July 2011 following the revelations about phone hacking, all three political party leaders called for radical reform of the current system of press self‐regulation. Those within the press itself, including the Daily Mail, also conceded that serious changes were necessary. At the same time both politicians and press stressed the importance of protecting the freedom of the press and preventing undue government interference. Starting with both these pre‐requisites in mind—the creation of a new independent system and the protection of press freedom—this essay suggests four possible models of reform. For each model the essay sketches the basic parameters of reform and then suggests three problems associated with each. It argues against those who claim that anything more than small changes to the status quo would be too costly, would threaten press freedom, or would be technologically impractical. 相似文献
16.
Melissa-Ellen Dowling; 《Regulation & Governance》2024,18(3):987-999
To the detriment of liberal democracy, governments have struggled to prevent the exploitation of personal data for voter manipulation in the digital era. Laws pertaining to political microtargeting are often piecemeal and tend to derive from a combination of laws on electoral advertising and privacy. Evidence indicates that this approach is insufficient to curtail microtargeting. However, little is known about the regulation of microtargeting outside of the European and US contexts within which the bulk of anti-microtargeting research has been undertaken. Accordingly, this paper aims to shed light on the preparedness of the law in Australia and New Zealand to mitigate the potential harms of political microtargeting. A comparative analysis of legislation pertaining to microtargeting is therefore undertaken using a blended approach of comparative law and content analysis. This paper: (1) identifies current legislation relevant to microtargeting in Australia and New Zealand; (2) assesses patterns of similarity and difference between each country's laws in relation to microtargeting; and (3) evaluates the preparedness of current legislation to curtail microtargeting in an evolving social media landscape. It finds that in both countries, legislation is sufficiently robust to mitigate microtargeting in some limited circumstances, but a cohesive regulatory approach is needed to constrain the most insidious microtargeting operations. 相似文献
17.
Sagit Leviner 《Regulation & Governance》2008,2(3):360-380
Recent developments in regulation and tax administration in Australia inspired this article on tax compliance and responsive regulation. This article analyzes the economics of crime and compliance as the dominant approach to tax enforcement of the past three and a half decades. It evaluates the key advantages and disadvantages of the economic approach as well as its application to tax. The article then explores responsive regulation as an alternative method that draws on the economic paradigm but also supplements this approach with other theories, particularly those involving identity, conflict escalation, and procedural justice. Building on this analysis and a case study of Australian investors in mass marketed tax schemes, the article suggests that the broader, more balanced, and closely tailored method of regulating responsively may enable regulators to draw on the advantages of the economic model while alleviating some of its drawbacks. Responsive regulation may therefore constitute a superior method for regulating compliance. 相似文献
18.
优化规制:中国政府规制改革的现实选择 总被引:1,自引:0,他引:1
何江 《北京行政学院学报》2004,(4):24-27
在西方放松规制的潮流下,中国政府规制改革应何去何从?本文首先对规制的意义进行区分和界定,并追溯美国政府规制的发展轨迹,然后结合我国的情况,提出了中国规制改革的取向--优化规制. 相似文献
19.
Christoph Knill Xavier Fernndez‐i‐Marín Emma Budde Stephan Heichel 《Regulation & Governance》2020,14(2):256-270
Morality policies evince a much closer relationship to religious doctrines than is the case in other policy areas and hence constitute a most likely case for the observation of religious effects on policymaking and regulatory change. Yet we still lack generally accepted answers to the questions of whether and how religion matters to morality policy. In this paper, we present a theoretical argument that helps to overcome the seemingly contradictory expectations derived from the secularization and religion matters hypotheses. We postulate a bottleneck effect of religious opposition: while religious influence matters most during early stages of the policy process when the problem definition of a moral issue is still in flux, it diminishes during later stages when the issue has made it onto the political agenda. We find evidence of the bottleneck effect in a dataset of policy permissiveness covering 26 countries and spanning 50 years for five morality policies (abortion, euthanasia, homosexuality, pornography, and same‐sex marriage). The data is analyzed via a multilevel model and using Bayesian inference. 相似文献
20.
于书平 《北京行政学院学报》2001,(6):37-39
随着金融全球化、网络化、集团化的发展,国际金融监管在监管目标、监管内容、监管重心、监管技术和监管的国际合作方面出现了一些新的趋势,对我国金融监管体系的构建具有重要的参考价值。 相似文献