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To Punish or Persuade: Enforcement of Coal Mine Safety.
... Public Administration Division, Center for Research and Economics Teaching, Aguascalientes, Mexico. norms, deontological or normative predispositions, peer pressure, among others (Alford & Speed, 2006;Braithwaite, 1985Braithwaite, , 2006Jones, 2017;Winter & May, 2001). Individual's bounded rationality explains key aspects in the compliance behaviour along these two set of mechanisms; however, authors use the concept to focus on the effectiveness of one kind of managerial tactics that qualitatively affects participants' sensemaking of the situation. ...
... Humans also respond to non-calculative motivations, such as the natural willingness to obey social norms, or citizens' inherent obligation to obey the law (Alford & Speed, 2006;Braithwaite, 1985Braithwaite, , 2006Weaver, 2015;Winter & May, 2001). The logic behind these motivations, which is distinct from a calculative logic, is grounded on identity considerations (Oberfield, 2010) such as What is the most appropriate way for someone like me to proceed? ...
... As a result, operators often prefer to avoid interaction or commit administrative offences that undermine policy's objectives (Tummers et al., 2015). Discretion in these windows of interaction affect implementation gaps and further compliance (Alford & Speed, 2006;Braithwaite, 1985;Gofen, 2013;Nurunnabi, 2018). Street-level managers' failure to moderate these interactions produce operators' risk-mitigation strategies by playing with the administrative processes, leading to possible acts of bribery or collusion with the transgressor (Braithwaite, 2006). ...
This article explains how manager’s face noncompliance problems with the use of implementation tactics affecting the relational nature between frontline workers and policy targets. In the argument, the concept of bounded rationality is helpful to explain a set of mechanisms that affect individual’s decision-making, although overlooked in some recent streams in the literature by yielding greater importance to rationalistic models of human behaviour. A case study provides the empirical foundation in the effectiveness of the implementation tactics and its underlying rationale. A mixed method approach was used to fulfill the research objectives. Findings support the idea of a set of tactics that managers use to positively engage between frontline workers and citizen in correct(ing) policy implementation gaps.
... Similar to the Australian UCH compliance monitoring model outlined above is the compliance pyramid (Braithwaite 1985;Braithwaite and Braithwaite 2001; Australian Taxation Office 2019), which indicates the hierarchical and escalating nature of regulatory engagement (Figure 3). The size of each layer roughly indicates the number of people found at each level in the model. ...
... Simplistically translated, the compliance pyramid shows that generally 5% of any population will be systemically not compliant and a further percentage of the population, slightly larger than that group, could be influenced by that group into non-compliant behaviour. Finally, there is a large group of population that are either trying or willing to do the right thing but may not always succeed (Braithwaite 1985;Ayres and Braithwaite 1992;Braithwaite and Makkai 1994;Braithwaite and Braithwaite 2001; Australian Taxation Office 2019). This spectrum of behaviour has been more recently further characterized into three types of attitudes to compliance: ...
The no-impact maritime archaeological conservation-focused citizen science programme gathering information via recreational and technical (GIRT) scientific divers formally started in January 2019 and was designed and developed to encourage interested people, businesses, and groups to have an active and positive maritime archaeology management role. Initially launched in New Zealand and Australia, GIRT has expanded to include members in 9 countries. To better understand who is interested to participate in GIRT, why, and what it is they seek to get out of their participation, a survey was sent out to the first 119 people who undertook training. 100 people responded to the survey providing information about the demographics of participants, their background in heritage and protection, diving, science and conservation, and volunteering. Survey results show that GIRT is acting as a gateway into maritime archaeology for individuals who have never dived wrecks and for people interested in natural heritage.
... The notion of responsive regulation, however, is presented as a general concept, and mapped in specific organisational and industry contexts (e.g. environmental protection authority, transport authority, aged care) (Braithwaite, Makkai, and Braithwaite 2007;Ivec and Braithwaite 2015), pharmaceutical (Dukes, Braithwaite, and Moloney 2014), coal (Braithwaite 1985), occupational health, and safety (Braithwaite and Grabosky 1985). Comparison of these findings reveals similarities at the base of the pyramid in terms of persuasion and education, underpinned by the notion of organisations as learning citizens and rational actors (Braithwaite 2021). ...
... Thus, the credit unions involved government when discharging accountability to members, in order to demonstrate their accountability processes and outcomes, reinforcing their organisational legitimacy (Connolly and Kelly 2011). Such actions and interactions are consistent with the notion of smart regulation (Gunningham and Sinclair 2017), with minimal interventionist measures, but also responsive regulation (Braithwaite 1985), where engagement with regulators assists in managing accountability. ...
This paper examines how credit unions manage accountability to government in the lightly-regulated context of Indonesia. Adopting a qualitative methodology involving a case study approach, two credit unions are examined, through focus group discussions with credit union management and review of credit unions’ annual reports and strategic plans. Findings reveal few formal compliance-based accountability mechanisms in relation to government, and limited emphasis on these mechanisms by credit unions. However, informally, credit unions involved government in various strategic ways to demonstrate accountability and legitimacy, and seek support from them, thereby managing the regulatory space to maintain a lightly-regulated context. This paper provides insights into how credit unions adopted a predominantly co-operative approach to manage and negotiate a space of limited regulation by actively demonstrating legitimacy and accountability. Presented in the form of an engagement pyramid involving four levels (i.e. compliance, self-regulation within the sector, engaging with regulators, and selectively challenging regulation perceived as unfair or unhelpful), this approach is particularly important given the seemingly less effective regulatory frameworks in more developed countries. It provides a reference for other organisations, both within the third sector and beyond, to consider how their actions might respond to and constructively shape the regulatory space, beyond comply or evade.
... Part II. Emergence of Regulatory Craftsmanship 75 , p 35. 76 For a broader discussion on this, see Braithwaite, J. (1985). To punish or persuade: Enforcement of coalmine safety. ...
... Cambridge University Press. Morgan and Yeung's figure acknowledges the work of Ayres and Braithwaite, referring most specifically to Braithwaite's ideas in Braithwaite, J. (1985). 78 Goodfellow, J. (2014) Goodfellow, J. (2014), (p 206). ...
The thesis covers an emerging and important area of social justice concern: the protection of (non-companion) animals. Within this broad field, this thesis includes a case study of the practice of welfare regulation with respect to farm animals being sold through Queensland saleyards. The objectives of this research are, first, to identify, through library research and fieldwork investigation, the barriers to improving the welfare of farm animals in Queensland, particularly those in Qld saleyards. Second, to speculate on strategies, including but not limited to law reform, that may assist welfare improvements in Qld, and third, to identify any lessons that may potentially be transposed from this micro-study to the broader macrocosm of regulatory theory literature.
Although application of the insights gathered from this case study may be limited, some of the
insights may be applicable to other jurisdictions.
... 4). Others have conceptualized implementation as "persuasion" or "punishment" (Braithwaite, 1985), as based on "compliance" or "deterrence" (Walshe, 2003), or classically as being based on "coercive," "utilitarian," or "normative" types of power (Etzioni, 1964). Finally, drawing on the self-determination literature, managerial implementation may even be categorized as supportive or controlling (Weibel, 2010). ...
... Also in line with Weibel's suggestions, others say their managers have tried to take some of the pressure off the process of implementing ES by arguing that it is a learning process and acknowledging that it will take time to learn to work with ES (2, 6). Following Braithwaite (1985), these strategies seem akin to persuasion. While some of the daycare workers in this group point to behavior akin to soft implementation, it does not work for all of them (e.g. 2, 13, 14). ...
Purpose
The literature so far has shown that perceptions of managerial interventions matter for motivation and performance. However, how these perceptions are formed and develop over time is less clear. The purpose of this paper is to fill part of this gap.
Design/methodology/approach
The paper uses a panel case study to investigate how perceptions of a managerial intervention are formed and developed over time among daycare workers in a Danish municipality.
Findings
The paper reveals the dynamic nature of preferences and the centrality of the local manager in perception formation, illustrating that it is not necessarily the implementation style (soft/hard) that is important as much as the managerial involvement in the initiative.
Practical implications
Whereas managers are still well advised to consider the pros and cons of a hard vs a soft implementation approach, this paper also underlines the importance of constant managerial involvement not only to ensure implementation but also to continuously impact the way managerial interventions are perceived.
Originality/value
The paper adds to the existing knowledge about perception formation by using a panel case study, hence illustrating the dynamic character of perception formation.
... Treba napomenuti da je među učesnicima bilo onih koji su u dosadašnjem radu imali direktna iskustva sa inspekcijom, dok drugi učesnici nisu imali ta iskustva. 15 Podaci su prikupljeni kroz dve fokus grupe i osam intervjua. Fokus grupe su korišćene kako bi se osvetlio način na koji se pod uticajem socijalne interakcije obrazlažu i sučeljavaju različite perspektive o nepoštovanju privrednih pravila i propisa. ...
... Fokus grupe su trajale oko 90 minuta, a intervjui oko 50 minuta. 15 Napominjemo da cilj istraživanja nije bio da se utvrdi razlika u percepciji predstavnika privrede koji su imali direktna iskustva sa inspekcijama i onih koji ova iskustva nisu imali. ...
... Further support for Vogel's conclusion might be drawn from Braithwaite's (1985) book on coal mine safety regulation. In Great Britain and France, Braithwaite (ibid., p. 4) notes, there has been a trend "away from prosecution and toward persuasion as the best way of achieving mine safety." ...
... Portanto, a prévia definição normativa dos ilícitos puníveis vincula o administrador e retira a margem de liberdade sobre a conduta futura a adotar. (BRASIL, 2020, p. 19) O mesmo diagnóstico é apontado por Alice Voronoff (2018, p. 103) (Bardach and Kagan, 1982;Braithwaite, 1985 "compliance is optimized by regulation that is contingently ferocious and forgiving". 7 Diz-se "como regra" porque, em certos cenários, pode ser recomendável que a medida inicial pelo regulador seja mais dura. ...
O objetivo deste artigo é propor uma revisão da interpretação do exercício da atividade sancionatória da Administração Pública enquanto um poder-dever. Para tanto, analisa-se a teoria da regulação responsiva, que argumenta que punição e persuasão devem ser estratégias complementares na busca de alcançar a conformidade, bem como as inovações trazidas pela Lei nº 13.506/2017, particularmente quanto à possibilidade de que o Bacen e a CVM, em certos cenários, deixem de instaurar processos sancionadores, utilizando outros instrumentos mais efetivos. Assim, defende-se caber ao agente público, diante de eventual irregularidade, se utilizar da ferramenta mais bem capacitada para promover os objetivos regulatórios.
... This is a quite different process since in this case corporate illegality does not escape prosecution through the existence of certain implicit assumptions about the nature of the criminality in question. In this case laws are specifically created to address business behaviour, but in practice are rarely formally enforced with most regulatory activity taking the form of informal bargaining with, or attempts to persuade the offending company to comply with the law (see for instance, Carson, 1970a andCranston, 1979;Bardach and Kagan, 1982;Richardson et al, 1982;Hawkins, 1984;Braithwaite, 1985a;Hutter, 1988;Weait, 1989;Cook, 1989;Croall, 1989 andClarke, 1990;Pearce and Tombs, 1990). ...
p>This thesis offers a sustained and detailed analysis of the complex of discursive and material practices that generate and support a perception of work-related corporate violence as 'non-crime'. It begins by considering growing pressures for the criminalisation of corporate illegality and violence in the UK, and the state's response to these pressures. This, and further evidence within the literature of a significant public intolerance towards corporate crime and corporate deviance raise two related questions which the thesis seeks to address. First why, given potential public support for the labelling of culpable work-related deaths and injuries as crime, do the majority of these harms continue to escape formal criminalisation; and second, how is this criminalisation avoided? What, in other words, are the specific processes and forms that underlie and preserve the non-labelling of corporate violence as 'crime'. In attempting to answer these questions, the role of regulatory law and enforcement in particular is explored. First, an attempt is made to describe the ways in which a general, and routine minimisation and 'demoralisation' of corporate violence and corporate responsibility is produced through both the form and content of regulatory law, and through the representational practices of regulatory and state bodies. Second, case study data provides an opportunity to explore how attempts by the victims of corporate illegality to mobilise the support of the criminal law against corporate offenders may be thwarted by the combined resistance of business and the regulators. In this way the thesis attempts to understand decriminalisation in both its general and in its specific forms - first, by identifying the forms and justifications that produce an ideology of corporate violence as 'non-crime', and second by documenting and exploring how a specific instance of corporate violence is decriminalised in an enforcement context.</p
... A more flexible approach has a better chance of working. The classic work in this tradition is by Braithwaite (1985), who studied the enforcement of safety regulations for mines in 39 disasters across the world. He discovered that most accidents could be avoided if the law was obeyed, and the best way of getting there is better communication between the owners and the unions, perhaps through deliberative arrangements. ...
Introduction
One of the most important advances in the study of public policy – occurring over the lifetime of the Policy & Politics journal – is the categorisation of the tools of government into a small number of discrete types. Salamon and Lund (1989, 4) sum up what underlies the concept: ‘the notion that the multitude of government programmes actually embody a limited array of mechanisms or arrangements that define how the programmes work’. Analysts should not be dazzled by the variety of different labels governments use, as they usually reduce to a much smaller set of categories based on distinct causal claims. Seminal is the work of Hood (1986; 2007), and of Hood and Margetts (2007), who developed the NATO classification system: Nodality, Authority, Treasure and Organisation. Hood's influential acronym has been complemented by Salamon's more complex and differentiated 14-point scheme (Salamon and Elliott, 2002; Salamon and Lund, 1989); Howlett's classification of continua (Howlett, 2005; Howlett, Ramesh and Perl, 2009; Howlett, 2011); and John's addition of institutions and networks into the mix (John, 2011). Then there is conceptual work on the different dimensions of tools, which seeks to understand the processes of instrumentation and maps out guiding principles behind the tools, what are called meta-tools (Peters and Nispen, 1998; Lascoumes and Le Galès, 2004; 2007; Kassim and Le Galès, 2010).
Nothing in this chapter should detract from the value of such schemes, as they assist an understanding of how the capacity of government may be enhanced or weakened by the resources at its disposal. But such accounts need a second step. As well as an elaboration of the tools of government, it is important to consider the communication between the instrument and those who are intended to receive such commands or encouragements once the tool has been applied. There is, for example, the publication of a law, and then the ways in which the targets of the law get information about the change; or there can be an adjustment in the level of taxation and then citizen or company compliance based on awareness of the new rate. Once this distinction is conceded, there may be less difference between instruments of government as each is mediated and processed by the means of communication, whether encouraging, manipulating, commanding, or conveying norms, which themselves can be customised and shaped by the very same institutions of the state that control the instruments.
... 130 Early research on enforcement styles distinguished inspectors using one of two mutually exclusive styles: a formal, rules-oriented, deterrence-based style or a flexible, results-oriented, accommodative style (Pautz et al. 2017;Liu et al. 2018, both citing Bardach andKagan 1982;Hawkins 1984;Braithwaite 1985). These concepts were further refined by e.g. ...
Public regulators frequently come across organizational conduct which they consider harmful, even though this conduct is not forbidden by regulations. Remarkably, almost all regulators examined in this dissertation undertake ‘interventions beyond the law’ – supervisory interventions not based on enforcement powers – to counteract such conduct.
A range of research techniques provides insight into why and how regulators thus go beyond their legal enforcement mandate. In practice their response is rarely driven by explicit policy. The response rather emerges from how regulators see their own role. Domain characteristics play a part, as well as inspectors’ individual viewpoints (although it seems, surprisingly, not their demographic characteristics).
To what extent regulators are effective in averting harmful but legal conduct may depend on how inspectors play the supervisory game and navigate the moral and relational vulnerabilities as detailed in this dissertation. But ultimately the legitimacy of interventions beyond the law may depend on how a regulator maintains alignment with its environment and copes with the associated dilemmas.
... The attribution of excessive responsibility to victims without sufficient powers facilitates victimisation and victim-blaming (Karstedt and Farrall, 2006). The transfer of enforcement powers from traditional law enforcement to regulators can upset the vital balance between persuasion and punishment (Braithwaite, 1985;Ayres and Braithwaite, 1992;Braithwaite, 2002a;Comino, 2011) and between individual and corporate accountability (Jordanoska, 2019). Lack of legislative parameters to constrain regulators' discretion jeopardises the effectiveness of the law. ...
Recent corruption scandals suggest that the legal structures developed to responsibilize corporations might paradoxically enable the systematization of corruption across entire industry sectors. This study uses grounded theory methodology to develop a preliminary theoretical model of the correlations between the law, responsibilization, and the causes of systemic corruption. Through a qualitative examination of documental evidence from the case study of the recent Australian banking scandal, this article conceptualizes a two-way process of ‘legal deresponsibilization’. On the one hand, legal dysfunctions fail to effectively support the situational and cultural goals of responsibilization. On the other hand, the pursuit of such goals transforms the law in ways that can lead to the deresponsibilization of both corporations and the state. The article suggests that structural reforms are needed to correct this process and the underlying systemic imbalances between the legal promotion of financial interests and that of countervailing values of integrity and accountability.
... Teisę tiriantiems mokslininkams visada daug diskusijų kelia klausimai, ar valstybės valdžios institucijos, įgyvendindamos teisinį reguliavimą, turėtų siekti atgrasymo, pasireiškiančio konfrontacija ir sankcijų taikymu už taisyklių pažeidimus, ar to, kad teisinio reguliavimo būtų laikomasi, ir patarti, bendradarbiauti, įtikinti laikytis teisės aktų nuostatų (Gunningham, 2010, p. 2;Braithwaite, 1985) bei "racionaliai kontroliuoti" (Lodge, 2008, p. 285). ...
Šiame straipsnyje analizuojama ūkio subjektų veiklos priežiūros, kaip viešojo administravimo srities, esmė ir paskirtis bei vertinimas nacionalinėje administracinėje teisėje. Keliamas klausimas, ar ūkio subjektų veiklos priežiūros srityje įvyko paradigminis pokytis ir kokie yra jo raiškos būdai.
The present article analyses the essence and purpose of the supervision of the activities of economic operators as a field of public administration, as well as its expression and evaluation in national administrative law. It raises the question of whether there has been a paradigmatic shift in the supervision of the activities of economic operators and in what ways it is being expressed.
... Workers below the age of 25 showed more chances of injury, but recovery time of aged person is more as compared to the young person after a serious injury (Kisner and Pratt, 1999;Mitchell, 1988). In Pakistan "learn as you go" is a work practice in mining industry (Braithwaite, 1985) where inexperienced miners get experience without any formal job and safety training. During this phase, inexperienced mine workers add high risk to their life and to the mine property. ...
Mining is one of the most hazardous industries as mine workers are exposed to unsafe working conditions. One of the key steps in improving mine safety is through study and analysis of mine accident data. In recent years researchers have rigorously worked towards the analysis of mine accidents in Pakistan, but very little work if none is conducted to investigate and analyze the mine accidents reporting system in Pakistan. This research focuses towards analyzing the occurrence of surface mining accidents in Punjab from year 2004–2018 during which 377 fatalities occurred. Intensive literature review is done to understand the current body of knowledge in mine accidents in Pakistan. This work identifies that mining fatalities are increasing with each year unlike global trends with a pattern of consistent occurrence due to primitive mining practices, negligence of workers, lack of resources, slackness on part of regulatory bodies and mine management and worse accident reporting mechanism. The work finds that only fatal accidents or extremely serious accidents are reported to regulatory body. The work identifies the limitations of accident reporting tool (Form IX) as being outdated and generic that abstains from binding cause of accident to any of the stakeholder to be held accountable along with no centralized system to investigate indigenous solutions for improving safety. This work presents a new accident reporting tool that will help improving the overall safety of mining activity by binding occurrence of accidents with responsible stake holders. The approach to make stake holders accountable will result in overall ownership of mine safety in the Pakistan. The future work can investigate the proposed work and quantify the outcomes resulting from the opting the proposed system.
... The accidents are not only traumatic to a mineworker but also impact the sites where accidents happen (Paul and Maiti, 2008;Stemn, 2018). Therefore, many mining companies attempt to enforce mandatory behaviour known as safety compliance to reduce workplace accidents (Braithwaite, 1985(Braithwaite, , 2017. Safety compliance includes compulsory behaviours such as following safe work and standard operating procedures, using personal protective equipment, exercising safety rights and promoting safety communication (Zhu et al., 2020). ...
Purpose
This paper aims to investigate the effect of mining supervisor behaviour, safety motivation and perceived job insecurity on Ghanaian underground miner’s safety citizenship behaviour.
Design/methodology/approach
The authors proposed a conceptual framework that tested supervisor behaviour as an independent variable, safety motivation as a mediator variable, perceived job insecurity as a moderator variable and safety citizenship behaviour as a dependent variable. The authors tested the hypothesized relationships using 351 valid responses collected through a structured questionnaire using hierarchical regression analysis.
Findings
Results revealed that both components of supervisor behaviour significantly influenced safety motivation and safety citizenship behaviour. Furthermore, safety motivation could mediate the relationships between both components of supervisor behaviour and safety citizenship behaviour. Also, perceived job insecurity failed to moderate the relationship between safety motivation and safety citizenship behaviour.
Originality/value
This current study is vital for managerial practices. The complex conceptual framework also contributes to offering different ways of understanding how supervisors’ behaviours can catalyze improvement or worsen safety outcomes.
... The literature further suggests that inflexible rules and stiff penalties that are characteristic of command and control regulation are likely to transform a situation of general distrust into 17 According to Braithwaite (1985), there are four basic types of regulatory regimes: Self Regulation and Deregulation, Enforced Self Regulation, Command Regulation with Discretionary Punishment, and Command Regulation with Non-Discretionary Punishment. 18 According to interviews, the Alliance did not prioritize sprinkler systems earlier in their tenure; this changed in the last couple of years of the Alliance. ...
This study provides an overview of the factory safety data of the Accord and the Alliance as well as insight into their inspection and enforcement systems. It therefore conducts two main analyses. First, the study presents statistics on violations and remediation – i.e. whether the problem was fixed – based on a review of the self-reported, publicly available data from the Accord and the Alliance. Second, the study looks into the Accord and the Alliance as regulatory bodies; their innovative design brings up the question of how they worked, particularly the systems they developed to incentivize and facilitate factory safety improvements. Based on these findings, the study presents recommendations for improving the next generation of safety organizations both internationally and in Bangladesh.
... Second, these three ages seem to exclude studies of state, law and regulation whereas it is an important research tradition with books again, in the 1970s (Stone, 1975) and the 1980s (Braithwaite, 1985). Traditions do not seem to communicate much and can remain invisible to each other. ...
This article is a contribution to the special issue on the future of safety science. It discusses the three areas indicated in the call by the editors: history and evolution of safety science; new models, processes and theories in safety science and emerging risks in safety science. In the first section on the history and evolution of the field, (Re)writing history, I argue that an interesting task is to challenge what has become a taken for granted view of the past. I illustrate this claim by revisiting and challenging the popular view of safety which describes three ages in the evolution of safety science (technical, human and organisational). I then reinforce this by arguing about the presence of relatively independent research traditions which structure our understanding of safety. In the second section on new models, processes and theories, Convergence versus Divergence, I discuss the problem of research traditions developing independently, and I advocate a strategy of convergence to complement this process of divergence, while shortly discussing the practice-theory gap. Finally, in the second section on emerging risks, How is safety globalised?, I argue that one challenge for safety research is to keep up with changes, some of which are perhaps of an unprecedent scale.
... While these authors started thinking about restorative and responsive regulation in the way business regulation was conducted in exit conferences after coal mine safety inspections (Braithwaite, 1985), the most important domain of R &D turned out to be a human service, aged care, where responsive practices of regulating business, regulating the state and regulating individuals were all critical to understanding how a freer society was created through the interaction between the regulatory state and regulatory society. ...
This chapter considers over-regulation and under-regulation both as potential threats to freedom. It conceives political knee-jerks that see-saw between over- and under-regulation as posing particularly strong threats of domination. Responsive regulation was developed as an integrated and balanced approach to these threats to freedom. Its balance is particularly richly improved by integration with restorative justice. Responsive regulation is often thought of narrowly as an approach to business regulation. This chapter explains what responsive regulation means through discussing the way it was developed in the regulation of a particular human service, aged care.
... It is important to point out that planning is the opposite of improvising. In mining operation, if there is no proper planning, there is tendency to improvise or second guess and take a wrong approach which will fail and hurt the environment and the community (Braithwaite, 1985). Planning is considered as the "ability to take proactive decisionmaking where the risks and uncertainties of the future are minimised and a course of action or programme takes form that facilitates the wise allocation of important and potentially scarce resources" (Lein, 2008). ...
This article examines the need of the environment protection in the process of mining operations. It highlights the importance of sustainable mining in order to ensure that mining is conducted sensibly and responsibly. It rigorously examines the utilization of a comprehensive and holistic Environmental Management Plan (EMP) which is one of the environmental tools that has the potential to produce environmental sustainability in mining areas and communities. It accentuates that the EMP should contain detailed activities that will be carried out throughout the mining and post mining operations. It also discusses how the interest of the people and the environment can be protected and preserved. It enlightens on the importance of compliance and implementation of the EMP for sustainable mining. It proves that non-compliance will marginalise the poor vulnerable communities and degrade the environment within the area where mines are based. It details the regulatory interventions that have been put in place to support the EMP and accentuates the need for accountability and sanctions for non-compliance with the environmental legislation. It submits that mining companies must be compelled to comply and implement the EMP as part of precautionary measures to avoid environmental and land degradation. The EMP is a tool that should be used to promote environmental sustainability in mining operations.
... There are three major explanations in line with a normative drive to ensure compliance-(1) the rational utility-maximizing theory (Becker 1968); (2) the social and moral suasion stream (Braithwaite 1985;Weaver 2015;Winter and May 2001); and (3) the ideological framework hypothesis (Schneider and Ingram 1990;Winter and May 2001). Due perhaps to the normative drive imprinted in the study of compliance, in contrast to this literature and with few exceptions (Vaughan 1999), explanations of noncompliant behavior within public-administration literature have been more disperse. ...
Authorities depict noncompliance by public officials (POs) as a problematic deviation they seek to address by several means. This article discusses the problem as a situation where the public's reframing opportunities guide POs toward the acceptance of noncompliant behavior. This novel approach is underpinned by a behavioral model of decision-making processes. The pre-decision-making processes of POs are altered by actors who reframe efforts through narratives that affect the way POs make sense of a situation , their evaluation of the appropriateness of alternative actions, and their willingness to accept rule breaking. We use administrative corruption as a case of noncompliance to design a survey experiment applied to POs in a local government in Mexico. The survey adapts rationalizations of administrative corruption to test how narrative frames affect PO decision making, where a zone of noncompliance becomes acceptable. ARTICLE HISTORY
... Three major explanations exist in line with a normative drive to ensure compliance; the rational utility maximizing theory (Becker, 1968); the social and moral suasion stream (Braithwaite, 1985;Weaver, 2015;Winter & May, 2001); and the ideological framework (Schneider & Ingram, 1990;Winter & May, 2001). Conversely, and with remarkable exceptions in organizational theories (see Vaughan, 1999), explanations of non-compliant behavior within the public administration literature are somewhat more disperse. ...
Non-compliance by public officials (PO) is often depicted as problematic deviation, which authorities seek to address by several means. However, less is known of the public`s reframing opportunities to guide POs towards the acceptance of non-compliant behavior. POs' accepted zones of non-compliance are conceptualized, on the basis of a behavioral model of decision-making processes. POs' decision-making is a byproduct of actors reframing efforts through narratives, altering the way POs make sense of a situation, their evaluation of the appropriateness of alternative actions, and finally their willingness to accept rule breaking. The case of administrative corruption is used as a type of non-compliance. Four narrative treatments used to rationalize administrative corruption were employed in a survey experiment applied to POs in a local government in Mexico. The test shows how POs' decision-making is affected by narrative frames, making them accept zones of non-compliance.
... In this respect, one source of inspiration in the 1980s for Hopkins is not Turner (1978) or Perrow (1984) but key writers in the white-collar crime scene applied to safety, such as Stone (1975), or Braithwaite (1985. The idea that structure of organisation is an important feature for the prevention of major events is already a core principle for these writers, who study corporations with a strong emphasis at their very top, where one finds the most influential decision makings processes. ...
Structure as an analytical category has a long trail of debates in safety over 40 years but has never been the topic of a dedicated study, until Hopkins’ work on the issue of centralised organisational structures. The notion of structure has had different meanings including structure as coupling and complexity (1), as redundancy (2), as self-correcting (3), as underspecified (4), as management system (5), as degree of centralisation (6), as macro social configuration (7). I come back in the first section of this article on this in order to situate Hopkins’ argument. To do so, I use the insights from organisation theory on the complex relationships between structure, culture, power, technology, goal and environment. Hopkins’ view is that “structure creates culture” which depends on the degree of centralisation (6). In a second section, I go one step further to situate Hopkins’ argument, coming back on four decades of publications in order to bring the distance needed to characterise his message, its context (in particular, its rejection of safety culture) and retrospective rational. One conclusion is that his argument allows safety research to explicitly target top management decisions while offering a sociological and practical perspective. However, to elaborate his argument, Hopkins makes a certain number of simplifications which are discussed. I finally add that structure as a degree of centralisation is an opportunity to move one step closer to strategy. This complementary move is needed when one studies empirically daily operations of high-risk systems.
... In the mining industry, various methods of disaster analysis have used official accident reports [11,[14][15][16]. Accident reports rely on a large body of data from a variety of sources to reach their conclusions, and therefore provide a great resource for conducting a large-scale longitudinal review of the industry to identify lessons for risk prevention [10,17]. ...
A systematic analysis was conducted using ten occupational health and safety commissioned reports from Canada, New Zealand, United States, United Kingdom, and Australia spanning from 1967 to 2015. The objective was to identify commonalities and differences in the key recommendations across the identified reports. The text-mining software Leximancer was utilized to analyze the content of the recommendations through the semantic extraction of dominant themes, and the relational extraction and mapping of thematic relationships against each other. The identified themes were then analyzed within the concept map to fully understand the relationships. Based on the concept map, the thematic analysis provided a longitudinal perspective of the recommendations, identifying six key themes and 49 sets of overlapping recommendations. Key themes included: health and safety hazards (n = 10), legislation, regulations and organizational structure (n = 13), emergency management and mine rescue (n = 9), training, education and competence (n = 10), technology (n = 4), and research (n = 3). The results of this analysis illustrate that the same hazards continue to be identified across reports and recommendations, regardless of time or country of origin. This indicates that the communication of recommendations and/or the strategies developed in response to the recommendations need to be further addressed.
... 130 Braithwaite (1985, p. 142). See also Braithwaite (1985) and Braithwaite and Ayres (1992, 35). civil sanctions. ...
In order to protect the objectives of competition policy, companies as undertakings are primarily targeted for the competition law infringements based on the mixed approach of compliance and deterrence theories relying on the view that company directors are incentivised to comply with the rules of competition law by the internal compliance programmes and corporate fines are the consequences of incompliance. This enforcement strategy gives rise to a tension between corporate governance, company law and competition law, as the former two focus on the behaviour of individuals within the corporate structure, while the latter concerns the impact of the company’s behaviour in the market. The question that arises in this tension is whether or to what extent competition law actually considers the way in which the company is run internally while it seeks to promote these primary objectives. This article analyses the deterrent effectiveness of primary enforcement strategy employed in the UK competition law regime and argues that competition law does not tend to localise the source of conduct or particular decisions and does not aim to correct the right wrongdoer. Despite that lack of effectiveness of public enforcement strategy to deter further anti-competitive behaviour has led individual sanctions to be introduced by the Enterprise Act 2002 and the Enterprise and Regulatory Reform Act 2013 in the UK, companies are still primarily targeted by corporate fines even though directors have intentionally breached the rules of competition law and this strategy is unlikely to deter directors from engaging with undesirable behaviour which exposes the company to risk of liability and loss.
... Following the work of Zhang et al. (2016) we argue that the micro-factors in coal mine production system should also been considered, given the consequences associated with unsafe behaviours, poor maintenance of equipment, and the risk conditions of the environment. In this same period, human factors research in the coalmine industry has largely focused on understanding cognitive and behavioural dimensions, knowledge, consciousness, and habits, taking a static and intrapersonal perspective to the drivers of safety performance in the industry (Braithwaite, 1985;Yu and Wang, 2004;Paul and Maiti, 2007;Cao et al., 2012;Wei et al., 2015;Du and Zhao, 2011). ...
This paper adopts a symbiotic approach to explore psychological perspectives about safety in the Chinese coal mining sector. A questionnaire survey was administered to 1094 respondents, consisting of 642 frontline miners, 251 managers, and 201 supervisors from six coalmines in China from August to December 2017. Results showed that different organisational roles have extremely low levels of symbiotic interaction across the operational environment, especially with the natural and macro-social systems. Conflicting perceptions of value were present across the organisational roles. Additionally, the research noted an absence for all five-dimensional affinities for each of the respondent groups. Finally, the symbiotic state across organisational roles was mostly in sub-health state (45.20%), with an unacceptable level of symbiotic state reaching 35.44%. To further promote health and safety performance in the Chinese coal sector, to reduce the structured gaps between organisational roles and improve the conditions of understanding about hazards, safety communication and duty of care among managers within the organisational structure is required.
... Although there is certainly variation among the American states across these variables, that variation is controlled by an overarching American political culture and the expectations set by the national-level Environmental Protection Agency (EPA). Additionally, U.S. regulatory agencies are found to implement enforcement actions with more stringency than regulatory agencies in other wealthy democracies (Coglianese & Kagan, 2007; see also Braithwaite, 1985;Kelman, 1981;Verweij, 2000;Vogel, 1986). Thus, if combined PHEPs in the United States are moving towards less stringent regulation, we can be confident that this may happen to an even greater degree in nations where a more cooperative enforcement style is preferred. ...
To save money and avoid redundancy, states may choose to combine complementary areas of policy implementation into a single bureaucratic agency or ministry. This is often the case with environmental protection, a policy area that is inarguably interdisciplinary in its aims and functions. A number of scholars have noted that the combination of policy mandates may lead to the neglect of certain agency functions, particularly when one of the mandates is regulatory whereas the other is nonregulatory in nature. However, what occurs when environmental protection is combined with a seemingly complementary and relevant policy area, such as public health? In this article, I argue that the combination of these policy areas will lead to the elevation of public health goals and preferences over those of environmental enforcement. Using the American states as a case, I find through interviews with environmental and public health employees, text analysis, and empirical analyses that public health functions and goals are prioritized within combined agencies. That prioritization leads to fewer punitive actions taken by the agencies during the regulatory process. Given the popularity of “multitask” agencies, it is imperative to understand how even the most convenient and reasonable combinations may affect day‐to‐day environmental protection efforts.
... Internationally recognized health and safety standards have been established by several agencies (e.g., Occupational Safety and Health Administration (OSHA), Environmental Protection Agency (EPA), and World Health Organization (WHO)] throughout the world to protect the safety, health and welfare of people engaged in work or employment. These standards also protect co-workers, family members, employers, customers, nearby communities, and other members of the public that may be impacted by the workplace environment [4][5][6][7][8][9][10]. ...
With continuous sophistication of valued metal extraction methods and processing routes in recent years, occupational health and safety practices of workers are very necessary for improved productivity and financial performance of the mining industry. In the current paper, aspects of occupational safety practices at AngloGold Ashanti Limited, Iduapriem Mine, have been investigated towards ameliorating the safe acts and conditions necessary at the workplace. Three year (2008, 2009 and 2011) records of injuries due to unsafe behaviour and conditions have been extracted from the mine and analysed. The data showed that AngloGold Ashanti Iduapriem mine is relentlessly working towards achieving zero injuries at the workplace. The behaviour-based safety management employed in the process of achieving this goal worked very effectively by mitigating the number of injuries realized in the last quarter of the year. Even though the total number of injuries decreased per year in the mine, the first aid injuries recorded were the highest in each year. Reducing the number of first aid injuries markedly reduced the number of dressing, lost time, and restricted work injuries. Furthermore, there were no fatalities recorded in 2008, 2009 and 2011 records of the mine. Overall, the data provided pragmatic information on the safety management style employed at the mine.
... To certain extent, the TVEs (local or small coalmines) will ignore the policy in pursuit of profits from higher production and prices. The local state owned coalmines could be assumed to demonstrate compliance levels somewhere between the two groups (Andrews-Speed et al., 2005;Andrews-Speed et al., 2003;Braithwaite, 1985;Shi, 2009). On the other hand, SOEs tend to have softer budget constraints and other advantages (Tian and Estrin, 2007), which can help them expand their production by upgrading existing or constructing new mines (Shi, 2010;Shi and Grafton, 2010). ...
In early 2016, China introduced additional capacity cut policies to rebalance supply in the coal market to match demand that had been reduced by slow economic growth and strict environmental regulation. Ensuing disruptions to the coal market caused these policies to be revised and, subsequently, discarded as decision makers tried to find a balance between efficient supply, economic and social stability and environmental sustainability. This paper explores the causes of these unintended consequences using an extended version of the KEM-China model. The results reveal that full and partial compliance with the capacity cut policies results in a significant gap between supply and demand. This suggests that implementation of the policy was technically infeasible, even allowing for a significant increase in coal prices and economic costs. Besides, significant differences in coal prices and output profiles are registered across the country. We argue that the heterogeneous nature of the Chinese coal market and policy compliance was a major factor leading to the unintended consequences rendering a single national price benchmark inappropriate as a policy gauge. We propose that the capacity cut policy should be differentiated across regions and even types of coalmines, market approaches would be preferable to the command-and-control instruments, and policy distortions that cause excess capacity should be removed.
... Without a certain degree of coercion, an entirely catalytic approach runs the risk of amoral calculators taking advantage of leniency by breaking the rules. Previous enforcement studies have provided support for the importance of coercion as a backstop for catalytic approaches [16,18,19]. ...
Background
Implementing an accredited quality and patient safety management system is inevitable for hospitals. Even in the case of an obligatory rule system, different approaches to implement such a system can be used: coercive (based on monitoring and threats of punishment) and catalytic (based on dialogue and suggestion). This study takes these different approaches as a starting point to explore whether and how implementation actions are linked to compliance. By doing so, this study aims to contribute to the knowledge on how to increase compliance with obligatory rules and regulations.
Methods
The internal audit system (the ‘tracer system’) of a large Dutch academic hospital is used as a case to investigate different implementation approaches and their effect on compliance. This case allowed us to use a multi-actor and multi-method approach for data collection. Internal audits (N = 16) were observed, audit reports were analyzed, and semi-structured interviews were conducted with both the internal auditors (N = 23) and the ward leaders (N = 14) responsible for compliance. Framework analysis was used to analyze the data.
Results
Although all auditors use catalytic enforcement actions, these do not lead to (intended) compliance of all ward leaders. Rather, the catalytic actions contribute to (intended) compliance of ward leaders that are motivated, whereas they do not for the ward leaders that are not motivated. For the motivated ward leaders, catalytic enforcement actions contribute to (intended) compliance by increasing ward leaders’ knowledge of the rules and how to comply with them.
Conclusions
Our findings suggest that the effectiveness of implementation actions depends not only on the actions themselves, but also on the pre-existing motivation to comply. These findings imply that there is not one ‘best’ approach to the implementation of obligatory rules. Rather, the most effective approach depends on the willingness to comply with rules and regulations.
Focusing on selected international experiences, this article explores the role of soft regulation in the context of responsive enforcement of labor law. The analysis aims to answer the main research question of whether there is a method for the effective application of soft regulation in the responsive procedure of enforcing labor law in Polish legislation based on the experiences of Anglo-Saxon countries. Formal-dogmatic and comparative methods were used to address this question. The analysis includes experiences from the Canadian province of Ontario and Australian and British legislators. This article describes the mechanism of using soft regulation in the responsive procedure of enforcing labor law, which enabled the description of potential legal and governmental system consequences of its hypothetical application in Poland. The significant reliance of the responsive regulation model on soft regulation may, among other things, limit the ability of employers to challenge unresponsive treatment by public authorities. It also conflicts with certain constitutional principles, including the exclusivity of statutes and the principle of a democratic legal state. This, in turn, could prevent the implementation of responsive regulation in European legal systems. Finally, this article considers ways to minimise the risk of violating the Polish Constitution while maintaining the flexibility and potential effectiveness of responsive regulation.
La dificultad y complejidad para detectar e investigar la defraudación tributaria supone un reto para el sistema de justicia penal. En España, los órganos de control que tienen una importancia decisiva en la investigación y persecución del delito fiscal son la Agencia Tributaria y la Fiscalía del área especializada en Delitos Económicos. Este artículo analiza el proceso de investigación de la defraudación tributaria que suele iniciarse en la Agencia Tributaria y que acaba en manos de la Fiscalía de Delitos Económicos para su posterior judicialización. Dos elementos son indispensables para entender la conexión entre la vía administrativa y el proceso penal: la liquidación vinculada a delito (LVD) y el informe pericial que se remite a Fiscalía. El trabajo de inspectores y fiscales es fundamental para entender el grado de éxito de la persecución del delito de defraudación tributaria en sede judicial.
Corporate Social Responsibility (CSR) has gained momentum amidst accelerated processes of liberalization wherein the role of corporate actors increased and the state’s role diminished in the governance arena.
China's coal safety has improved dramatically since 2003. This article will present the official data and conclude that it is almost impossible that the figures conceal a situation where there has not been remarkable improvement. Structural factors including China's level of economic development, changes in the labour market and the economic health of the industry have played an important role, but state commitment and policies have been central at least to the speed and magnitude of the improvement.
This case study investigates interactions between inspectors and regulatee representatives during regulatory conversations. We study how health care inspectors pursue voluntary cooperation from internal supervisors of health care providers to alter organizational management practices. We identify ambiguity as a central characteristic of the regulatory conversations. We observe several discrepancies as inspectors display hierarchical behavior incongruent with the horizontal relationship they aim for—and incongruent with the relationship style that internal supervisors expect. Analyzing these discrepancies in terms of relationship types and associated relational signals helps explain and prevent suboptimal communication and reduced acceptance of regulators’ demands by regulatees.
El enforcement de las prohibiciones de abuso de posición dominante juega un rol crucial para el correcto funcionamiento de los mercados. Las estrategias de enforcement deben su éxito o fracaso a las posibilidades y límites de las instituciones a cargo de su implementación. Tales posibilidades y límites se definen la forma en que se estructuran y relacionan las distintas instituciones que intervienen en el enforcement, y los roles y atribuciones con que éstas fueron dotadas para cumplir con sus fines.En el presente texto, el autor sostiene que existen importantes diferencias entre los tres modelos institucionales tradicionales de enforcement del derecho de la competencia, las que afectarían la implementación de estrategias de Regulación Responsiva para lidiar con casos de abuso de posición dominante. En ese sentido, analiza los regímenes de enforcement de las jurisdicciones de México, Nueva Zelanda y Chile, ejemplos de tales modelos. También evalúa si tales diferencias presentan un correlato en la dimensión práctica del enforcement y el desempeño de cada uno de esos regímenes de enforcement durante el periodo 2013-2017. Finalmente, explora las potenciales relaciones que podrían existir entre las diferencias en términos de discrecionalidad y de instancias para soluciones colaborativas.
Background
In the mining industry, various methods of accident analysis have utilized official accident investigations to try and establish broader causation mechanisms. An emerging area of interest is identifying the extent to which cultural influences, like safety culture, are acting as drivers in the reoccurrence of accidents. Thus, the overall objective of this study was to analyze occupational health and safety (OHS) reports in mining to investigate if/how safety culture has historically been framed in the mining industry, as it relates to accident causation.
Methods
Using a computer assisted qualitative data analysis software, 34 definitions of safety culture were analyzed to highlight key terms. Based on word count and contextual relevance, 26 key terms were captured. Ten OHS reports were then analyzed via an inductive thematic analysis, using the key terms. This analysis provided a concept map representing the 50-year data set, and facilitated the use of text framing to highlight safety culture in the selected OHS mining reports.
Results
Overall, 954 references, and 6 themes: safety culture, attitude, competence, belief, patterns, and norms, were identified in the dataset. Of the 26 key terms originally identified, 24 of them were captured within the text. The results made evident 2 distinct frames in which to interpret the data: the role of the individual, and the role of the organization, in safety culture.
Conclusion
Unless efforts are made to understand and alter cultural drivers, and share these findings within and across industries, the same accidents are likely to continue to occur.
The rapid increase of negotiated out of court settlements in corporate crime cases has attracted significant academic attention. How the terms of settlements are constructed, however, remains under-studied. To address this gap, the paper observes that the terms of settlements often include a basket of allegations widely spread across time and geography. The paper conceptualises this as a form of ‘bundling’. The paper empirically explores the unique dynamics of corporate bribery cases that enable prosecutors to engage in bundling, and deconstructs bundling into two typologies (allegation bundling and enforcement bundling). From this perspective, this paper analyses official enforcement documentation relating to international bribery cases, supplemented with data from interviews with key informants who have experience of settlement negotiations in the US, the UK, and other countries. The analysis reveals that bundling provides efficiencies when resolving corporate crime cases, offers discounts to corporate defenders, and incentivizes coordinated multilateral enforcement. The practice of bundling allegations and enforcers confirms the character of negotiated settlements as a symbolic criminal law tool designed to reform the accused corporation through negotiation, persuasion and compliance.
This study examines a little‐known but prolific form of regulation: organizations' self‐reported compliance attestations. The paper presents systematic analyses of multiple assessment procedures in the U.S. Department of Labor's (DoL) labor certification program, a frequent requirement for immigrant employment‐based permanent residency. In applications, employers attest to (i) recruiting a qualified immigrant and (ii) the lack of available U.S. workers. DoL assessment procedures to evaluate compliance include: reviewing attestations alone, auditing for supporting documentation (due to agent discretion, random selection, or automated triggers), or inspecting employer activities (due to agent discretion or automated triggers). Administrative records reveal differential approval by assessment procedure, and interviews reveal selective enforcement of DoL regulatory mandates. Reviews of attestations alone (95.9 percent approved) generally targeted employers' hiring of a qualified immigrant. Assessment procedures involving auditing and inspection granted fewer approvals and frequently also examined U.S. worker availability. Findings emphasize case sorting as a key process shaping enforcement.
Previous studies of the African fresh fruit and vegetable (FFV) export value chain have shown that smallholder farmers have faced numerous regulatory challenges in complying with stringent food safety protocols, inevitably leading to their exit from the value chain. This paper considers the role of responsive regulation in ensuring that smallholders stay in this value chain. Motivational posture regulatory theory is applied to examine how actors in the Kenyan FFV export value chain are increasingly tuning their regulatory needs to each other in order to overcome the historical compliance problems. Smallholders are shown not to be passive in the regulatory process as is often thought, but to have the agency to influence the regulatory process, which if responsive to their legitimate concerns, increases their chances of staying in the value chain. The paper concludes by arguing for a shift towards responsive regulation in the value chain because of its broader benefits including cost reductions and ensuring that smallholders remain in the value chain.
A theory of legislation must study the nature, the possibilities and the limitations of any given legislative policy, it must find out which are the regulatory instruments that are best suited to a specific community. It should do so by firstly answering whether the issue at stake can be regulated by the market through property rights, civil liability and contract law. Second, when the market fails in its regulatory task, a theory of legislation should provide a choice of other regulatory instruments, ranging from the provision of information to citizens, who can thus make their own decisions, to hard regulation. A regulatory policy will be all the richer and more effective when the operational regulatory instruments it provides are numerous and varied, when the objectives pursued by the regulation and the instruments used are attuned, and when the solution provided is accepted by society with as little coercion as possible. A good legislative technique has to take care, not only of the quality of the legal drafting, but also of the analysis of the legislative policy underpinning each draft—a policy which, ultimately, must be consistent with the constitution and the tasks it assigns to public authorities.
Since 2010, proprietary companies have had a choice of preparing three types of financial reports that vary in scope. We find that between 2010 and 2015, most proprietary companies in our random sample chose the lowest scope option, with very low quality financial reports. Few adopted the new option provided by AASB 1053 Application of Tiers of Australian Accounting Standards. The characteristics of the firms that adopted each type of report are consistent with the regulator's intention. Our findings should provide a better understanding of how accounting standards impact practice, and should assist regulators to reform private company financial reporting.
The implementation of a quality and patient safety accreditation system is crucial for hospitals. Although control systems-such as accreditation-can contribute to quality improvements, they also run the risk of unintended consequences. As a result, ways should be found to avoid or reduce these undesirable consequences. This study aims to answer this call by exploring the association of different approaches to the enforcement of rules (punishment, based on monitoring and threats of sanctions; and persuasion, based on dialog and suggestion) with compliance. To test the relation between perceived enforcement and compliance, this study used survey data collected from medical specialists (N = 92) of a large academic medical center. The findings indicate that the same system is interpreted differently and that only a perceived persuasion approach is related to higher levels of compliance. This effect is fully mediated by affective commitment. No direct or indirect effects on compliance were found for a perceived coercive approach. These results suggest that control systems can be perceived in different ways and that the implementation of a control system does therefore not automatically lead to negative and unintended outcomes.
Business-to-government information exchange has over the past decades greatly benefited from data exchange standards and inter-organisational systems. The data era enables a new shift in the type of information sharing; from formal reporting to opening up full (and big) data sets. This enables new analytics and insights by government, more effective and efficient compliance assessment, and other uses. The emphasis here shifts from establishing formats to deciding what information can be shared, under what conditions, and how to create added value. There are numerous initiatives that explore how to put data to better use for businesses, for government and for their interactions. However, there is limited attention to exactly how these new forms of extensive data sharing affects the supervision relationships. In this paper, we exploratively look across three research projects to identify the implications of information sharing beyond the regulatory requirements (‘over-compliant’). We find that the lack of attention to those implications lead to solutions that are hard to scale up and present unexpected consequences down the line, which may negatively impact the future willingness to explore new potential added value of data sharing.
Taking the iron and steel industries as a case study, this paper examines China’s ability to implement policies and regulate its industry. The paper first explains that modern government regulation theories go beyond the relationship between government and markets, adding to them the role of civil societies, human behavior and other fields. The paper then sheds light on the specific characteristics of China’s regulatory system and identifies a few elements that make it unique, such as the complexity of central and local government relationships and the large role that State-Owned Enterprises (SOEs) retain in China. Lastly, the paper identifies the Chinese policies for the iron and steel industries and then analyzes how SOEs, local government, civil societies, and small corporations behaved during the implementation process of these policies. While the previous literature mainly focuses on the role of Chinese experts in policy formulation, this study extends the previous analysis with the implementation process. Using the iron and steel industries as a case study, this paper examines the institutional responses to China’s central government regulations, assessing China?s ability to regulate the two industries serving as the basis for the case studies.
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