Regulatory enforcement and compliance: Examining Danish agro‐environmental policy

This study of municipal enforcement of agro‐environmental regulations in Denmark provides an empirical understanding of how enforcement affects compliance. A key contribution is sorting out the relative influence of inspectors' different styles of enforcement and choices made by enforcement agencies. The latter are shown to be more important in bringing about compliance than are inspectors' enforcement styles. Municipal agencies are shown to increase compliance through the use of third parties, more frequent inspection, and setting priorities for inspection of major items. The findings about enforcement styles of inspectors suggest it is necessary to get tough up to a point, but beyond that the threat of coercion can be counterproductive. These findings cast doubt on the effectiveness of overly legalistic enforcement styles, particularly for the Danish culture with its strong emphasis on cooperation and consultation in regulation. But the findings also advise us to be cautious about the use of cooperative styles of enforcement in that we find evidence for capture of the enforcement process by agricultural organizations. This leads to a more nuanced view of enforcement rather than the broad generalizations found in the literature concerning legalism and cooperation. © 1999 by the Association for Public Policy Analysis and Management. <@:>     

“Carrying the black pot”: Food safety and risk in China's reactive regulatory state

This paper explores the struggles of China's party-state to address chronic food safety problems by adopting international best practices of risk-based regulation. Despite formally adopting risk-based approaches for targeting inspections and enforcement in 2002, implementation has been halting and uneven, as we show in the first analysis of risk-based regulation beyond its OECD heartlands. Drawing on policy document analysis and 36 key informant interviews with food business operators and government officials working on food safety regulation at every level of the state, we identify contradictions between official commitments to risk-based inspection and top-down demands for zero tolerance and strict accountability, which leave local inspectors preoccupied with avoiding blame more than reducing safety risks. Our analysis advances recent scholarship on regulatory states of the global South by highlighting how risk-based ideas, instruments, and practices are refracted through the distinctive norms and style of China's reactive regulatory state.     

When Less is More: The Impact of the Regulation on Standard Workweek on Labor Productivity in South Korea

This paper examines the impact of a workweek reduction policy on the labor productivity of manufacturing plants in Korea. Taking advantage of the stepwise introduction of the standard 40‐hour workweek in Korea, we apply a difference‐in‐differences framework to individual‐level cross‐sectional and plant‐level longitudinal data to examine the impact of the policy on working hours and output, respectively. We find that the policy reduced per‐worker hours but increased per‐worker output, which is robust to various specifications and sample restrictions. The observed increase in per‐worker output is likely to be mediated through the increase in the total factor productivity and the amount of capital stock.     

The regulatory state and the UK Labour Government's re‐regulation of provision in the English National Health Service

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.     

Contested hybridization of regulation: Failure of the Dutch regulatory system to protect minors from harmful media

The hybridization of regulatory modes and instruments is currently a popular way to improve public regulation. However, it is still unclear whether combinations of hard law and soft law, co-regulation, and legally enforced self-regulation really make regulation more effective. Using the analytical framework of the “really responsive regulation” approach, in this article we explore effectiveness problems in a hybrid regulatory system that tries to protect minors from harmful media. In our analysis of low compliance rates in the context of system failures, we argue that effectiveness problems seem to arise from poorly informed staff members, lack of internal and external controls, low rule enforcement, insufficient overlap between public and private interests, poor social responsibility in the Dutch media sector, deficiencies in the institutional framework, an inconsistent regulatory strategy, and inadequate responses from responsible regulators. Furthermore, based on our case study we argue that institutional dynamics of standard-setting activities can be detrimental to regulatory goal achievement if there is no compensation at the systemic level. Ongoing “regulatory care” through control, corrective responses, and rule enforcement seems to be crucial for a hybrid regulatory system to perform well.     

Two spheres of regulation: Balancing social and economic goals

Independent regulatory authorities hold comprehensive policy mandates that cover both economic and social goals. They take on various roles in market regulation, competition policy, consumer protection, and labor inspection. This article questions whether policymakers are driven by different rationales when delegating the realization of social, as opposed to economic goals, and analyzes how regulators accommodate their various roles in practice. The conceptual framework links the literature on delegation and organizational models. Comparative analysis of postal policy in France, Germany, and the United Kingdom covers a serious area of potential conflict between social and economic regulation. Variation in delegation points to the relevance of instrumental considerations, but also to the politics of institutional arrangements. Variation in regulatory practice shows that organizational models make a difference in accommodating conflict. The article makes a strong case that social and economic regulation need to be addressed as two distinct, yet interacting spheres. © 2017 John Wiley & Sons Australia, Ltd     

Regulatory inspection and the changing legitimacy of health and safety

The regulation of conduct via law is a key mechanism through which broader social meanings are negotiated and expressed. The use of regulatory tools to bring about desired outcomes reflects existing social and political understandings of institutional legitimacy, the meanings attached to regulation, and the values it seeks to advance. But these contextual understandings are not static, and their evolution poses challenges for regulators, particularly when they reflect political framing processes. This paper shows how inspection has been reshaped as a tool within the United Kingdom's health and safety system by changes in the meanings attached to the concept of “risk‐based regulation.” While rates of inspection have fallen dramatically in recent years, the nature and quality of inspection have also been fundamentally reshaped via an increasingly procedural and economically rational “risk‐based” policy context. This has had consequences for the transformative and symbolic value of inspection as a tool of regulatory practice.     

Fragmented control: Governing contentious labor organizations in China

How does an authoritarian state govern contentious civil society and what are the effects on grassroots mobilization? This article theorizes the relationship between repression and mobilization by examining the case of informal labor organizations in South China that threaten social stability. Findings based on 18 months of ethnographic fieldwork inside these organizations suggest that the central state's mandate to maintain social stability is refracted through the interests and capabilities of local agencies. This results in “fragmented control”: divergent, even conflicting, forms of state governance over civil society. Local authorities work at cross‐purposes by simultaneously repressing, co‐opting, and neglecting underground organizing. Fragmented control generates political uncertainty on the part of activists and induces them to engage in “censored entrepreneurialism”—a set of tactical adaptations characterized by a mixture of self‐censorship and entrepreneurial experimentation.     

When risk‐based regulation aims low: A strategic framework

This article develops a strategic framework for regulators to employ when choosing intervention strategies for dealing with low risks and reviewing performance, building on the analysis by the same authors in the previous edition of this journal. The framework occupies the operational “middle ground” between risk analysis and formal enforcement action. At its core is a matrix, the Good Regulatory Intervention Design (GRID), which provides a framework to categorize sites or activities on the basis of two factors: the nature of the risk and the nature of the regulatee. Using GRID, regulators can select which intervention tools to use, and determine the overall level of regulatory intensity that should apply. GRID is accompanied by the Good Regulatory Assessment Framework (GRAF) for agencies to use in reviewing their performance and provides a step‐by‐step process for enabling “double loop learning.” The article also argues that the process of developing such a framework highlighted the extent to which “low risk” and “high risk” regulation are distinct. “Low risk” means “low priority.” Justifying why certain risks should not receive much regulatory attention requires a particular type of engagement, and has a bearing on the regulatory strategies that are adopted.     

Post‐crisis reforms in banking: Regulators at the interface between domestic and international governance

Post‐crisis international standards have been agreed on in certain areas of banking regulation, namely capital, liquidity, and resolution, but not others, namely bank structure – why? We articulate a two‐step analytical framework that links the domestic and international levels of governance. In particular, we focus on the role of domestic regulators at the interface between the two levels. At the domestic level, regulators evaluate externalities and adjustment costs before engaging in cooperation at the international level. This analysis explains why regulators in the United States and the European Union act as pacesetters, foot‐draggers, or fence‐sitters in international standard setting; that is to say, why they promote, resist, or are neutral toward international financial standards. At the international level, we explain the outcome of international standard setting by considering the interaction of pacesetters and foot‐draggers.     

THE IMPACTS OF DIFFERENT TYPES OF COLLEGE INSTRUCTORS ON STUDENTS’ ACADEMIC AND LABOR MARKET OUTCOMES

Based on a novel data set that links college administrative information with earnings records from a state college system for both public two‐year and four‐year colleges, this study quantifies the impacts of exposure to different types of instructors during students’ initial semester in college on their subsequent academic and labor market outcomes. To minimize bias from student sorting by type of instructor, we combine course‐set fixed effects with an instrumental variables approach that exploits term‐by‐term fluctuations in faculty composition in each department, therefore controlling for both between‐ and within‐course sorting. The findings suggest that two‐year students, particularly racial minority students, have substantially higher levels of exposure to adjuncts with temporary appointments than four‐year students. Two‐year students taking a heavy course schedule with temporary adjuncts are adversely affected in college persistence and subsequent credit accumulation, and the penalty is particularly pronounced among males and racial minority students with stronger academic potential. Such negative impacts on academic outcomes do not translate into poorer short‐ to medium‐term labor market performance. In the four‐year setting, no significant distinction is identified between different types of instructors on either student academic or labor market outcomes.     

State environmental regulators: perspectives about trust with their regulatory counterparts

Although numerous studies explore the regulatory enforcement styles of regulators and the regulated community's compliance motivations, existing research does not provide adequate insight into regulatory interactions themselves. We use data from a nationwide survey of more than 1200 state environmental regulators to empirically assess the role of trust in regulatory interactions. We find statistical support of trust in these regulatory interactions and find that trust appears to be a function of cooperative behavior, information sharing, respect, perceptions of motivations, and proactive assistance seeking. These findings could support the increasing calls for a fundamental restructuring of environmental regulation in favor of a next‐generation approach to environmental policy that calls for more collaborative working relationships between regulators and their regulatory counterparts. Copyright © 2014 John Wiley & Sons, Ltd.     

Intermediary roles in regulatory programs: Toward a role‐based framework

This paper develops a role‐based framework of intermediaries in regulatory programs. In examining the types of roles that organizations adopt in regulation and governance, we argue that roles have important implications for understanding organizational and program level dynamism and outcomes. We use the Regulator–Intermediary–rule‐Taker framework to describe how organizational roles can be adopted through assignment, appropriation, or promotion. We then go deeper into how intermediaries adopt a variety of different roles in key regulatory programs. We examine generic intermediary roles across programs that involve four main groups of activities: creating and/or organizing, coordinating between programs, supporting implementation, and voicing an opinion. All in all, our role‐based framework allows for a novel relational way to understand interorganizational and institutional dynamism in complex, interactive, and ever‐changing regulatory regimes.     

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.     

From disguised protectionism to rewarding regulation: The impact of trade‐related labor standards in the Dominican Republic

Policymakers in the Dominican Republic have responded to foreign pressure by rewriting their labor laws and revitalizing their labor ministry. What are the likely consequences? Is aggressive labor law enforcement more likely to protect vulnerable workers from abuse and exploitation or to undermine their ability to compete for labor‐intensive employment in an unforgiving world economy? And what are the broader implications of the answer? I address these questions by analyzing qualitative as well as quantitative data on workplace regulators empowered by the Dominican Republic in response to trade‐related labor standards imposed by the United States and find that they reconcile social protection with economic adjustment by simultaneously discouraging “low road” employment practices like informality, union‐busting, and the exploitation of child labor, and encouraging “high road” alternatives that link firms, farms, and families, on the one hand, to public educational, training, and financial institutions, on the other. The result is a potentially inclusive alternative to the repressive industrial relations regime that fueled export‐led development – and the East Asian “miracle” in particular – in the late twentieth century.     

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.     

Private regulatory capture via harmonization: An analysis of global retailer regulatory intermediaries

Studies using the Regulatory–Intermediary–Target (RIT) framework have examined a variety of forms of regulatory capture, including how targets capture intermediaries (T?I) and how intermediaries capture regulators (I?R). Little attention has been paid to why and how regulators themselves might engage in capture. Yet such a scenario is likely in transnational governance settings characterized by regulatory competition and conflict, as well as power differentials between different types of private regulators (non‐governmental organizations, multinational corporations, and business associations). This paper elucidates why and how a private regulator might capture another private regulator via a regulatory intermediary: R1?I?R2. Drawing on interview and archival data, I examine three industry‐driven regulatory intermediaries created to harmonize private labor codes of conduct and ethical audit processes. These are founded and governed by a small group of retail trade associations and global retailers who also fulfill the role of private regulators (R1). My analysis reveals that the creation of these intermediaries is driven by global retailers’ reliance on standardization, low transaction costs, and regulatory harmonization across all aspects of their operations. It further reveals how the harmonization platforms are designed to leverage global retailers’ market power and evolve from regulatory intermediaries into de facto regulators that supplant existing private regulators (R2), and thereby capture transnational governance of consumer product supply chains. The article concludes by discussing contributions, implications, and avenues for future research.     

THE SURFACE MINING CONTROL AND RECLAMATION ACT OF 1977 IN OKLAHOMA: STATE AND FEDERAL COHABITATION

The enforcement of the SMCRA in Oklahoma has led to improvements and transformations in the coal industry, state and federal regulatory agencies and the public. The catalyst for these changes was the federal takeover of inspection and enforcement of the SMCRA in Oklahoma with the state carrying on all other mining regulatory activities from 1984 through 1987. This pattern of cohabitation differed from that in Tennessee where OSM took over all enforcement of the SMCRA or that in states that enter into cooperative agreements to provide state regulation of coal mining on federal lands within the state. Cohabitation in Oklahoma produced a new, more positive attitude toward cooperative federalism by both federal and state regulatory bodies that might serve as a model for other states with OSM maintaining state agency support for policy objectives while allowing the state reasonable decisional discretion.     

Law Enforcement Lessons Learned from Hurricane Katrina

Major disasters represent infrequent events that often require response organizations to vicariously learn from the experiences of others in order to improve their operations. A primary mechanism for such knowledge diffusion is the different practitioner and empirical journals for the organizational fields that comprise disaster response. A review of the literature for the law enforcement field, however, reveals that little attention is given to how these organizations manage actual disasters. In particular, the presentation of organizational experiences, whether through case studies or other methodologies, is very limited in the practitioner and empirical literature of this field. This represents a considerable problem for improvements of disaster response operations given that law enforcement agencies represent a key component in such efforts. The research presented in this article is an effort to fill this knowledge gap and thereby facilitate organizational learning to improve future law enforcement disaster response activities. The authors traveled to Mississippi and Louisiana after Hurricane Katrina to examine the response efforts of state and local law enforcement agencies to the storm. The findings from this research are reported here in a lessons‐learned format to inform law enforcement disaster response policy.