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Responsive Regulation

Responsive Regulation. Valerie Braithwaite Regulatory Institutions Network The Australian National University. Regulation is …. not just rules steering the flow of events. Two models about steering. Wheel of Social Alignments The decisions of the unlawful non-citizen.

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Responsive Regulation

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  1. Responsive Regulation Valerie Braithwaite Regulatory Institutions Network The Australian National University

  2. Regulation is … not just rules steering the flow of events

  3. Two models about steering Wheel of Social Alignments The decisions of the unlawful non-citizen

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

  5. Figure 1: The Regulatory System surrounding the Department of Immigration and Citizenship (DIAC) and Unlawful Non-Citizens (UNC)/Bridging Visa E Holders (BVE)

  6. 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

  7. What have we learnt? Context matters Individual differences matter Social relationships matterWe are in the business of managing personal and social identities

  8. 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.

  9. The Central Ideas of Threat … Agency and Social Distance Authority threatens everyone, by virtue of being an authority. As an authority’s 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.

  10. Five motivational postures: Commitment Capitulation Resistance Disengagement Game playing

  11. Approaches to regulation Smart regulation Third party regulation and meta regulation Responsive regulation

  12. Call in military Firearms Physical contact eg push apart gangs with shields Rubber bullets and other less lethal special weapons Physical presence - arrival with fanfare Community policing, problem-solving GNR gang fighting control pyramid in Timor-Leste Courtesy of John Braithwaite

  13. The ATO Compliance Model

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

  15. Possible enforcement regulatory pyramid with unsuccessful applicants Possible strengths-based regulatory pyramid with unsuccessful applicants

  16. 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

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