Understanding Regulation: Theory, Strategy, and Practice

By Robert Baldwin; Martin Cave | Go to book overview

8
Enforcing Regulation
Regulation is generally used to influence behaviour in the real world and regulatory processes can be thought of as comprising three stages: the enactment of enabling legislation; the creation of regulatory administrations and rules; and the bringing to bear of those rules on persons or institutions sought to be influenced or controlled.1 This third, enforcement, stage is as vital to the success of regulation as the first two. Astute enforcement can remedy design defects in regulatory mechanisms and ill-enforcement can undermine the most sophisticated designs of regulation. Thus, skilled field enforcers can use their discretions to apply rules selectively so as to solve problems or to temper excessively restrictive bodies of legislation.2 On the other hand, failures to identify and deal with breaches of rules may reduce regulatory statutes to mere paper exercises.3This chapter looks at five central issues relating to enforcement:
styles of enforcement;
rules and enforcement;
when to intervene;
how much to enforce;
controlling corporations.

1. Styles of Enforcement

Regulatory officials seek to gain compliance with the law not merely by resort to formal enforcement and prosecution but by using a host

____________________
1
See generally, B. M. Hutter, Compliance: Regulation and Environment ( Oxford, 1997), ch. 1; id., The Reasonable Arm of the Law? ( Oxford, 1988); K. Hawkins, Environment and Enforcement ( Oxford, 1984). On private enforcement see J. Braithwaite, "'Enforced Self- Regulation'" ( 1982) 80 Mich. LR 1461; I. Ayres and J. Braithwaite, Responsive Regulation ( Oxford, 1992), ch. 4; C. D. Shearing and P. D. Stenning (eds.), Private Policing (Beverly Hills, Calif., 1986); W. Landes and R. Posner, "'The Private Enforcement of Law'" ( 1975) 4 J. Legal Stud.1.
2
See P. Fenn and C. Veljanovski, "'A Positive Economic Theory of Regulatory Enforcement'" ( 1988) 98 Economic Journal1055, 1069.
3
For a general review of why regulation may fail see P. N. Grabosky, "'Counter- productive Regulation'" ( 1995) 23 Int. J. of Sociology of Law347.

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Understanding Regulation: Theory, Strategy, and Practice
Table of contents

Table of contents

  • Title Page iii
  • Acknowledgements v
  • Contents vii
  • Figures ix
  • Tables x
  • Abbreviations xi
  • I- Introduction 1
  • 1- FUNDAMENTALS 7
  • 2: Why Regulate? 9
  • 3: Explaining Regulation 18
  • 4: Regulatory Strategies 34
  • 5: Who Regulates? Institutions and Structures 63
  • 6- What is 'Good' Regulation? 76
  • 7- The Cost-Benefit Testing Of Regulation 86
  • 8: Enforcing Regulation 96
  • 9: Setting Standards 118
  • 10: Self-Regulation 125
  • 11: Regulating Risks 138
  • 12: Regulation in the European Context 150
  • 13: Regulatory Competition and Coordination 180
  • 14: British Utilities Regulation 190
  • II- PARTICULAR CONCERNS 201
  • 15: Price Setting in Natural Monopolies 203
  • 16- Regulation Versus Competition 210
  • 17- Price-Capping Mechanisms 224
  • 18- Measuring Efficiency: Benchmarking, Yardsticking, and Performance 239
  • 19: Regulating Quality 248
  • 20: Franchising and its Limitations 257
  • 21: Accountability 286
  • 22: Procedures and Fairness 314
  • 23- Conclusions 334
  • Bibliography 337
  • Index 359
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