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Introducing Responsive Regulation

Introducing Responsive Regulation. Valerie Braithwaite. Child Protection as Regulation: Clarifying Principles Conference, 5-6 November 2009, Australian National University.

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Introducing Responsive Regulation

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  1. Introducing Responsive Regulation Valerie Braithwaite Child Protection as Regulation: Clarifying Principles Conference, 5-6 November 2009, Australian National University

  2. Braithwaite, Valerie (2009) ‘Tax evasion’ In M. Tonry, Handbook on Crime and Public Policy Oxford: Oxford University Press

  3. Silo-ed hopes for design The rules, laws and architecture of a system, when backed by sanctions, will elicit desired behaviour Weakness? Assumes individuals and groups are uniformly programmed in the way they respond to rules and laws Ignores the science of how society, groups and individuals function

  4. Responsive regulatory models Be responsive to the conduct of those being regulated in deciding whether a more or less intrusive intervention should be used to gain compliance Use only as much force as is required to elicit the desired outcome Set out a series of options that an authority might use to win compliance, sequenced from the least intrusive at the bottom to the most intrusive at the top Make people aware that coercion will be used, but that most are expected to comply with education and persuasion because the regulatory system has the support of the democracy/community The level of intrusiveness may be escalated up the pyramid until the intervention elicits the desired response De-escalation is desirable, once cooperation is forthcoming

  5. Network partner Network partner Network partner Network partner Network partner Network partner Networked regulation plus-plus Network partner Network partner Networked regulation plus Network partner Network partner Networked regulation Network partner Network partner Self-regulation J. Braithwaite, Responsive Regulation and Developing Economies, World Development, 34, 2006, 884-898.

  6. The ATO Compliance Model

  7. Regulatory Pyramid Strengths-based Pyramid From J. Braithwaite, T. Makkai and V. Braithwaite, Regulating Aged Care, Edward Elgar, 2007.

  8. GNR gang fighting control pyramid in Timor-Leste Courtesy of John Braithwaite

  9. Courtesy of Neithan Harris

  10. Responsive regulation is a practice that addresses and deals with complexity. It … welcomes the voice of dissidents, deliberates on shared community goals and understandings, enforces agreed upon standards, preferably through teaching, persuading and encouraging those who fall short, but it uses coercion when necessary to achieve its regulatory objectives.

  11. Responsive regulation has several critical elements to its implementation (John Braithwaite 2002, 2007). It refers to the practice of • influencing the flow of events • through systematic, fairly directed and fully explained disapproval (or approval) • that is respectful of regulatees, helpful in filling information gaps and attentive to opposing or resisting arguments • yet firm in administering sanctions • that will escalate in intensity in response to the absence of genuine effort (in praise of genuine effort) on the part of the regulatee to meet the required standards.

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