CRIMINOLOGICAL THEORIES AND REGULATORY COMPLIANCE*

Four traditional criminological theories—opportunity, control, subcultural, and differential association—are tested for their explanatory power in accounting for organizational compliance with regulatory laws. The primary data source is interviews with 410 chief executives of small organizations. Partial support is found for each theory; certain key concepts of each theory have a significant effect on regulatory compliance, net of a variety of characteristics of the nursing home, the residents in the home, and the inspection team. The results show that blocked legitimate opportunity has a significant effect on regulatory compliance, as does the structure of illegitimate opportunity. There is also an effect on compliance of participation in business subcultures of resistance to regulation. Belief in laws increases compliance with those laws as does differential association with or attachment to the upholders of the law. Overall, however, control theory and differential association lack explanatory power, and the explanatory power of subcultural theory is modest. Only opportunity theory explains a credible proportion of variance in compliance as a standalone theory. The significant effect of some but not all of the measures for each theory, coupled with the lack of significant explanatory power by three of the four theories, suggests the need for theoretical integration.     

Examining Procedural Justice and Legitimacy in Corporate Offending and Beyond‐Compliance Behavior: The Efficacy of Direct and Indirect Regulatory Interactions

Tom Tyler's Procedural Justice Theory has received support in a variety of studies using criminal justice authorities as the research focus. To date, the theory has not been empirically tested using corporate malfeasance as an outcome, despite evidence that procedural justice is important in achieving regulatory compliance. This study uses factorial survey methods to examine whether corporate behavior is predicted by professionals' perceptions of procedural justice and legal legitimacy. We find that procedural justice and legitimacy considerations are salient only when managers have direct contact with regulatory authorities. This supports John Braithwaite's argument that effective regulation is enhanced by microlevel interactions in which procedural justice can be effectively leveraged to promote compliance.     

Promoting a culture of fairness: police training,procedural justice,and compliance

Objectives

Academics and practitioners alike are concerned about the potential “double-edged sword” of procedural justice. In the organizational context, procedural justice is expected to increase compliance with supervisors. However, blind, unthinking, or “hard” compliance with supervisors, may lead to anti-organizational behavior and misconduct. The present study examines the moderating effect of a police recruit cultural training program on the relationship between procedural justice and compliance with police supervisors. We expect that providing cultural training will moderate the relationship between procedural justice and “hard” compliance.

Methods

Participants were police recruits at the Queensland Police Academy who were randomly assigned to an experimental (Voice 4 Values) or control condition (business-as-usual training) upon entry into the academy. Recruits in both groups were surveyed pre- and post- training to capture perceptions of procedural justice and compliance with supervisors.

Results

Results suggest that procedural justice mattered less for predicting “hard” or unthinking compliance among the recruits who received the Voice 4 Values cultural training package, compared to those who did not receive the training.

Conclusions

We conclude that while procedural justice may be of interest to policing organizations, it is important that it is not used as a tool to encourage unthinking compliance. We find cultural training reduces the effect of procedural justice on unthinking or “hard” compliance.

     

The role of managerial self-efficacy in corporate compliance with the law

Bandura's (1986) social cognitive theory is proposed as an alternative theoretical framework from which to view the role of managerial cognitions in determining corporate compliance with the law. A first test is made of the usefulness of the construct of managerial self-efficacy in predicting compliance. Data were drawn from interviews with 410 chief executives of small organizations. The predictive utility of self-efficacy is tested with three compliance measures: a self-assessed compliance measure. a government-assessed compliance measure taken at the same time as the self-efficacy measure, and a government-assessed compliance measure taken after a 2-year time lapse. After taking into account a number of significant background variables and making a distinction between self-efficacy beliefs and control beliefs, self-efficacy was found to be significantly related to compliance in all cases. The implications of these results for the regulatory process are discussed.This project has enjoyed the funding support of the Australian Department of Health, Housing and Community Services, the Australian Research Council, the American Bar Foundation, and the Australian National University. The author is indebted to her colleagues on the Nursing Home Regulation in Action Project-John Braithwaite, Valerie Braithwaite, Diane Gibson, Miriam Landau, and Toni Makkai.     

Toward the Assessment of Procedural and Distributive Justice in Resolving Family Disputes

The first phase of this study focused on the development of comprehensive, conceptually integrated measures of procedural and distributive justice in the context of family decision making. In the second phase, these measures were used to examine older adolescents' justice appraisals of specific family disputes and the relation of these justice appraisals to family systems functioning along dimensions of conflict and cohesion. A Family Justice Inventory was constructed, which included two global indices (one for procedural justice and one for outcome fairness) and 13 subscales: 9 measuring specific facets of the procedural justice construct and 4 measuring specific dimensions of the distributive justice construct. Factor analysis revealed that the 13 Family Justice Inventory subscales could be reduced to 5 interpretable procedural justice factors (personal respect, status recognition, process control, correction, and trust) and 4 interpretable distributive justice factors (decision control, need, equality, and equity). Using procedural justice factor scores in regression analyses, personal respect, status recognition, correction, and trust each accounted for unique variance in family conflict and family cohesion. Using distributive justice factor scores in regression analyses, both decision control and need accounted for unique variance in family conflict and family cohesion. Using both procedural and distributive justice factor scores in regression analyses, personal respect, status recognition, and trust each accounted for unique variance in both family conflict and family cohesion. Additionally, equity also accounted for unique variance in family conflict but not family cohesion and the direction of the relationship was positive, that is, more equity in resolving specific family disputes was associated higher levels of general family conflict.     

NGO Standing in the European Court of Justice – Does the Aarhus Regulation Open the Door?

This article assesses whether the new European Community (EC) Regulation applying the provisions of the Aarhus Convention to EC institutions and bodies provides non-governmental organizations (NGOs) with access to justice in compliance with the EC's obligations under the Aarhus Convention. We conclude that, notwithstanding the uncertainty over the wording finally adopted in the Aarhus Regulation, the procedural rights granted to NGOs in the Regulation brings NGOs within the standing requirements of the EC Treaty, such that they can seek justice in the European courts. This is a significant development in the field of environmental democracy and procedural rights to the environment – including the ability to seek enforcement of the right to a healthy environment.     

Employee concerns regarding self-managing work teams: A multidimensional justice perspective

The increase in the use of self-managing work teams in organizations has been accompanied by growing employee resistance and concern about what such dramatic changes mean to workers. Using an organizational justice perspective, this chapter identifies and examines employee concerns about the move to self-managing work teams in two Fortune 500 organizations. Employee fairness concerns regarding three types of justice—distributive, procedural, and interactional—are highlighted. Findings suggest that to address employee fairness concerns regarding the move to self-managing work teams, managers should act distributively, procedurally, and interactionally justly.[Self-managing work teams are] the right way and the only way to be productive.—Self-managing work team member in a Fortune 500 company     

Ethnicity, trust, and acceptance of authority among police officers

This article examines the factors that influence the willingness of police officers to comply with decisions made by police command staff. In particular, this research focuses on the extent to which officer ethnicity interacts with perceptions of procedural justice in influencing officer compliance. The data for this study were drawn from an anonymous mailed survey (n = 648) examining officer attitudes toward the complaint investigation process in one large municipal police department. Structural equation modeling demonstrates that ethnicity does influence officer compliance, but only weakly and indirectly. Latino/a officers are less likely to report trust in police internal affairs than White officers, and thus somewhat less likely report that they are willing to comply with command staff decisions. Other factors, such as morale, perceptions of procedural justice, and rank, prove to be much more powerful predictors of officer compliance than ethnicity.     

Unfamiliarity and Procedural Justice: Litigants' Attitudes Toward Civil Justice in Southern China

While procedural justice has been regarded as a distinct and essential factor shaping litigants' views on civil justice, few studies have focused on China, a country with a unique legal tradition and frequent legal reforms. Drawing on surveys and interviews with litigants in a basic‐level court in Southern China, this study examines attitudes toward the civil justice system. Echoing several existing studies from China, our mixed methods analysis confirms that their views are dominated by outcomes—litigants with favorable outcomes are more likely to be satisfied, while those with unfavorable outcomes are more likely to be dissatisfied. Their unfamiliarity with the operation of the system constitutes a major reason for the dominance of substantive outcomes in their evaluations of the system. Many cannot distinguish between process and outcomes, nor do they feel control over the process. Moreover, they are dissatisfied with the process because it fails to meet their often‐erroneous expectations. Our results do not necessarily challenge the importance of procedural justice, but they do suggest that China may be different. Litigants' perceptions of justice and fairness are situated and shaped by specific contexts.     

Procedural justice policing and citizen compliance behaviour: the importance of emotion

Research consistently finds that if authorities use procedural justice in encounters with the public then this will promote citizen cooperation and compliance with the law. Recently, the importance of people's emotional reactions in response to procedural justice and injustice, and the subsequent effect this has on behaviour have been examined. This paper utilises a multi-method approach to examine the mediating role that negative affect plays in the effect of procedural justice policing on citizen compliance behaviour. Study 1 utilises both cross-sectional and longitudinal field survey data collected from Australian citizens who have had a recent contact with a police officer. Study 2 utilises an experimental vignette study designed to assess the causal mechanisms involved in the procedural justice–emotion–compliance relationship. Both studies find that procedural justice is linked to people's self-reported propensity to comply with police. Study 1 and 2 also find that negative affect mediates this relationship. These findings have important implications for training police to interact with the public in a manner that reduces negative emotions and ensures the highest level of compliance from the public.     

Why procedural justice in organizations?

This article reviews the existing research and theory on procedural justice and considers how it may be applied to the study of organizational behavior. It begins by distinguishing between the concepts of distributive justice and procedural justice and noting the historical contexts within which they emerged. Existing conceptual contributions and the research inspired by them are reviewed. The few existing studies applying procedural justice notions to organizational contexts are summarized, and the contributions of the articles to the present issue of this journal are reviewed relative to these efforts. The article closes by discussing the dual benefits of studying procedural justice in organizations: the enhanced understanding of the concept of justice and the behavior of people in organizations.     

Privacy and procedural justice in organizations

This paper advances the argument that individual privacy is a procedural justice issue in organizations. A review of the organizational privacy literature supports this argument, and new directions for procedural justice research are suggested. In addition, it is argued that a focus on individual privacy highlights the political and paradoxical implications of procedural justice issues in organizations.     

Distributive and procedural justice in the workplace

The interrelatedness of procedural and distributive justice has implications for organizational practice, especially in the area of performance appraisal. I explore these implications by first describing how procedures can influence perceptions of distributive justice: Procedural improprieties can bring to mind the possibility that a more just outcome might have been obtained if only more acceptable practices had been followed. Next I discuss a second form of interrelatedness — how distributive consequences can influence perceptions of procedural justice — by suggesting that the fairness of a procedure can be assessed in terms of its expected-value (typical or most probable) outcome. These points are illustrated by a discussion of howvoice, or the opportunity for employees to contribute information during the performance appraisal process, can affect both appraisal accuracy and perception of fairness.     

Dispute Resolution Outside of Courts: Procedural Justice and Decision Acceptance Among Users of Ombuds Services in the UK

Attitudes toward legal authorities based on theories of procedural justice have been explored extensively in the criminal and civil justice systems. This has provided considerable empirical evidence concerning the importance of trust and legitimacy in generating cooperation, compliance, and decision acceptance. However, not enough attention has been paid to attitudes towards institutions of informal dispute resolution. This paper asks whether the theory of procedural justice applies to the alternative dispute resolution context, focusing on ombuds services. What are the predictors of perceptions of procedural justice during the process of dealing with an ombuds, and what factors shape outcome acceptance? These questions are analyzed using a sample of recent ombuds users. The results indicate that outcome favorability is highly correlated with perceived procedural justice, and both predict decision acceptance.     

Procedural justice, routine encounters and citizen perceptions of police: main findings from the Queensland Community Engagement Trial (QCET)

Objectives

To test, under randomized field trial conditions, the impact of police using the principles of procedural justice during routine encounters with citizens on attitudes towards drink-driving, perceptions of compliance, and their satisfaction with the police.

Methods

We conducted the first randomized field trial??the ??Queensland Community Engagement Trial?? (QCET)??to test the impact of police engaging with citizens by operationalizing the key ingredients of procedural justice (neutrality, citizen participation, respect, and trustworthy motives) in a short, high-volume police?Ccitizen encounter. We randomly allocated 60 roadside Random Breath Testing (RBT) operations to control (business-as-usual) and experimental (procedural justice) conditions. Driver surveys were used to measure the key outcomes: attitudes towards drinking and driving, satisfaction with police and perceptions of compliance.

Results

Citizen perceptions of the encounter revealed that the experimental treatment was delivered as planned. We also found significant differences between the experimental and control groups on all key outcome measures: drivers who received the experimental RBT encounter were 1.24 times more likely to report that their views on drinking and driving had changed than the control group; experimental respondents reported small but higher levels of compliance (d?=?.07) and satisfaction (d?=?.18) with police during the encounter than did their control group counterparts.

Conclusions

Our results show that the way citizens perceive the police can be influenced by the way in which police interact with citizens during routine encounters, and demonstrate the positive benefits of police using the principles of procedural justice. Our study was limited by the use of paper-only surveys and low response rate. We also recognize that the experiment setting (RBT road blocks) is limiting and non-reflective of the wider set of routine police?Ccitizen encounters. Future research should be undertaken, using experimental methods, to replicate our field operationalization of procedural justice in different types of police?Ccitizen encounters.     

Managing Reactions to Performance Appraisal: The Influence of Multiple Justice Mechanisms

Despite the potential for conflict in performance appraisal, researchers have devoted little time and attention to justice concerns when studying this process. The present study used scenarios to investigate the effect of distributive, procedural, and interactional justice mechanisms on responses to performance appraisal reviews. Results suggest that multiple justice mechanisms in the same context may interact to influence perceptions of fairness, satisfaction, and commitment. Practical implications for conducting performance reviews in organizations are discussed.     

Prison Legitimacy and Procedural Fairness: A Multilevel Examination of Prisoners in England and Wales

The procedural justice model has been widely used as an explanation for understanding legitimacy and compliance with the law, particularly within the context of policing. Central to this model is the importance of procedural fairness—in which the treatment of citizens and offenders by criminal justice agents can play a key role in building legitimacy and influencing compliance with legal rules and values. This paper examines the relationship between procedural fairness and legitimacy within the context of corrections. Drawing on data from a longitudinal survey of more than 3,000 prisoners across England and Wales, we identify an important link between procedural fairness and prisoner perceptions of legitimacy. We further examine variations in legitimacy in terms of individual prisoner characteristics, conditions within prison, as well as differences between prisons.     

Procedural justice and police legitimacy: a systematic review of the research evidence

Objectives

We undertook a systematic review and meta-analysis to synthesize the published and unpublished empirical evidence on the impact of police-led interventions that use procedurally just dialogue focused on improving citizen perceptions of police legitimacy.

Methods

The systematic search included any public police intervention where there was a statement that the intervention involved police dialogue with citizens that either was aimed explicitly at improving police legitimacy, or used at least one core ingredient of procedural justice dialogue: police encouraging citizen participation, remaining neutral in their decision making, conveying trustworthy motives, or demonstrating dignity and respect throughout interactions. The studies included in our meta-analyses also had to include at least one direct outcome that measured legitimacy or procedural justice, or one outcome that is common in the legitimacy extant literature: citizen compliance, cooperation, confidence or satisfaction with police. We conducted separate meta-analyses, using random effects models, for each outcome.

Results

For every single one of our outcome measures, the effect of legitimacy policing was in a positive direction, and, for all but the legitimacy outcome, statistically significant. Notwithstanding the variability in the mode in which legitimacy policing is delivered (i.e., the study intervention) and the complexities around measurement of legitimacy outcomes, our review shows that the dialogue component of front-line police-led interventions is an important vehicle for promoting citizen satisfaction, confidence, compliance and cooperation with the police, and for enhancing perceptions of procedural justice.

Conclusions

In practical terms, our research shows the benefits of police using dialogue that adopts at least one of the principles of procedural justice as a component part of any type of police intervention, whether as part of routine police activity or as part of a defined police crime control program. Our review provides evidence that legitimacy policing is an important precursor for improving the capacity of policing to prevent and control crime.