Coordinating intermediaries: The prospects and limitations of professional associations in decentralized regulation

A key question in understanding regulation through independent intermediaries is the extent to which intermediary actions are either coordinated, thereby supporting consistency in regulatory application, or uncoordinated, leading to monitoring and enforcement disparities. This paper examines professional associations as one mechanism by which policy action may be coordinated in decentralized arrangements. Professional associations provide means and venues for members to interact, offer training and education that develops shared understanding of policy directives, are collective representation bodies for professional members, and may play an important role in establishing and enforcing collective standards for appropriate behavior. We examine these functions in the decentralized administration of United States organic food certification, focusing on two relevant professional associations – the Accredited Certifiers Association and the International Organic Inspectors Association. Drawing on multiple methods, including interviews and survey data, our findings indicate that professional organic certification associations provide valuable education and training, disseminate information, and facilitate knowledge sharing among administrative entities and with regulatory authorities. We conclude with a discussion of the prospects and limitations of professional associations for third‐party regulation, and how accounting for professional association functions can improve our understanding of regulatory intermediary coordination and conduct.     

Front‐line Regulators and their Approach to Environmental Regulation in Southwest Ohio

Regulatory approaches and strategies are frequently the subject of study in various literatures, but that examination focuses on practices rather than looking more deeply at the nature of regulatory interactions. Also missing is a more thorough look at what it is front‐line regulators—in this case, environmental inspectors and site coordinators—desire in their interactions and how they perceive their regulatory counterparts. Interviews with regulators in Southwest Ohio reveal that 82 percent of them think the regulated community intends to comply with regulations. Additionally, 71 percent of regulators say that their interactions are positive with the regulated community with three‐quarters indicating that trust plays a role in these interactions. Only 36 percent of interviewees prefer a clear cut and consistent approach while the rest favor a collaborative approach or some combination thereof. These findings should impact discussions concerning regulatory approaches in environmental policy, particularly conversations concerning next‐generation policies.     

Enhancing responsiveness and consistency: Comparing the collective use of discretion and discretionary room at inspectorates in England and the Netherlands

Discretion used to be considered a feature of individuals, but growing literature shows that it has collective features as well. To develop an understanding of the individual and cooperative work of inspectors in using discretion and the discretionary room granted to them, we compared two inspectorates: the Care Quality Commission (CQC) in England and the Joint Inspectorate for Youth (JIY) in the Netherlands. Our analysis reveals that inspectors engage with colleagues, managers, and stakeholders to include other perspectives, gain mandate, and broaden their repertoire. At the CQC, inspectors use their discretion collectively; on their own initiative, they involve others in balancing and interpreting rules to reach judgments. At the JIY, teamwork is central and regulatory teams are granted collective discretionary room. We argue that collective work permits both responsiveness and consistency. In studying the judgments of inspectors and other street‐level bureaucrats, it is vital to look at collective work and how it combines consistency and responsiveness.     

Production goes global,compliance stays local: Private regulation in the global electronics industry

Poor working conditions in global supply chains have led to private initiatives that seek to regulate labor practices in developing countries. But how effective are these regulatory programs? We investigate the effects of transnational private regulation by studying Hewlett‐Packard's (HP) supplier responsibility program. Using analysis of factory audits, interviews with buyer and supplier management, and field research at production facilities across seven countries, we find that national context – not repeated audits, capability building, or supply chain power – is the key predictor of workplace compliance. Quantitative analysis shows that factories in China are markedly less compliant than those in countries with stronger civil society and regulatory institutions. Comparative field research then illustrates how these local institutions complement transnational private regulation. Although these findings imply limits to private regulation in institutionally poor settings, they also highlight opportunities for productive linkages between transnational actors and local state and society.     

The three faces of evaluation

Program evaluation can be used for three purposes: to learn about a program's operations and effects, to control the behavior of those responsible for program implementation, and to influence the responses of outsiders in the program's political environment. Most agencies fail to take full advantage of all three faces of evaluation. They begin their evaluation programs too late; they assign evaluation responsibilities to staffs which lack the requisite skills; or they yield to temptations to distort or suppress evaluation findings. The case of the evaluation of civil service reform demonstrates how these multiple purposes can be pursued together with constructive results. It also suggests several lessons of more general relevance.     

‘In Canada of all places’: national belonging and the lost Canadians

This paper explores the role of kinship and ethnicity in the designation of Canadian citizenship. Using the phenomenon of Lost Canadians – people whose citizenship status is ambiguous due to conflicting laws, unfamiliarity with requirements to maintain citizenship and quixotic enforcement of these requirements – the paper offers evidence for the kinship basis of a contemporary liberal democracy and reveals the degree to which a Canadian ethnic identity is operative in this settler society. But the objective of the analytical exercise is not to rest at the observation that Canadian nationalism is ethnic. Rather, by examining the ways in which the complex rules of Canadian citizenship define or exclude people from citizenship, we see how thoroughly rule-bound the status of national belonging really is. It thus might be observed that Canadian nationalism, indeed, all nationalisms, are civic since they rest on rules for belonging. Once we notice the rule-boundedness of belonging it becomes possible to disentangle these rules – kinship rules – from their connections to nature and biology and thus to appreciate their social character. From this vantage we might begin to think about alternative, and potentially more democratic, forms of belonging.     

Functional stakes and EU regulatory governance: temporal patterns of regulatory integration in energy and telecommunications

Abstract

One of the most fiercely debated questions about EU regulatory governance is the respective role played by functional and political factors in regulatory integration. This article contributes to this debate by focussing on the functional factor. Based on a refined conceptualisation of functional stakes, it finds that they vary across sectors, evolve over time, and that these variations are reflected in the degree of regulatory integration observed. When member states perceive regulatory integration as a solution to one of their most pressing problems of the moment, they value – and sometimes even actively push for – the delegation of regulatory powers to the EU. This argument is subject to a credibility probe based on two within-sector analyses of temporal patterns of regulatory integration in energy and telecommunications. The empirical analysis lends support to the conditioning role of the functional factor in the design of EU regulatory governance.     

Perceptions of the Regulated Community in Environmental Policy: The View from Below

Discussions in environmental policy often focus on the highest levels of decision making and action while paying scant attention to those individuals on the front lines. Among those frequently overlooked are the individuals at regulated facilities who interact with government regulators on a frequent basis. Interviews with nearly two dozen facility personnel in Virginia yield findings that challenge common perceptions of the relationships between facility personnel and inspectors. In particular, 86 percent of facility personnel, representing a range of regulated facilities from prisons to landfills to dry cleaners, said their interactions with inspectors were positive. Approximately 70 percent of them said that they trust inspectors and provided evidence of trust in their stories. The ramifications of these findings for environmental policy could be potentially significant because facility personnel are presumed to be adversarial, if not outright hostile, and this assumption impacts the design and implementation of environmental regulations.     

Constructing and contesting legitimacy and accountability in polycentric regulatory regimes

The legitimacy and accountability of polycentric regulatory regimes, particularly at the transnational level, has been severely criticized, and the search is on to find ways in which they can be enhanced. This paper argues that before developing even more proposals, we need to pay far greater attention to the dynamics of accountability and legitimacy relationships, and to how those in regulatory regimes respond to them. The article thus first seeks to develop a closer analysis of three key elements of legitimacy and accountability relationships which it suggests are central to these dynamics: The role of the institutional environment in the construction of legitimacy, the dialectical nature of accountability relationships, and the communicative structures through which accountability occurs and legitimacy is constructed. Second, the article explores how organizations in regulatory regimes respond, or are likely to respond, to multiple legitimacy and accountability claims, and how they themselves seek to build legitimacy in complex and dynamic situations. The arguments developed here are not normative: There is no “grand solution” proposed to the normative questions of when regulators should be considered legitimate or how to make them so. Rather, the article seeks to analyse the dynamics of legitimacy and accountability relationships as they occur in an attempt to build a more realistic foundation on which grander “how to” proposals can be built. For until we understand these dynamics, the grander, normative arguments risk being simply pipe dreams – diverting, but in the end making little difference.     

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.     

Managing in the Regulatory Thicket: Regulation Legitimacy and Expertise

Although the influence of government regulation on organizations is undeniable, empirical research in this field is scarce. This article investigates how the understanding of and attitudes toward government regulation among public, nonprofit, and for‐profit managers affect organizational performance, using U.S. nursing homes as the empirical setting. Findings suggest that managers’ perceptions of regulation legitimacy—views of regulation fairness, inspectors’ effectiveness, and internal utility of the mandates—positively affect service quality. Subgroup analysis suggests that managers’ views of regulation matter in nonprofit and for‐profit organizations but not in public organizations. In nonprofit homes, performance declines when managers report higher regulatory expertise—better knowledge of the regulatory standards. In for‐profit facilities, frequent communication with regulators lowers quality. These findings suggest that the regulated entities’ views of government regulation are central to their success, which necessitates improvements in the regulatory process.     

Regulating factory safety in the Bangladeshi garment industry

This paper examines how far the workplace inspection program established under the 2013 Accord on Fire and Building Safety has served to improve safety in Bangladesh garment factories, and the extent to which its operation has been influenced by factors that the literature suggests are important in shaping the outcomes of private regulatory initiatives. The findings suggest that such regulation can generate positive outcomes, even in the absence of strong public regulatory support. They also caution against discounting the role of compliance‐based enforcement strategies, while highlighting the importance of their adequate resourcing and transparency. Some support is also offered for the argument that such regulatory initiatives could directly influence the market dynamics that shape supplier working conditions.     

Sending mixed signals: the role of gender and partisanship in evaluations of political leaders

Partisanship and gender are powerful heuristic cues used by citizens to understand their elected officials’ ideology. When these cues send complementary signals – a Democratic woman or a Republican man – we expect they will aid citizens in evaluating their leaders’ political ideology. However, when partisanship and gender send conflicting signals, we expect citizens will be more likely to misperceive their leaders’ beliefs. We test this proposition using ideological evaluations of incumbent US senators collected in the 2010 and 2012 Cooperative Congressional Election Studies. The findings support our hypotheses, illustrating voters’ reliance on both partisan and gender cues. Our results suggest potential consequences for not only Republican women, but also Democratic men.     

Historical perspective and better regulatory governance: An agenda for institutional reform

Compared to economics, sociology, political science, and law, the discipline of history has had a limited role in the wide‐ranging efforts to reconsider strategies of regulatory governance, especially inside regulatory institutions. This article explores how more sustained historical perspective might improve regulatory decisionmaking. We first survey how a set of American regulatory agencies currently rely on historical research and analysis, whether for the purposes of public relations or as a means of supporting policymaking. We then consider how regulatory agencies might draw on history more self‐consciously, more strategically, and to greater effect. Three areas stand out in this regard – the use of history to improve understanding of institutional culture; reliance on historical analysis to test the empirical plausibility of conceptual models that make assumptions about the likelihood of potential economic outcomes; and integration of historical research methods into program and policy evaluation.     

Different ways of blowing the whistle: Explaining variations in decentralized enforcement in the UK and France

The factors explaining decentralized enforcement – the monitoring and reporting of illegalities in organizations by employees – remain poorly understood. This article contributes to filling this gap by presenting a study of employee reports to regulatory authorities of incidents that have taken place in British and French high hazard industries. The article distinguishes between two different registers of “quiet” and “loud” reporting, reflecting the varying echo of employee reports, as intended either by employees themselves or by other stakeholders. The study finds quiet reporting to be widespread in the UK, while loud reporting was salient in France only. The contrast can be explained by making reference to the relationships between unions, regulators, and managers, and the history and institutions of industrial relations that shaped them in particular ways in each country. The comparison suggests also that whistleblower protection legislation has played little role in encouraging reporting.     

The Multiple Domains of Harmonisation: Politics,Policy, Process and Program

This article builds a taxonomy of the different functions performed by the term ‘harmonisation’ in contemporary policy debates. Four broad functions or domains of use are identified – political, policy, process and program – within each of which there are multiple different uses. Based on this classification, the article then develops a multi‐dimensional conceptual framework through which the term can be better understood and examined, its political uses identified and isolated, and harmonisation initiatives constructed, framed and analysed. The framework should prove useful for Ministers and government departments called upon to determine if, how and to what extent to harmonise regulations in a particular area; regulators called upon to administer and enforce harmonised regulatory regimes; and regulatees, practitioners and academics concerned to understand the impact of a harmonisation task.     

Unpacking the Effects of Competing Mandates on Agency Performance

Public administration scholars and practitioners uniformly agree that saddling agencies with multiple mandates breeds dysfunction and impedes performance. However, less is known about the mechanisms by which combining purposes has these effects. This study of a broad set of U.S. federal agencies finds support for the conventional wisdom by showing that agencies balancing greater numbers of programs perform worse. The analysis further suggests that such organizations struggle largely because they are more likely to be forced to simultaneously adopt conflicting stances toward program targets. Moreover, when programs force agencies into conflicts in which they are asked to both support and restrain the same target, the resulting uncertainty among personnel regarding agency priorities helps explain why operations are negatively impacted. Thus, it is not simply that accumulating missions impedes agency performance but rather how those competing mandates interact that can define whether an agency will struggle to achieve its objectives.     

Participation rationales,regulatory enforcement,and compliance motivations in a voluntary program context

This article extends the study of regulatory compliance motivations from “traditional” regulatory settings to a government-sponsored voluntary one. We argue that the rationale(s) which motivate participants to engage a voluntary program likely shape which motivations drive them toward (or away from) program compliance. Our study examines the possible influence of program participation rationales alongside that of regulatory agents' enforcement styles and strategies. Leveraging a national survey of certified United States Department of Agriculture organic producers, we find that the more a producer pursues organic certification to increase profits, the more likely they are to report deterrent fears as an important compliance motivation. In contrast, the more a producer becomes certified to support the organic movement, the more heavily they weigh a personal sense of duty to comply. We discuss the implications of these, and other, study findings for compliance motivations theory and voluntary program integrity.     

Class voting and the differential role of political values: evidence from 12 West-European countries

Influential theories of class voting assume that the phenomenon occurs because classes hold different political values, which in turn affect their party preference. However, we do not know how important this mechanism is. Hence, this article uses high-quality survey data from 12 Western European countries to study the association between class and voting. The results suggest that political values – including non-economic values – play a central role in accounting for this association, although substantial class differences persist even when holding political values constant. I furthermore argue that the relevance of this mechanism should vary by party family. Political values should account for class voting to the extent that parties give the voters clear signals on issues of relevance to the value orientations. As such, party behaviour not only affects the level of class voting, but the very nature of the link between class and voting. This article contributes first by testing one of the most important theories of the mechanisms behind class voting, and second by demonstrating how the parties’ behaviour affects this mechanism.