Responsive Regulation and Defiance Valerie Braithwaite Regulatory Institutions Network (RegNet)
Braithwaite, Valerie (2009) ‘Tax evasion’ In M. Tonry, Handbook on Crime and Public Policy Oxford: Oxford University Press
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
48 Freemarket 38 40 85 Tax HFHE (L) 2005 Disillusionment 87 Hope 2003 Tax CHFAS 2000 86 0 20 40 60 80 100 Percent agree or strongly agree A comparison of levels of disillusionment with Australian democracy and support for small government and free markets 2000 - 2005
Defiance in Taxation and Governance (Braithwaite, 2009) Authority threatens us all. In the process of dealing with authority, three selves go forward to face the enemy: a moral self a status seeking self a democratic collective self. Conclusion: Regulation in its outcomes and process needs to be respectful of these selves.
Moral self: a self that wants to be honest and seen to be honest, as law abiding, as not needing to be fearful of authority, a good person. “I am a good person and the authority should recognize this.” When a moral self is under-valued: The morally obligated pathway is weakened, and the way is cleared for defiance.
A status seeking self: a self that aspires to wealth, power and status in some cases and to a job, family and home in others. “I have hopes of success and authority should not block my path.” When a status seeking self can’t be expressed within the authority’s domain: A competitive pathway to defiance comes into being, strengthened by alternative authorities that provide resources to defeat the government agenda.
Democratic collective self: a self that expects government to deliver in exchange for our cooperation, an expectation of being respected as a citizen. “I am a good citizen and the authority should treat me and other citizens as valued participants of the democracy.” When a democratic collective self is betrayed: A grievance pathway to defiance comes into being that is shared with others and expressed as protest against authority.
Resistant defiance is … A battle between pathways of moral obligation and of grievance. Moral obligation or the belief that the law should be obeyed reins in a person’s defiance. Grievance or the belief that government has broken its contract with citizens fuels defiance.
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
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.
Regulatory Pyramid Strengths-based Pyramid From J. Braithwaite, T. Makkai and V. Braithwaite, Regulating Aged Care, Edward Elgar, 2007.
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
Court Family Group Conference Family Support Meeting Deliberation over Needs and Resources Courtesy of Neithan Harris
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.