Responsive Regulation

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Responsive Regulation
Valerie Braithwaite Regulatory Institutions
Network The Australian National University
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Regulation is
not just rules steering the flow of events
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Two models about steering
Wheel of Social Alignments The decisions of the
unlawful non-citizen
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Braithwaite, Valerie (2009) Tax evasion In M.
Tonry, Handbook on Crime and Public Policy
Oxford Oxford University Press
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Figure 1 The Regulatory System surrounding the
Department of Immigration and Citizenship (DIAC)
and Unlawful Non-Citizens (UNC)/Bridging Visa E
Holders (BVE)
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Simple Models of Regulation
The traditional model from law command and
control The dominant model from economics
rational cost-benefit analysis Neither do the
job by themselves
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What have we learnt?
Context matters Individual differences
matter Social relationships matterWe are in
the business of managing personal and social
identities
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Motivational Postures
are sets of beliefs and attitudes that sum up how
individuals feel about and wish to position
themselves in relation to authority.
Motivational postures send social signals or
messages to the authority about how that
authority is regarded.
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The Central Ideas of Threat Agency
and Social Distance
Authority threatens everyone, by virtue of being
an authority. As an authoritys threat
increases, people use their motivational postures
to adjust their social distance and establish a
comfort zone for themselves in relation to the
authority. Different contexts bring to the fore
different postures, and different postures direct
individuals to make different responses, some
obliging and deferential, others adversarial and
dismissive.
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Five motivational postures
Commitment Capitulation Resistance Disengagemen
t Game playing
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Approaches to regulation
Smart regulation Third party regulation and meta
regulation Responsive regulation
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GNR gang fighting control pyramid in Timor-Leste
Courtesy of John Braithwaite
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The ATO Compliance Model
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Regulatory Pyramid
Strengths-based Pyramid
From J. Braithwaite, T. Makkai and V.
Braithwaite, Regulating Aged Care, Edward Elgar,
2007.
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Possible enforcement regulatory pyramid with
unsuccessful applicants
Possible strengths-based regulatory pyramid with
unsuccessful applicants
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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