Business Response to Regulation: An Economist's Perspective

This chapter presents an economist's perspective on the interrelationship of the compliance and enforcement decisions of business and regulators in the context of regulations governing occupational health. Assuming profit-maximizing firms and harm-minimizing enforcement agencies, it is argued that a degree of preventive activity would be undertaken by businesses even in the absence of regulation. However, if employees are not fully informed about the risks of the workplace, it is likely that the profit-maximizing level of prevention will be less than socially optimal, and consequently there will be a need for regulation. An enforcement agency which attempts to minimize harm through inducing compliance with regulatory standards will be faced with similar informational difficulties to individual employees, and this suggests some scope for cooperative gains with individual firms through negotiated compliance, rather than prosecution.     

合规制度的公司法设计及其实现路径

公司法作为合规制度的最重要载体,对整个合规制度的构建具有基础和核心作用。为此,既需要对国外涉及合规要求的制度进行必要的甄别和借鉴,又需要对我国现有的涉及合规要求的规则和制度进行提炼、归集和升华。在兼收并蓄的基础上制定出一部既能满足公司的营利性和道德性双重需要,又能对世界公司法发展起一定引领作用的模范公司法典。具体的实现路径是:首先以塑造公司的良好道德品格为基点,从基本原则层面将合规要求作为公司组织和相关成员的基本义务;然后从具体制度设计层面将其规定为公司组织、公司负责人和公司工作人员的基本行为准则;最后通过缜密的法律责任制度,强化公司的合规意识和道德担当意识。促成公司在成为先进生产力践行者的同时,还要成为社会责任的积极承担者和公序良俗的模范遵守者。     

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.     

数据安全认证:个人信息保护的第三方规制

契合"放管服"改革理念的数据安全认证,在数字时代整个规制法体系中必将占据日益重要的地位。数据安全认证通过声誉评价机制,可以引导、激励互联网企业守法合规经营,可以增强用户对中小微互联网企业和新兴数字产业的信任感,可以避免"一刀切"的政府规制,可以满足社会公众多元的数据安全需求。数据安全认证机构应具有高度的独立性与专业性,防止其被互联网企业"俘获"或成为政府的"附庸"。宜实行自愿为主、强制为辅的数据安全认证模式。认证程序应强调公正透明性,认证标准应注重评价企业数据合规的制度建设。根据过错责任原则,分别设置数据安全认证机构"相应的赔偿责任"或"连带责任",并加大对数据安全认证违法行为的公法责任追究。科学构建法治化的数据安全认证体制机制,不仅是保障数据安全的现实需要,而且是弥补数字时代政府规制缺陷的迫切需求。     

行政审批改革后续监管探讨

随着行政审批制度改革的进一步深化,将有越来越多的行政审批事项被取消或者下放。取消行政审批后如何后续监管？如何管好、防止出现“一放就乱”？这是基层监管部门面临和需要解决好的问题。由于相关法律法规、监管机制、部门信息衔接机制等的不完善,餐饮具集中消毒行业取消行政许可后,该行业市场一度出现乱象,成为社会关注的焦点。餐饮具集中消毒行业的监管实践可为行政审批制度改革后续监管提供启示,结合近期广东省东莞市正着力推进的“社会信用体系”和“市场监管体系”两个体系建设,笔者对行政审批改革后续监管进行探讨,提出相关建议。     

Standards of compliance for abortion-related services in family planning services projects. Office of Population Affairs, OPHS, DHHS. Final rules

The rules issues below revise the regulations that apply to grantees under the federal family planning program by readopting the regulations, with one revision, that applied to the program prior to February 2, 1988. Several technical changes to the regulation are also made to remove and/or update obsolete regulatory references. The effect of the revisions made by the rules below is to revoke the compliance standards, promulgated in 1988 and popularly known as the "Gag Rule," that restricted family planning grantees from providing abortion-related information in their grant-funded projects.     

Performing Regulation: Transcending Regulatory Ritualism in HIV Clinics

Sociolegal scholars suggest that regulatory encounters often are occasions for displaying a surface compliance decoupled from day‐to‐day practice. Yet ethnographic data from five highly regulated HIV clinics show that regulatory encounters open opportunities both for ritualism and—surprisingly—for transcending ritualism. Using a theatrical analogy, we argue that improv performance is the technology that enables regulatory inspectors and clinic staff to transcend ritualism. As regulatory encounters unfold, clinics' carefully prepared performances sometimes change into more cooperative interactions where inspectors and regulatees hash out details about how rules will be applied and even work together on reports for the regulators' supervisors. By “performing together,” regulatory inspectors gain access to the clinic's backstage where they can assess clinic workers' deeper conformity to ethical and scientific norms. But such joint performances are less likely where cultural divides and material scarcity make it difficult for clinic staff to gain inspectors' trust.     

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.     

Responsibility of applicants for promoting objectivity in research for which public health service funding is sought and responsible prospective contractors. Final rule

This final rule implements changes to the regulations on the Responsibility of Applicants for Promoting Objectivity in Research for which Public Health Service Funding is Sought and Responsible Prospective Contractors. Since the promulgation of the regulations in 1995, biomedical and behavioral research and the resulting interactions among government, research Institutions, and the private sector have become increasingly complex. This complexity, as well as a need to strengthen accountability, led to changes that expand and add transparency to Investigators' disclosure of Significant Financial Interests (SFIs), enhance regulatory compliance and effective institutional oversight and management of Investigators' financial conflicts of interests, as well as increase the Department of Health and Human Services' (HHS) compliance oversight.     

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.     

The meaning of regulatory costs

Regulatory costs are an essential aspect of the efficiency and quality of regulations. Moreover, they are a genuine loss of welfare which have a negative impact on national income. Surprisingly, regulatory costs are often neglected or misinterpreted in regulatory assessments, except—though only recently—for administrative compliance costs. One important reason is the lack of a clear and consistent definition as well as a practical and exhaustive typology of regulatory costs. This conceptual paper presents a cost taxonomy that takes into account all costs of regulation. We identify 16 direct and two indirect regulatory cost types. The former are costs borne by society in preparing and implementing regulations. For the government, they consist of information, decision-making, drawing-up, planning, administrative start-up, operational, monitoring, and enforcement costs. Citizens and businesses, on the other hand, incur rent-seeking, information, planning, three types of compliance, delay and enforcement costs. The indirect costs comprise the efficiency loss plus, in the event of poorly designed or market-based regulation, also transaction costs. The neglect of any of these costs may lead to the underestimation of costs in absolute or relative terms and thus to inefficient regulatory choices.     

家族企业的治理模式研究

许多学者分别从关系、能力或信任等不同角度对家族企业的治理模式进行了有意义的描述,但这些分析的视角往往比较单一,并不能很好地解释各种因素之间的联系,与家族企业的实际运作模式并不完全相符。实际上,关系、能力与信任都会对家族企业的治理模式产生影响,且这些因素是相互作用的,综合地对企业的用人制度和管理方式产生影响。能否获得信任是家族企业人员能否获得某个岗位的重要影响因素,而关系和能力又是能否获得信任的重要影响因素。     

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...     

The consumption of lawyer independence

This paper assumes that lawyer independence is a component of the rule of law and that, as such, it deserves as much protection as does independence of judges. The author posits that lawyer independence can only be protected if lawyers govern lawyers. England and Queensland are cited as examples of jurisdictions that have undermined lawyer independence by adopting lawyer regulatory measures aimed at consumer protection. Canada is cited as a jurisdiction that seeks to preserve lawyer independence by recognising that lawyers who have committed to act in the public interest can satisfactorily regulate other lawyers. The author suggests that lawyer independence is a public trust, that all lawyers are the trustees and that they must resist the implementation of regulatory arrangements that compromise lawyer independence. He proposes a method for dealing with corrupt or complacent lawyer regulators.     

条款增补:我国信托法中的重要创造性规定的完善

关于确认信托财产所有权由委托人享有、将信托合同定性为诺成合同、确认委托人享有因其重大侵权行为而变更受益人或解除信托的权利和确认受托人可以向信托财产权利归属人行使报酬权和补偿权的规定,为我国信托法中重要的创造性规定,对它们需要通过增补关于遗嘱信托的信托财产所有权由受益人享有、委托人负有交付信托财产义务、受托人因不同意而辞任与解任和在特定情形下权利归属人可以拒绝满足该报酬权和补偿权的规定来完善。     

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.     

The Shadows of the Law: Contemporary Approaches to Regulation and the Problem of Regulatory Conflict

Regulatory analyses often assume that compliance is desirable, with literature focusing on strategies to encourage "excellence" in adherence to regulatory goals. Yet, it is not unusual for disparate regulatory goals to exist that are based on competing values of what constitutes the "good society." It is this conflict that forms the substance of this paper. In cases of competing regulatory goals, techniques that encourage exemplary compliance in one area can create incentives to breach regulatory provisions of a competing regime. In such cases, generic regulatory techniques are unable to provide a useful means for resolving regulatory conflict but do allow a political delegation of conflict resolution to the "scientific" strategies of the regulator. In turn, the regulator places responsibility on companies for resolving competing regulatory demands. Successive delegation leads to juridification as well as regulators vying to retain primacy for their regime. This problem is examined through analysis of responsibilities for subcontractor safety under Australian health and safety law and sections of the Australian Trade Practices Act 1974 aimed at protecting competition.     

Request of General Electric Company to exempt medical diagnostic equipment from the Commission's rules--Federal Communications Commission. Report & Order in Gen. Docket 81-461

This Order establishes an exemption for certain electronic medical equipment from FCC regulations designed to minimize radio interference caused by devices that employ digital circuitry. The costs of testing for compliance with specific emissions limits would be severe and most medical equipment has characteristics which inherently reduce the likelihood of interference. The Commission in this action amends the rules to relieve the compliance burden.     

科技政策、行政规则与司法审查

现代国家中,立法机关对于科技政策法案往往无法作详细的规定,而委诸行政机关以行政立法或行政规则作进一步的规范,而且这类规范会随着科技的发展或研究的最新发现,作相应的调整。在此情况之下,此类科技性规范性文件的制定程序、参与主体、司法审查可能性及其审查密度等问题,均值得研究。本文以司法审查为研究重点,介绍美国的经验,期望对中国能有所借鉴。     

Contextual Compliance: Situational and Subjective Cost‐Benefit Decisions about Pesticides by Chinese Farmers

This article analyzes how cost‐benefit calculation influences compliance with pesticide regulation by Chinese farmers. Building on a study including 150 farmers and experts, it studies how operational costs and benefits and deterrence affect compliance. Moreover, it studies what variation in cost‐benefit perceptions there are with different types of rules, farms, and villages. It finds that, in this context, cost‐benefit calculation matters for compliance; with operational costs and benefits being more clearly related to compliant behavior than deterrence. It highlights that perceptions about costs and benefits are situational and vary along the type of legal rule and the type of regulated actor. It also shows that such perceptions are individually subjective, as even with similar rules and similar types of actors, perceptions vary. The paper concludes by stating expectations on how the situational and subjective nature of cost‐benefit calculation can inform regulators seeking to enhance compliance.