Regulatory Styles,Motivational Postures and Nursing Home Compliance*

Using Kagan and Scholz (1984) typology of regulatory noncompliance, this study examined the perceptions of regulators and of regulatees toward the regulatory encounter to predict subsequent compliance with nursing home quality of care standards. Appraisals of both regulators and regulatees were not driven by motivational analyses of each other's actions, but rather by assessments of performance and social group identity. The regulators saw nursing homes in terms of one evaluative dimension ranging from responsible and not in need of intervention through to irresponsible and needing intervention. The corresponding reactions of nursing home managers involved seeing the regulators as cooperative and sympathetic through to police-like and coercive. On both sides of the regulatory encounter, criticism and reactions to criticism swamped nuanced analyses of motivational underpinnings and rational decision models in explaining compliance. The motivational complexity underlying the Kagan and Scholz typology was, however, apparent in the self-reported motivational postures of managers toward the regulatory process. The postures of managerial accommodation and capture to the regulatory culture were associated with compliance. Over time, resisters to the new regulatory regime became more compliant, particularly those whom inspectors judged as best left alone to adjust. In contrast were managers whose response to the regulatory process was disengagement. Their organizations experienced deterioration in compliance. The study fails to find that certain kinds of regulatory strategies such as deterrence, education and persuasion work better than others across the sample or with specific groups. Extant models focus excessively on how to play the regulatory game without recognizing the potential for players dropping out of the game. Understanding reasons for disengagement and processes for reengagement are fundamental to the application of behavioral decision theory models to the regulatory context.     

Escaping the Regulatory Net: Why Regulatory Reform Can Fail Consumers*

This paper considers the impact of recent reforms to the UK food safety régime and considers whether the reforms have been able to deliver their promised benefits and if not, why not. Empirically, the paper examines the UK Food Standards Agency's (FSA) reforms to the régime managing food allergen risks, and the extent to which those reforms have reflected the FSA's guiding principle of “putting consumers first”. The paper finds that the operationalization of that guiding principle was mitigated by a number of factors, including: interpretative flexibility in representing consumer interests; the institutional structure and character of the régime; the political and cultural environment in which the régime operated; and normative uncertainties about the allocation of rights and responsibilities in managing risks. The paper concludes that risk regulation reforms are likely to fail in prioritizing consumer interests unless such factors are taken into account.     

Frontline Safety: Understanding the Workplace as a Site of Regulatory Engagement

The concept of frontline safety encapsulates an approach to occupational health and safety that emphasizes the “other side of the regulatory relationship”—the ways in which safety culture, individual responsibility, organizational citizenship, trust, and compliance are interpreted and experienced at the local level. By exploring theoretical tensions concerning the most appropriate way of conceptualizing and framing frontline regulatory engagement, we can better identify the ways in which conceptions of individuals (as rational, responsible, economic actors) are constructed and maintained through workplace interactions and decision making as part of the fulfillment of the ideological and constitutive needs of neoliberal labor markets.     

Awareness of Domestic Violence Within the Evangelical Community: Romania and Moldova

Domestic violence is a serious problem worldwide and is often perpetuated by complex social and cultural factors. The former post-communist countries of Romania and Moldova are no exception despite recent social attention. Many evangelical churches have not addressed this problem. The purpose of this project was to begin to assess the understanding of clergy and congregation members from evangelical churches in Romania and Moldova about domestic violence. Findings indicate that domestic violence occurs within the evangelical church in both Romania and Moldova, and that cultural and religious factors influence its prevalence. Suggestions for further research and training are included.     

Regulation by Reward: On the Use of Incentives as Regulatory Instruments*

This essay explores the use of positive reinforcement as a regulatory strategy. It discusses both financial and symbolic incentives and their application in furtherance of regulatory compliance, and presents various illustrative examples of the use of positive incentives by regulatory authorities. It then reviews the advantages and potential shortcomings of regulatory incentives, and suggests principles by which incentive instruments can be used as part of an overall regulatory regime.     

Ozone Partnerships,the Construction of Regulatory Communities,and the Future of Global Regulatory Power*

This article describes our effort to understand the Montreal Protocol as an unconventional approach to regulation, one that encourages the construction of volunteer partnerships, episodic networks, and regulatory communities comprised of public and private actors criss-crossing institutional and national boundaries. We examine three provisions of the Protocol that give official governments and private global corporations latitude to create temporary arrangements that leap beyond their typical institutional constraints. The provisions that promote collaboration are the use of trade sanctions as an incentive to cooperate; the creation of the Interim Multilateral Ozone Fund (IMOF), the funding mechanism that links the fate of developed and developing nations; and, the establishment of an international clearinghouse to share technology for reducing ozone depleting substances. Singly and together these mechanisms of coercion, exchange, and normative pressure permit individual actor's interests to be pursued, bind them into ephemeral but replicable networks of action, and result in the creation of the very meaning of regulatory compliance and effectiveness. The discussion draws out the implications of a transcorporate definition of power and global problem solving as it relates to democratic reliance on the political sovereignty of individual actors and nations.     

网络犯罪及国际社会法律对策述评

一、引言正在我们身边发生的这场信息革命是人类历史上的又一次意义深远的变革，人们现在已经可以看到它所带来的巨大变化。遗憾的是，当互联网和先进的信息技术在为人类创造效益、带来方便的同时，它也同样带来了一场犯罪方式的“革命”。在２００１年２月，美国的多家大型电子商务网站及门户网站受到攻击而陷于瘫痪，其中包括了Yahoo，Amazon及CNN等著名网站。攻击者采用了一种称为“分布性拒绝服务”（distributeddenialofservice）的手段，即通过向对象服务器传送超大量数据，使其穷于应付而无暇响应其他客户的要求。因此，这次事件的…     

Compliance Professionalism and Regulatory Community: The Australian Trade Practices Regime

Contemporary state governance relies increasingly on regulatory strategies encouraging self-regulation and compliance for corporate regulation. This paper examines the conditions in which such strategies might be effective by reference to the Australian trade practices regime. The paper argues that regulators will only use compliance strategies effectively when (i) a community of compliance professionals with both professional integrity and commercial 'street' credibility exists to make compliance come alive in everyday corporate activities, and (ii) regulators invest in meta-evaluation of compliance professionals' activities.     

Public Participation in Environmental Regulatory Conflicts: Treading Through the Possibilities and Pitfalls*

Based on two years of qualitative field work, this paper examines public participation in environmental regulatory disputes. Drawing on political economy critiques of environmentalism, we argue that regulation is both a political arena and a legal process that is about responsivity, competition, and bargaining. A combination of case study and Boolean algebra techniques are used to refine and apply the conceptualization. Five primary factors are identified which mediate citizens' participation: (I) information networks, (2) social resources, (3) cooperative linkages, (4) the ability to sustain linkages and levels of resource mobilization over time, and (5) agendas which fit within the narrow constitutive norms of a particular regulatory community.     

Looking for Coherence within the European Community*

Abstract: This paper discusses the relationship between the idea of coherence and the legal order set up by the European Community. It focuses on a specific dimension of this relationship and shows how the appeals to coherence made by the European Court of Justice have shaped a particular branch of the European legal order, namely, the judicial review of Community acts. The analysis of the Court of Justice's case law in this field shows that in its extensive use of coherence the Court of Justice explored and brought into play different types of coherence and, while it failed to distinguish between them, it made use of sorts of coherence that thus far legal theorists have disregarded. The article concludes that a closer collaboration between legal theory and legal practice would be profitable for both legal theorists and Community law specialists.     

Kant and the Transnational Order: Towards a European Community Jurisprudence*

Abstract. This paper seeks to suggest a jurisprudential grounding for the European Community, and seeks to do so by using a specifically Kantian philosophy of law. Kant's observations on the nature of transnational orders, like so much of his political theory, have tended to be overlooked. To do so is to overlook one of the great political and jurisprudential treasures in modern western thought. It will be suggested that a proper understanding of a Kantian normative order, and the application of such a model to the European Community will serve to dispel much of the confusion and sometimes near histrionic commentaries which have characterised recent attempts to understand the jurisprudence of the Community.     

Regulatory and Administrative Agency Behavior: Accommodation,Amplification, and Assimilation*

Much scholarly analysis of regulatory and administrative behavior focuses on officials' reactions to external influences. Commonly discussed is officials' accommodation of external interests or pressures (such as those of interest groups). But case studies show two additional types of behavior: amplification, in which officials enlarge the effects of external influences by anticipating the potential likely consequences of certain kinds of agency actions based upon their understandings of how situations have been responded to or may be responded to by others in the future; and assimilation, where officials define a situation as problematic and coordinate with or take into account various elements of their environment in attending to the perceived problem. Focusing on all three patterns of behavior and the context within which they emerge yields a fuller analysis of the significance of external factors for the exercise of discretion.     

European Community Law and the Redistribution of Regulatory Power in the United Kingdom

Abstract: This paper draws on a series of case studies of implementation of specific Community law instruments, in the fields of food safety, toy safety, beverage labelling, television broadcasting, and free movement of persons. The objective is to explore the question of how, and to what extent, the need to implement Community law and policy functions to reinforce or to retard shifts in regulatory power in the United Kingdom: from local to central regulatory power; from official regulation to self-regulation; and from bureaucratic and political controls to privately-initiated control through the courts.     

Regulatory Assessment of Investments by Telephone and Electric Utilities*

A utility's investments are included in the rate base if the expenditures can pass the “prudent” or “used and useful” tests. Regulators have a difficult time applying these tests to telephone companies because little is known about the demand for new services. Under current regulatory procedures, telephone companies face an incentive system which rewards the firm for successful entry into new markets, but because of the lack of information about the demand for new services, the cost of failures is absorbed by customers of existing services. We propose a rate-making standard that would insure that existing subscribers of telecommunications services will not subsidize the new services that are being introduced by local exchange telephone companies.     

Structured Community Activities and Moral Engagement as Deterrents to Youth Violence: a Mediation Analysis

This study assessed whether youth involvement in structured community activities (scouting, team sports, volunteer work, and church-related endeavors) and a morally engaged belief system deterred future aggressive behavior in 1170 male delinquents. It was hypothesized that moral engagement would mediate the relationship between involvement in structured community activities and aggression but involvement in structured community activities would not mediate the relationship between moral engagement and aggression. A three-wave path analysis, in which structured community activities and moral engagement were cross-lagged at Waves 0 (baseline) and 1 and correlated with aggression at Wave 2, provided support for this hypothesis. Results showed that involvement in structured community activities encouraged moral engagement, which, in turn, inhibited aggressive behavior. Consistent with previous research, a social cognitive factor (moral engagement) did a significantly better job of mediating behavior (involvement in structured community activities) than behavior did of mediating a social cognitive factor.     

Theory and Practice of Regulatory Enforcement: Occupational Health and Safety Regulation in British Columbia*

Data about the activities of occupational health and safety officials in British Columbia is utilized to explore competing explanations for the overwhelming prevalence of persuasion over punishment in regulatory enforcement. By plotting the compliance histories of individual firms, this study demonstrates that many offenders repeatedly commit the same infraction. Few of these repeat offenders are punished. These findings suggest that the very limited use of penalties is not a result of the vast majority of firms being good apples induced to comply by mechanisms of social control other than punishment. Rather, there appears to be institutionalized tolerance of widespread violations. The enforcement deficit may be partly explained by such aspects of regulatory structure as the ongoing relationship between regulated firms and field officers who are the gatekeepers of the penalty process.     

Community Characteristics and Death by Homicide,Suicide and Drug Overdose in Italy: The Role of Civic Engagement

A number of recent theories suggest that high civicness, civic participation and social capital protect a community from deviant behavior. Most empirical studies of this hypothesis have been conducted in North America. This paper examines to what extent this hypothesis applies to Italy and to three forms of violent death: homicide, suicide, and drug overdose, using the Putnam concept of civicness. Official statistics on civicness, unemployment, per capita G.D.P., urbanization, couples’ separation and age group concentration from the 95 sub-regions (provinces) of Italy were used as predictors of violent death. Among regions, homicide and suicide rates were negatively correlated. Southern provinces had more homicides, while northern provinces had more suicides and deaths from drug overdose. Analyses of interactions among independent variables revealed that certain relationships, which at first sight appeared to concern the whole of Italy, in reality concern only the north or only the south. This suggests the existence of specific effects, whereby some independent variables are only triggered in the particular conditions encountered in the north or in the south of Italy. Civicness was negatively associated with homicide only in the south, where it was also positively associated with suicide. Death by drug overdose was mostly explained by wealth. The overall pattern of results was more complex than present theories suggest.     

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.