共查询到20条相似文献,搜索用时 15 毫秒
1.
Aleksandra Jordanoska 《Regulation & Governance》2021,15(2):298-316
The UK Financial Conduct Authority has developed and implemented policies targeting individuals for regulatory non-compliance in the post-2008 crisis period. This article develops a tripartite framework that differentiates between individual–firm, regulator–individual, and regulator–firm interactions to capture the complexity of these enforcement proceedings. Drawing on interviews with stakeholders, administrative decisionmaking observations, and documentary analysis, it outlines the process of individualizing responsibility for non-compliance and finds that this approach poses evidential and investigative challenges for the regulator as a result of individual and corporate responses. The evidence shows that individuals are more likely than firms to engage in an adversarial response to an investigation rather than to settle. At the same time, through an inverse process of “corporatization” of the enforcement proceedings, firms may employ resources and strategies aimed at obscuring individual responsibility or binding together more closely the corporate and the individual case. The article concludes that the prospects of a successful outcome in investigating individuals depend not only on regulators' activities but also on corporate responses and on which managers are considered assets to the firm and which may be thrown to the wolves. 相似文献
2.
Benjamin Van Rooij Gerald E. Fryxell Carlos Wing‐Hung Lo Wei Wang 《Regulation & Governance》2013,7(3):321-347
This paper examines how changes in governmental and social influences affect environmental enforcement in Guangzhou city, China, between 2000 and 2006. The paper finds that a form of “decentered regulation” has developed. Regulatory enforcement is no longer the sole affair of the government and the regulatory bureaucracy, but has been increasingly influenced by societal forces. The transformation over time shows the promises and limits of decentered regulation in Guangzhou's dynamic authoritarian setting. Analyzing a set of longitudinal survey data and qualitative interviews, the paper finds that by 2006, the rise of civil society and its increased support for protecting the environment had a double‐edged impact on the enforcement of environmental regulations. The paper demonstrates that on the one hand, by 2006, when government support for enforcement was low, societal forces developed an ability to counterbalance such lack of governmental support and positively influence enforcement. However, it also shows that when government support was high, a concurrent rise in societal support created a negative effect on enforcement. Thus too much societal support can become an enforcement burden. 相似文献
3.
This article analyzes whether, and if so, why, national inspectorates adopt different enforcement strategies when controlling the provision of welfare services, such as health care, eldercare, and the compulsory school. The findings show that the Swedish Schools Inspectorate uses a predominantly strict strategy, while the Health and Social Care Inspectorate relies on a more situational strategy. To explain this variation in enforcement strategy, the article tests four hypotheses derived from the literature on regulatory enforcement. The findings suggest that the variation between the agencies is not primarily the result of differences in resources or the authority to issue punitive decisions, as suggested by previous research. Instead, we find support for the hypothesis that the definition of quality can explain variation in adopted strategies, and partial support for the hypothesis that differences in regulatory mission can account for a variation in the agencies' formal enforcement strategies. 相似文献
4.
Anita Stuhmcke 《Australian Journal of Public Administration》2008,67(3):321-339
This article examines the individual complaint‐taking role of the Australian Commonwealth Ombudsman over a 28 year period between 1977–2005. This study was conceived through a curiosity to determine how a 30 year old administrative law institution is reacting to accommodate a dramatically altered legal, political and economic environment. The suspicion was that, in the absence of legislative amendment to its jurisdiction and role, the Commonwealth Ombudsman must strategically change due to the demands of these external forces. The overall quantitative finding from the data analysis is that the internal strategic direction of the Commonwealth Ombudsman is indeed altering. In terms of dispute resolution it is increasingly using its discretionary powers to turn individual complainants back to government departments/agencies. The data analysis reveals that this administrative law institution is shifting from a reactive individual complaint taker to a proactive standard setter for government administration. This article suggests that this movement may impact upon citizen ‘rights’ or perceptions of their rights to have their individual complaints heard against government. This in turn may have a ripple effect for notions of democratic accountability and the relationship between the citizen and the state. 相似文献
5.
Stephan Grimmelikhuijsen Feie Herkes Ian Leistikow Jos Verkroost Femke de Vries Wilte G. Zijlstra 《Regulation & Governance》2021,15(1):17-31
Decision transparency is often proposed as a way to maintain or even increase citizen trust, yet this assumption is still untested in the context of regulatory agencies. We test the effect of transparency of a typical decision tradeoff in regulatory enforcement: granting forbearance or imposing a sanction. We employed a representative survey experiment (n = 1,546) in which we test the effect of transparency in general (providing information about a decision or not) and the effect of specific types of transparency (process or rationale transparency). We do this for agencies supervising financial markets, education, and health care. We find that overall decision transparency significantly increases citizen trust in only two of the three agencies. Rationale transparency has a more pronounced positive effect only for the Education Inspectorate. We conclude that the overall effect of decision transparency is positive but that the nature of the regulatory domain may weaken or strengthen this effect. 相似文献
6.
Machiel van der Heijden 《Regulation & Governance》2021,15(3):725-744
Transnational collaboration between regulatory agencies has proliferated rapidly within the last three decades. However, given that information regarding the motives, trustworthiness, and capabilities of potential partners is typically imperfect, decisions about with whom to collaborate are inevitably characterized by a degree of uncertainty. To better capture these dynamics, this article uses a network analytical perspective and hypothesizes that agencies are more likely to form agreements with agencies to whom they are already indirectly connected (transitivity), that are highly connected (preferential attachment), or with whom they share tie-characteristics (assortativity). To test these hypotheses, a stochastic actor-oriented model is used to analyze an original, self-coded data set in which bilateral information exchange agreements between national securities agencies (n = 143) are mapped out over a 18-year period. The results show that the formation of agreements between regulatory agencies is driven by (i) the number of shared partners (i.e. triadic closure); and (ii) similarity regarding agency characteristics (i.e. homophily). 相似文献
7.
Regulatory behavior and effectiveness in authoritarian settings are subject to alternative characterizations. By tracing enforcement processes through a variety of case studies, this article proposes and refines a new model, at least with respect to energy efficiency regulations in China: authoritarian but responsive. Local rulemaking and operationalization is authoritarian, with strong and coordinative bodies of regulation, strategic plans, and active involvement of local authorities. Local authorities, however, often find themselves facing a welter of laws imposed on companies that create competing priorities for these local officials who then must struggle to find pragmatic solutions. On numerous occasions, such satisficing behavior by local officials makes them responsive to the performance and demands of regulated firms. Embedded in the decentralized authoritarian context, the authoritarian but responsive approach is found to be a rational choice of local governments and different from previous conceptualizations. It helps local governments coordinate across a diverse array of regulatory issues. Drawing on environmental enforcement in China, the model provides consistent explanations for the seemingly changing and discretionary enforcement incidents. 相似文献
8.
Ayako Hirata 《Regulation & Governance》2021,15(4):1388-1405
Street-level interpretation and enforcement are critical to defining the meaning of law. To understand street-level regulatory decisions, prior studies have highlighted internal office conditions, neglecting the influence that peer offices can have. This study examines the role of horizontal inter-office interaction among frontline offices and illustrates how and under what conditions it shapes the meaning of law. Drawing on qualitative and quantitative data on Japan's Soil Contamination Countermeasures Act, this study reveals that inter-office interaction occurs within fixed groups and comes to shape shared interpretations of law that regulators believe are legally valid. This implies that under legal ambiguity, inter-office interactions develop institutionalized notions of appropriateness and reinforce the perception of legal consistency, which bolster the legitimacy of enforcement. Although peer office networks encourage convergence on the interpretation of law, because of their clustered structure, legal meanings develop differently across various groups. 相似文献
9.
Defining Environmental Justice Communities for Regulatory Enforcement: Implications from a Block‐Group‐Level Analysis of New York State
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Jiaqi Liang 《政策研究评论》2016,33(6):666-685
The absence of a clear definition of environmental justice areas has been cited as one of the U.S. Environmental Protection Agency's major deficiencies in managing federal environmental justice programs. Several states have explicitly defined potential environmental justice areas and integrated targeted efforts into the policy‐making process. At the block‐group level, this study evaluates the effects of New York State's environmental justice policy, which defines communities of concern in terms of demographic and socioeconomic characteristics as well as mandates supplemental regulatory enforcement activities for these neighborhoods, on the agency's policy implementation practices under the Clean Air Act and Clean Water Act. The empirical findings suggest that there is inconclusive evidence regarding race/ethnicity‐ and class‐based environmental inequity. Also, the state's policy intervention is not universally effective. Moreover, task environments of a given community are a consistent determinant of the agency's regulatory compliance monitoring and assurance activities. This study then derives broader implications regarding the adoption of a policy instrument that defines and screens potential environmental justice communities. 相似文献
10.
鄂振辉 《北京行政学院学报》2006,(6):72-75
执法权是国家权力体系中最活跃、最重要的一项权力,其行使的得当与否与每个公民的切身利益息息相关。然而,从目前的情况看,我国执法权的行使还存在着令人忧虑的问题:一方面执法权交叉重叠;另一方面执法权又行使不力。造成这一结果的直接原因是我国的法律制度在执法权配置上存在漏洞,即现行立法过多迁就旧的行政管理体制,过于强调部门的利益,执法权被支解,执法主体过多过滥;同时现行法律制度过于注重对执法行为的约束,忽略执法权的科学配置。这些问题都有待于在我国的立法过程中逐步得到解决,即加强与完善我国各级政府的组织立法,规范各级执法权。 相似文献
11.
中德社会保障争议处理制度比较研究 总被引:1,自引:0,他引:1
程延园 《北京行政学院学报》2005,(2):55-59
中德两国在历史发展过程中逐步形成了各自独特的社会争议处理制度和模式。德国社会法院作为专门审理社会保障争议的特殊行政法院,体现了法律保护的缜密性和司法的高度专业性,适应了社会保障争议多,内容纷繁复杂,技术性、专业性强的现实需要。中国社会保障争议处理法律制度则处于形成发展阶段,因争议种类、主体不同而设置了不同的解决争议的机构,采用了不同的法律制度、程序和处理原则。本文以两国现行社会争议处理法律规定作为比较标准,按照社会争议处理的程序,分别从社会争议的范围界定、行政处理程序和制度、法院处理程序和制度三方面进行了比较研究,为中国社会保障争议处理制度提供借鉴和启示。 相似文献
12.
Darcy W. E. Allen Chris Berg Aaron M. Lane Patrick A. McLaughlin 《Australian Journal of Public Administration》2021,80(1):114-137
The problem of regulatory accumulation has increasingly been recognised as a policy problem in its own right. Governments have then devised and implemented regulatory reform policies that directly seek to ameliorate the burdens of regulatory accumulation (e.g. red tape reduction targets). In this paper we examine regulatory reform approaches in Australia through the lens of policy innovation. Our contributions are twofold. We first examine the evolutionary discovery process of regulatory reform policies in Australia (at the federal, intergovernmental, and state levels). This demonstrates a process of policy innovation in regulatory mechanisms and measurements. We then analyse a new measurement of regulatory burden based on text analytics, RegData: Australia. RegData: Australia uses textual analysis to count ‘restrictiveness clauses' in regulation – such as ‘must’, ‘cannot’ and ‘shall’ – thereby developing a new database (RDAU1.0). We place this ‘restrictiveness clauses’ measurement within the context of regulatory policy innovation, and examine the potential for further innovation in regulatory reform mechanisms. 相似文献
13.
中国必须坚持和平发展的战略,因为它符合中国的国家战略利益,也符合中国人民和世界人民的根本利益。同时,中国也必须果决反制菲、越的侵略挑衅行为。因为这是捍卫中国国家主权的需要,也是制止侵略行为、防止南海问题进一步复杂化失控化、捍卫南海和平的需要。果决反制挑衅,不仅不与我国的和平发展战略相冲突,反而是对我国和平发展战略的有力维护。 相似文献
14.
Duan Xiaolin 《The Pacific Review》2019,32(3):419-445
In popular narratives, intellectual and media analysts believe the Diaoyu/Senkaku Islands dispute between China and Japan is a contestation for potential hydrocarbon reserves and other maritime rights which are per se divisible, but nationalism – particularly on China side – and relative power change between the two competing claimants make these territories increasingly indivisible and the dispute war-prone. Based on a review over People's Daily’s coverage of the disputes and other secondary information, this article reveals a different scenario by highlighting the political meanings of disputed territories for national cohesion and regime self-preservation. It finds, Beijing’s strategic moves in the disputes are influenced by its efforts at different occasions to de-legitimate Republic of China at Taiwan and defend its core interests – namely Taiwan and the \"One-China\" principle, to appease the patriotism in Hong Kong and facilitate the latter’s stable reversion to China in 1990s, and what is more, to rally popular support at home. In addition, Beijing’s Diaoyu/Senkaku strategy did not follow a carefully calculated path, but was mostly reactive to the contingencies and ultimately took shape through the incremental accumulation of previous policies and behaviours. 相似文献
15.
Rex Deighton‐Smith 《Australian Journal of Public Administration》2008,67(1):41-56
This article identifies and discusses several different conceptions of regulatory reform. It subsequently looks at available evidence on trends in regulatory burdens and on the results of regulatory reform activity undertaken over the past 30 years. Thirdly, it identifies and briefly discusses the range of tools that are typically employed in implementing regulatory reform policies. It then examines some of the regulatory problems that implementation of the reform agenda has itself brought forth. It concludes with some comments which seek to assess the report of the Better Regulation Taskforce in the context of the broad overview of regulatory reform set out in the preceding sections of the article. 相似文献
16.
Regulation is now considered an integral instrument in developing policy toolkit to support market‐led, pro‐poor growth in developing and transition economies. Institutional environment in general and regulatory governance in particular have increasingly been viewed as a factor of competitiveness. In search for better governance, regulatory reform is critical. This article assesses regulatory reform in selected developing and transition economies by reporting the results of a survey on the application of regulatory governance policies, tools and institutions. It is found that in these countries regulatory reform has not shifted in approaches and objectives to taking a systematic view of regulatory governance and the means of promoting and enhancing it. It is suggested that, in order to improve regulatory governance, focus should be put on each of the three elements: regulatory policies, tools and institutions, and that centralised and concerted efforts are needed to integrate the elements. Copyright © 2009 John Wiley & Sons, Ltd. 相似文献
17.
John S. F. Wright 《Regulation & Governance》2009,3(4):334-359
Following its election in 1997, the UK Labour Government embarked upon a 10 year program of reform of the National Health Service (NHS). By 2005, Labour had doubled the NHS budget and dramatically transformed the shape of the Service. In England, a basic characteristic of the NHS is the organizational split between provider and commissioning agencies. In this article I argue that Labour's re‐regulation of NHS provision is a coherent representation of the influence of the “regulatory state” in restructuring arrangements between government, market, and society. The article offers an account of the regulatory state based on a discussion of five key theses: The Audit Society, Regulation Inside Government, The New Regulatory State, The British Regulatory State, and Regulatory Capitalism. The article unfolds Labour's program of reform across themes common to these accounts: the division of labor between state and society, the division of labor within the state, the formalization of previously informal controls, and the development of meta‐regulatory techniques of enforced self‐regulation. It concludes that the key themes of the regulatory state are at work in Labour's transformation of NHS provision and it offers a discussion of the implications for both scholars of regulation and the UK and European health policy literature. 相似文献
18.
现代警务机制建设着力将公安机关角色定位从管理推向服务,在为民服务创新中,警察逐渐丧失了内在刚性,呈现出诸多"去警察化"特征。为更加有效地实施执法行为,必须杜绝服务认知的泛化,通过一系列可行性探索回归警察本色。 相似文献
19.
This study tests the association between liberalism and religion on militarized disputes in the politically and religiously similar and mixed state dyads. The analysis (1980–2001) integrates the Correlates of War and World Religion Datasets. The findings suggest that while religious makeup of state dyads does not vitiate the impact of democracy, religious similarity amplifies the impact of liberalism. The results also suggest that Christian–Muslim dyads, especially Christian–Sunni and Christian–Muslim other than Shia and Sunni dyads, are more likely to engage in militarized disputes, and regime differences increase the chances of conflict in the joint Muslim dyads. 相似文献
20.
Jude Browne 《Regulation & Governance》2020,14(2):203-218
This article introduces the “regulatory gift” as a conceptual framework for understanding a particular form of government‐led deregulation that is presented as central to the public interest. Contra to theories of regulatory capture, government corruption, “insider” personal interest, or profit‐seeking theories of regulation, the regulatory gift describes reform that is overtly designed by government to reduce or reorient regulators’ functions to the advantage of the regulated and in line with market objectives on a potentially macro (rather than industry‐specific) scale. As a conceptual framework, the regulatory gift is intended to be applicable across regulated sectors of democratic states and in this article the empirical sections evidence the practice of regulatory gifting in contemporary United Kingdom (UK) politics. Specifically, this article analyses the 2011 UK Public Bodies Act, affecting some 900 regulatory public bodies and its correlative legislation, the 2014 Regulator's Code, the 2015 Deregulation Act, and the 2016 Enterprise Bill. The article concludes that while in some cases the regulatory gift may be aligned with the public interest – delivering on cost reduction, enhancing efficiency, and stimulating innovation – this will not always be the case. As the case study of the regulatory body, the UK Human Fertilisation and Embryology Authority, demonstrates, despite the explicit claims made by legislators, the regulatory gift has the potential to significantly undermine the public interest. 相似文献