The "Compliance" Trap: The Moral Message in Responsive Regulatory Enforcement

Simple deterrence will often fail to produce compliance commitment because it does not directly address business perceptions of the morality of regulated behavior. Responsive regulation, by contrast, seeks to build moral commitment to compliance with the law. This article shows that a regulator can overcome the deterrence trap to improve compliance commitment with the skillful use of responsive regulatory techniques that "leverage" the deterrence impact of its enforcement strategies with moral judgments. But this leads it into the "compliance trap." The compliance trap occurs where there is a lack of political support for the moral seriousness of the law it must enforce, such as is the case with cartel enforcement in Australia. In these circumstances, business offenders are likely to interpret the moral leveraging of responsive regulation as unfair or stigmatizing, and business perceptions of regulator unfairness are likely to have a negative influence on long-term compliance with the law. Moreover, big businesses that perceive regulatory enforcement as illegitimate are also likely to actively lobby for the political emasculation of the regulator. In these circumstances, most regulators are likely to avoid conflict by taking the easy option of enforcing the law "softly," and therefore ineffectively.     

How to Win Hearts and Minds: Corporate Compliance Policies for Sexual Harassment

Australian law provides incentives and encouragement for companies to develop their own sexual harassment policies. This paper reports on interviews with equal opportunity officers in Australia's financial services industry responsible for best practice sexual harassment policies. Their experiences evoke three scholarly critiques of corporate compliance as a regulatory strategy: (1) that corporate compliance programs are a means by which employees' lives are regimented and controlled by corporate governmentality, (2) or, even worse, that private management priorities subvert the principles of public‐regarding law while appearing to implement them, and (3) that even where law has some effect, regulatory strategies aimed at producing self‐regulatory compliance will provide insufficient deterrence to effect real change. The data however also show that the best of these best practice officers have themselves created complex strategies to resolve tensions between law and management, corporate goals, and normative pressures. In doing so, they have had to combine their personal, professional, and corporate commitments to "win hearts and minds" to antiharassment values by co‐opting management resources to compliance goals through strategic appeals to both "business case" arguments and the specter of public sanctions. This project of cooption depends on their own position and "clout" within the corporation.     

Beyond Compliance Monitoring: New Strategies for Safety Regulators

Although the advent of general duty legislation makes the task of the regulator far less clear-cut, inspectorates are still involved in monitoring and to some extent enforcing compliance with rules of various sorts. Monitoring compliance in this way is crucially important, but this article seeks to identify strategies that go beyond compliance monitoring, by drawing on research on the causes of accidents and the nature of organizations. The strategies identified include: auditing the auditors; proactive investigation; supporting company safety staff; advising on organizational design; exposing performance; and promoting regulatory crisis. These are all ways in which regulators can encourage companies to improve their management of risk, ways that are not focused on identifying noncompliance with rules of any sort.     

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.     

VOLUNTARY COMPLIANCE AND REGULATORY ENFORCEMENT

Enforcement strategies that encourage "voluntary compliance" can improve regulatory efficiency by reducing unnecessary enforcement and compliance costs associated with legal confrontation between firms and agencies. This article analyzes the enforcement dilemma that causes confrontation and describes a "Tit for Tat" strategy capable of increasing socially beneficial cooperation. The strategy requires agencies to be reasonable toward cooperative firms, vengeful toward cheaters, unrelenting in pursuit of chronic evaders, but conciliatory toward repentant firms. Reforms in this neglected and poorly understood part of the regulatory process could yield considerable social benefits.     

论第三方支付跨境业务的法律规制

从主体角度看,目前我国第三方支付跨境业务存在立法位阶较低、立法可操作性不强、立法存在冲突、法律合作机制尚不健全等诸多问题.参考国外的立法实践,其在立法框架、监管体制及监管内容等方面都有可借鉴之处.本文认为,我国第三方支付跨境业务法律规制应当从外汇监管制度、安全风险防范制度、备付金监管制度、消费者权益保护制度等方面予以完善.     

Regulator-Required Corporate Compliance Program Audits

This paper critically examines the ability of compliance program audits to provide adequate assurance of compliance system performance. The empirical evidence comes from the use of compliance program audits in monitoring compliance with enforceable undertakings agreed upon between companies (that have allegedly breached the law) and the Australian Competition and Consumer Commission and the Australian Securities and Investments Commission. The evidence suggests that the primary value of compliance program audits in this context is as a management review that induces better compliance. Nevertheless, it may be the formal regulatory expectation of verification (and the belief that it is possible) that gives the compliance review its power to encourage management to listen and respond to auditors' recommendations for improvement.
The danger is that the review aspect of the audit will be captured by management concerns. This is evident in a tendency for the audit methodology to focus on management systems at the expense of forensic investigation of harm done (or likely to be done) to consumers and investors, and in a failure to seek out public opinion and input. This style of audit undermines the basic regulatory objective of democratic accountability for corporate responsibility. I conclude by using the literature on critical social audits to show that there is, nonetheless, significant potential for compliance program audits to open corporate management to democracy, and to make some suggestions as to how this might be possible.     

Taxation Threat, Motivational Postures, and Responsive Regulation

The central proposition of motivational posturing theory is that regulatees place social distance between themselves and authority, communicating the nature of that distance through a narrative that protects the self from negative appraisal by the authority. One of the key components of posturing is the coping sensibility that individuals adopt to manage the threat of authority. At a baseline level, authorities make demands on citizens and as such threaten individual freedom. At the highest level, authorities threaten through punishment for non-compliance. Data collected from 3,253 randomly selected Australian taxpayers and a special group of 2,292 taxpayers in conflict with the tax authority are used to show that in both groups, three coping sensibilities contribute to posturing ("thinking morally,""feeling oppressed," and "taking control"), and that all three sensibilities are significantly heightened in the group experiencing conflict with the authority. The article argues that the most effective regulatory outcome is achieved when the regulatory process can dampen the "taking control" and "feeling oppressed" sensibilities, and strengthen the "thinking morally" sensibility. Responsive regulation is an approach that encourages tax authorities to read motivational postures, understand the sensibilities that shape them, and tailor a regulatory intervention accordingly.     

Procedural justice and regulatory compliance

This is a study of perceptions of the procedural justice of a business regulatory process among 341 Australian chief executives of small organizations. Only mixed support is found for the notion that procedural justice perceived by chief executives explains changes in the compliance of the organizations they run. A factor analysis suggests that five facets of procedural justice—consistency, correctability, control, impartiality, and ethicality—can be combined to form a single measure. The decision accuracy facet was not part of the general procedural justice factor. It is just one of these facets, control, that is significantly associated with changing compliance. As the chief executive's perception that they have had some control over the enforcement process increases, organizational compliance improves. The procedural justice measures correlate more strongly with regulatee satisfaction for this regulatory regime than do regulatory outcomes.     

Regulation of online pharmacy: an Australian perspective

This article argues that existing Australian regulations do not adequately cover online pharmacies or Internet advertising of medicines and that existing penalties and sanctions are often ineffective, potentially placing public health and safety at risk. Suggestions are made for future regulatory approaches. It is concluded that as well as an effective program of public education, cautious domestic legislative reform is necessary to ensure specific regulation of Australian online pharmacy practice and Internet advertising of medicines. In addition, the global nature of the Internet demands international co-operation and increased regulator and consumer vigilance.     

Taking Metaregulation to the United Nations Human Rights Treaty Regime: The Case of the Convention on the Rights of Persons with Disabilities

This article argues that regulatory scholarship can be harnessed to promote human rights, in this case the rights of persons with disabilities. It argues that the regulatory regime of the Convention on the Rights of Persons with Disabilities (the Convention) establishes a human rights metaregulatory regime. It shows that the Convention delegates all of the regulatory functions to four different actors, to the effect that no single actor has the full range of regulatory competencies. The implication of this high degree of delegation is that the Convention establishes a three‐party framework whereby the interaction between the regulatee and the two regulators is mediated by an oversight body. While organically independent, each actor is functionally interdependent so that an equilibrium is established. At a time where the effectiveness of the UN human rights treaty system is under assault, this article argues that the metaregulatory regime of the CRPD provides an optimistic vision for the future of human rights treaties.     

Enforcing the Climate Regime: Game Theory and the Marrakesh Accords

This article reviews basic insights about compliance and "hard" enforcement that can be derived from various non-cooperative equilibrium concepts, and evaluates the Marrakesh Accords in light of these insights. Five different notions of equilibrium are considered – the Nash equilibrium, the subgame perfect equilibrium, the renegotiation proof equilibrium, the coalition proof equilibrium, and the perfect Bayesian equilibrium. These various types of equilibrium have a number of implications for effective enforcement: (1) Consequences of non-compliance should be more than proportionate. (2) Punishment needs to take place on the Pareto frontier, rather than by reversion to some suboptimal state. (3) An effective enforcement system must be able to curb collective as well as individual incentives to cheat. (4) A fully transparent enforcement regime is not unconditionally a good thing. It is concluded that constructing an effective system for "hard" enforcement of the Kyoto Protocol is a formidable task that has only partially been accomplished by the Marrakesh Accords. In practice, however, the design of the compliance system for the climate regime had to balance a desire to minimize non-compliance against other important goals, including the need for due process.     

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.     

涉案企业合规刑行衔接的初步研究

涉案企业合规改革的推行和深化,离不开行政监管部门的全面配合.检察机关在涉案企业合规改革探索过程中,也较为注重发挥行政监管部门的作用,并尝试利用现有的制度空间解决好与行政监管部门的衔接配合问题.但由于行政监管部门并没有配合刑事执法机关参与办理企业合规案件的法定义务,加上衔接配合的规则和程序粗陋缺失,刑行衔接程序出现不畅问...     

Integrating Management Systems and Occupational Health and Safety Regulation

'Best practice' in occupational health and safety (OHS) performance needs to recognize the declining emphasis that is being placed on the capacity of the regulatory state. This article argues that there are more appropriate forms of OHS regulation than direct command and control. The development of a systems-based approach acknowledges the importance of continuous improvement, benchmarking, and internal self-regulation. In order to encourage a systems-based approach, it is suggested that some form of persuasion by coercion by means of law remains a necessary condition for the establishment of an incentive-based 'voluntary' regime.     

Moving Beyond Command-and-Control: Reflexivity in the Regulation of Occupational Safety and Health and the Environment

Direct or "command-and-control" regulation has had limited success in dealing with occupational health and safety and with environmental regulation. This lack of success has led policymakers to experiment with self-regulation as an alternative means of achieving the goals of social regulation. The economic subsystem fails to acknowledge its social identity and, therefore, appears to be blind to its negative performance regarding the environment and the workplace. The authors of this paper argue that moving beyond command-and-control can be feasible and desirable, at least to a certain extent, but that pitfalls are omnipresent. "Regulatory dilemmas" need to be solved, sound empirical studies need to be conducted, and a guiding theory needs to be drafted. To achieve these goals, the authors suggest use of the key concept of "reflexivity," which refers to the economic organization's relationship with itself. The practical usefulness of this theoretical concept is explored against the background of regulatory practice in the areas of occupational safety and health and the environment. It is concluded that a mode of reflexive administrative law requires a "negotiating government," which adopts a mixture of strategies and learns to cope with issues like third-party interests, access to information, and enforcement.     

网络餐饮服务第三方平台资质审核义务“履行难”困境及大数据实施对策

网络餐饮服务第三方平台资质审核义务"履行难"困境在法理上源于将食品经营许可等资质资格简单等同于食品安全的理论误解;制度设计上源于立法配套缺乏、立法衔接不到位以及立法规定模糊等问题;技术难题源于大数据运用不足。网络餐饮服务第三方平台资质审核相关案例实证分析表明我国立法科予平台的法定义务并没有得到较好履行,立法设计与法的实效相去甚远。破解审核义务困境需要将此公法义务进行技术上形式审核的定位,并构建基于大数据网络订餐食品安全预警系统、食品监管部门与平台联动治理模式以及基于区块链技术的智能监管系统等。