The European regulation of corporate social responsibility: The role of beneficiaries' intermediaries

Intended beneficiaries have an undeniable relevance to regulation. However, current research has focused mainly on the two‐party relationship between rulemaking and rule‐taking. We attempt to fill this gap by exploring the formal and informal roles that beneficiaries’ intermediaries played in co‐creating European Corporate Social Responsibility (CSR) rules and associated practices between 2000 and 2017. By linking recent conceptualizations of regulatory intermediaries with the literature on critical political CSR, we offer a more dynamic and contextualized understanding of the roles of beneficiaries’ intermediaries. Specifically, we identify six micro‐dynamics through which they influenced the regulatory process. Notably, our findings highlight how the convergence of interests between three groups of beneficiaries’ intermediaries – the Non‐governmental organization–Investor–Union nexus – had a key role in reshaping CSR rules. We conclude that, in the European context, stronger and better‐coordinated beneficiaries’ intermediaries are crucial in order to achieve more effective corporate conduct regulation.     

The relationship between regulation and contracts in infrastructure industries: Regulation as ordered renegotiation

This paper discusses the relationship between regulation and contracts in infrastructure industries and the role of regulation, particularly the role of regulatory agencies in the review, revision, and renegotiation of contracts. The paper starts with a short survey of relevant economic and legal issues. Examples are presented of how and why infrastructure contracts, including concession contracts, have been combined with monitoring and enforcement by external regulatory agencies. The examples discussed include historical UK experience, recent French experience, and developing country experience. The paper concludes with a discussion of the role that regulatory entities can play to reinforce trust and sustain contracts by enabling simpler contracts, resolving contract misunderstandings, and providing processes for ordered renegotiations.     

Limits to non‐state market regulation: A qualitative comparative analysis of the international sport footwear industry and the Fair Labor Association

Non‐state market regulation has become a central focus and continues to receive scholarly attention. The present paper provides an assessment of the conditions under which multinational firms join a multi‐stakeholder certification initiative. The cases of the Fair labor Association and 17 international sport footwear companies have been selected for this purpose. A Qualitative Comparative Analysis of the 17 cases is performed. The paper argues that the combination of sustained NGO pressure and public ownership of a firm is a necessary precondition for firms joining a multi‐stakeholder certification initiative. The theoretical and policy implications of this result are discussed.     

When risk‐based regulation aims low: Approaches and challenges

Risk‐based regulation is becoming a familiar regulatory strategy in a wide range of areas and countries. Regulatory attention tends to focus, at least initially, on high risks but low‐risk regulatees or activities tend to form the bulk of the regulated population. This article asks why regulators need to address low risks and it outlines the potential difficulties that such risks present. It then considers how regulators tend to deal with lower risks in practice. A body of literature and survey‐based research is used to develop a taxonomy of intervention strategies that may be useful in relation to low‐risk activities, and, indeed, more widely. In an article to be published in the subsequent issue of this journal, we will then develop a strategic framework for regulators to employ when choosing intervention strategies and we will assesses whether, and how, such a framework could be used by regulatory agencies in a manner that is operable, dynamic, transparent, and justifiable.     

Confronting the Governance Challenges of Developing Nigeria's Extractive Industry: Policy and Performance in the Oil and Gas Sector1

The issue of economic growth and human development has been a central concern in the oil and gas sector of Nigeria's extractive industry, and this has featured prominently in the agitations and generalized restiveness in the Niger Delta, the oil‐producing region. While many studies have focused on these problems, policies aimed at confronting them have not received much broad attention. This article bridges this research gap by holistically focusing on the solution to the problem. In doing this, the article examines the policies during the Obasanjo administration from 1999 to 2007 in order to critically assess the efficacy or inefficiency of the policies in reversing the general problem now known as the “resource curse,” and to offer a better understanding of the deeper political, social, and economic issues that drive outcomes. The article finds that while significant efforts were made to avoid the boom and bust cycle of oil and lower volatility by de‐linking public expenditure from oil revenue through the “oil‐price‐based fiscal rule,” generally, progress in this area was not matched by improvement in the other areas examined by this study, notably peace and safety of lives and oil/gas installations, the development of the oil‐producing region, environmental security and sustainability, and the transparent and accountable use of oil/gas revenues.     

The culture of risk regulation: Responses to environmental disasters

Disasters challenge the equilibrium of regulatory regimes and make policy shifts more likely. Using an institutional theory of cultural biases and the concept of cultural “surprise”, this article analyses the direction and intensity of media argumentation in respect of policy shifts. Instead of assuming a demand for greater State intervention after dramatic focusing events, as suggested by other theoretical frames, cultural theory opens a variety of options that range from embracing regulatory responses from different cultural biases to the radicalization of current, but failing, instruments. The analysis of media reaction to the environmental disasters caused by the oil spills of Exxon Valdez (United States), Erika (France) and Prestige (Spain) shows that the demand for more hierarchy does not monopolize the overall argumentation. The change demanded often implies a radicalization of a particular prevalent view where the associated institutional setting is failing its supporters.     

The Transformation of organic regulation: The ambiguous effects of publicization

The regulatory regime for organic products is different from other non‐state‐market driven (NSMD) regimes because it is the only one that evolved from a purely private into a regime where the establishment of minimum standards has become the monopoly of public powers. This article is the first to study the effects of the process of publicization, a term coined to characterize the transformation of private into public standards. The central hypothesis studied is that the process of publicization has empowerment and containment effects at the same time. To test the hypothesis the article analyses the effects of publicization on regulatory capabilities of private regulators as well as on the quality of the standards. The effects of publicization are further explored by comparing the legal and institutional architecture that shapes the coexistence of private and public regimes in the EU and the US, showing important differences between the two systems. The article offers a new perspective to look at the dynamic interaction between private and public regulation and its findings are of general relevance for the debate on the desirability of governmental intervention on private regulatory schemes.     

Balancing experimentalist and hierarchical governance in European Union electricity and telecommunications regulation: A matter of degrees

While the widespread diffusion of experimentalism across sectors and polities is well documented, less is known about the extent of the shift to this non‐hierarchical form of governance, which continues to coexist with traditional hierarchical governance and involves more inclusive rulemaking and revision based on review of alternative implementation experiences. By comparing and process‐tracing electricity and telecommunications regulation in the European Union, we find diversity in experimentalism over time and across two sectors often considered similar. We explain varying degrees of experimentalism with strategic uncertainty and the constellation of preferences, which we label “de facto polyarchy.” Thus, we confirm the emphasis on uncertainty documented in the experimentalist literature, while addressing a conventional critique by also highlighting the relevance of “politics.” Moreover, while corroborating the common spread of experimentalism, we suggest that an analytical framework based on ideal types offers the best route forward to develop comparative analysis of experimentalism and non‐hierarchical forms of governance more broadly.     

The importance of industry compliance in improving advertising self‐regulatory processes

As the most visible element of the marketing communications mix, advertising has had its critics and, given the choice, developed countries usually select a self‐regulatory approach to deal with unacceptable advertising. The recent breakdown of one of the world's longest established advertising self‐regulatory programmes in Australia has reopened the 20‐year old debate that has taken place in the leading academic and business journals concerned with enhancing understanding of such regulatory systems. This paper focuses on the activity of code enforcement in improving the effectiveness of advertising self‐regulatory frameworks. The key findings of an Australian study, where its scheme has recently failed, are presented and discussed in this context and a key concept is developed. Copyright © 2003 Henry Stewart Publications     

Leveson Past,Present and Future: The Politics of Press Regulation

As a result of the phone‐hacking scandal and evidence of other serious journalistic abuses by some newspapers, the government set up the Leveson Inquiry to hear evidence from victims and to make recommendations for a new and effective system of press regulation. Leveson's recommendations for independent self‐regulation overseen by a “recogniser” was seen as a moderate solution which would uphold the principle of an unfettered press while providing appropriate protection from unscrupulous or unethical press behaviour. After historic cross‐party agreement, Parliament passed a resolution accepting a Royal Charter which adopted the great majority of his recommendations. In response, Britain's main national newspapers have pursued a campaign of systematic misinformation and distortion, aimed at discrediting the inquiry, its supporters and the cross‐party Charter, while promoting a different system which would remain almost wholly controlled by the industry and would in practice be little different from the discredited Press Complaints Commission. After decades of ineffectual political response to press abuse and press power, there is now a historic opportunity for Parliament to assert its sovereign power. Over the next 12–18 months, we will see whether we have reached a genuine milestone in British public life or whether the British press will remain the last bastion of unaccountable power.     

The effectiveness of NGO self‐regulation: theory and evidence from Africa

Non‐governmental organizations (NGOs) play an increasingly important role in public service provision and policy making in sub‐Saharan Africa, stimulating demand for new forms of regulatory oversight. In response, a number of initiatives in NGO self‐regulation have emerged. Using cross‐national data on 20 African countries, the article shows that self‐regulation in Africa falls into three types: national‐level guilds, NGO‐led clubs and voluntary codes of conduct. Each displays significant weaknesses from a regulatory policy perspective. National guilds have a broad scope, but require high administrative oversight capacity on the part of NGOs. Voluntary clubs have stronger standards but typically have much weaker coverage. Voluntary codes are the most common form of self‐regulation, but have the weakest regulatory strength. This article argues that the weakness of current attempts to improve the accountability and regulatory environment of NGOs stems in part from a mismatch between the goals of regulation and the institutional incentives embedded in the structure of most self‐regulatory regimes. The article uses the logic of collective action to illustrate the nature of this mismatch and the tradeoffs between the potential breadth and strength of various forms of NGO self‐regulation using three detailed case studies. Copyright © 2008 John Wiley & Sons, Ltd.     

When soft regulation is not enough: The integrated pollution prevention and control directive of the European Union

Recent debates regarding the effectiveness of regulatory policymaking in the European Union (EU) focus on the merits of soft, non-binding forms of regulation between public and private actors. The emergence of less coercive forms of regulation is analyzed as a response to powerful functional pressures emanating from the complexity of regulatory issues, as well as the need to secure flexibility and adaptability of regulation to distinctive territorial economic, environmental, administrative, and social conditions. In this article we empirically assess the above normative claims regarding the effectiveness of soft regulation vis-à-vis uniformly binding legislation. We draw on an exploratory investigation of the application of the Integrated Pollution Prevention and Control Directive of the EU in four countries. Our study reveals that effectiveness in the application of soft policy instruments is largely contingent upon strong cognitive, material, and political capacities of both state regulators and industrial actors involved in regulatory policymaking. In the absence of those conditions, the application of soft, legally non-binding regulation may lead to adverse effects, such as non-compliance and the “hollowing out” of the systems of environmental permits to industry. In the medium term, such developments can undermine the normative authority of the EU.     

Regulation through titling laws: A case study of occupational regulation

This case study examines a form of occupational regulation infrequently examined in academic literature – titling laws. These laws regulate who may legally use a phrase, or title, to describe their work to the public. Focusing on the interior design industry, this article demonstrates how industry leaders use titling laws as the first step in a push for full occupational licensure. In so doing, they allege a need for regulation out of concern for public health and safety, but as data in this case study indicate, there appears to be no threat to public health and safety from unregulated interior designers. Instead, designers advocate for increased regulation of their own industry, through the evolution of titling laws to full licensure, due to the benefits it affords them.     

The structures of uncertainty: performativity and unpredictability in economic operations

Abstract

The paper reflects on the presuppositions and consequences of the concept of performativity (understood as the involvement of the observer in the objects and projects he/she describes). The paper proposes a broader notion of performativity, one that not only concerns theory but is also extended to the entire economy, which observes itself in all of its operations. This conception has the advantage of being connected with critical approaches inside economics, which highlight the central role of uncertainty and surprise. It can explain how and why performativity turns into counter-performativity and how financial operators exploit uncertainty when orienting their behaviour, expecting and using the unpredictability of the future.     

Unity and conflict: Explaining financial industry lobbying success in European Union public consultations

This article examines the contingent nature of financial industry lobbying power in the context of the policy formation stage of six European Commission regulatory proposals. I argue that lobbying success is a function of how well finance is able to speak with a unified voice. Building on existing studies, I examine industry unity as explicit preference alignment between actors but also in terms of actors abstaining from stating preferences. Staying silent on an issue sends signals to policymakers about issue saliency and industry support. Using a novel dataset derived from document coding and interviews, I examine the impact of industry unity on lobbying success in shaping six financial regulatory proposals in the context of the European Union. My findings show that lobbying success is partially contingent on the extent to which finance is united behind a common position. Critically, however, lobbying success is also related to the nature of that position, whether supporting the proposal or whether in favor of strengthening or weakening regulatory stringency.     

Innovation and public space: The developmental possibilities of regulation in the global south

Important product and process innovations are often developed in “public spaces” that promote collaboration and provide shelter from market competition. Given that most collaborative spaces are costly to establish, the possible implications are bleak for economically strapped developing countries. This paper highlights a less conspicuous – if not unknown – source of collaborative space: the regulatory process. Regulators can induce innovation by promoting collaboration across organizational, sectoral, and disciplinary boundaries in the interest of regulatory compliance. This paper documents the innovative consequences of efforts to regulate the use of lead‐based glazes in the Mexican ceramics industry and reconsiders several recent studies of upgrading in other countries that appear to have been driven, at least in part, by the regulatory process. Drawing on these cases, this paper makes four primary points: (i) that innovation in regulatory spaces is more common than previously acknowledged and is producing meaningful improvements in product quality and working conditions in developing economies; (ii) that promoting innovation in these regulatory spaces is an important developmental tool for countries that are “regulation‐takers” and have many low‐tech sectors; (iii) that this dynamic extends current conceptions of regulatory discretion, as well as development literature on state‐society synergies; and (iv) that establishing collaborative public spaces as a common conceptual framework is a critical step toward understanding the consequences of social regulation on upgrading.     

Regulation lite: The rise of emissions trading

Emissions trading is the governmentally promoted hope for a sustainable world. In different contexts, trading regimes display varying potential – both in absolute terms and in comparison with other regulatory instruments. Emissions trading, however, is a device that raises urgent issues regarding its objectives, cost‐effectiveness, fairness, transparency, and legitimacy. Its use places emphasis on its “acceptability” and the virtues of regulation that is “lite” because it is non‐threatening to the most powerful interests. Emissions trading is resonant with assumptions that are highly contentious – notably that it is acceptable because it involves no losers, or because, in desperate global circumstances, we have no choice but to use it. There is a need to confront the difficult issues presented by emissions trading and to face the challenges of combining “market” and “democratic” systems of legitimization. It is also necessary to avoid taking refuge in all too comfortable beliefs in cumulative checks and balances.     

论法规批准制度

法规批准制度是指有关主体制定的法规范性文件需经特定主体的批准才能生效的法律制度。现行法规批准制度存在批准范围小、批准程序缺少操作性等不足。完善法规批准制度需合理设置批准范围、完善批准程序等,并对经批准的法规性质进行了法理考察。