Effective Regulation: A General Theory of Regulation

1. Effective Regulation: A General Theory of Regulation Dr Donald Feaver and Dr Benedict Sheehy

2. General Theory of Coherent Regulation • Nature of regulatory problems • Overall structure of regulatory systems • Nature and role of coherence • Coherent Systems Approach • Problematisation: organising problem • Framing and policy • Structure • Substantive • Compliance Information Technology Services

3. Regulation • Regulation is controversial • Effort to change human behaviour is usually controversial • Conflicting ideas of rights and duties • Conflicting ideas of role of government • Complexity in ideas of problems • Complexity in social living • Lack of clarity between political and technical aspects of regulation Information Technology Services

4. Regulation: Defined • Regulation is a political response of government • Invokes the tools of government (authority, treasure and organisation) “carrots, sticks and sermons” • To solve a problem or create an opportunity Information Technology Services

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6. Regulation: Organising Problem • Regulation is NOT • Simple command and control with respect to risks • Regulation is a response to: • Socially constructed and identified phenomena • Where • Attention drawn to phenomena • Powerful people agree: • 1) that it is an issue; • 2) that a response is desirable; and • 3) that a regulatory response is desirable • Such socially constructed phenomena that has attracted attention for which regulatory response may be called is referred to as the “Organising Problem” Information Technology Services

7. Regulation: Organising Problem • Types of organising problems • Social, collective problem • Risk • Opportunity • Some aspect of 1 or more Information Technology Services

8. Organising Problem: Normative issues • What should be done? • Why should something be done? • Why not leave it? • Moral imperative: • “we should protect our society/ people” or • “we should ensure people have the opportunity” or • “there is an opportunity for our society if…and we should…” • What are the implications of these norms? • Normative: Political—norm explication and consensus • Positive: Regulatory—development of a regulatory system coherent with the norms Information Technology Services

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10. Political Dimension • Politicians • Decide whether to regulate • Frame the organising problem: collective problem, risk, opportunity • Frame the normative dimension on the basis of the framing of the problem • Mobilise political support • Create policy Information Technology Services

11. Politics and Cultural Dimension • Full understanding of the problem is difficult. Therefore: • Rely on cultural evaluation of events • Rely on experts, but not all • People who we can trust—people like ourselves in worldview • culture, politics and economics • Different from our view is “dirty” and “immoral” (Douglas 1966)/ positive = normative • We select for regulatory attention—i.e. construct organising problems—according to our worldview • Seek to reflect and reinforce worldview (Douglas and Wildavsky 1990) Culture and Cognition Information Technology Services

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13. Positive Dimension • Technical issues • Structural layer • Substantive layer • Operational layer Information Technology Services

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15. Structure • Control structures • Centralised • De-centered • Distributed • Delegated and Private Information Technology Services

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17. Structure • Accountability mechanisms • Government • Judicial Review • Markets and managers Information Technology Services

18. Substantive Coherence • Governance mechanisms • Functions • Jurisdictional authority • Powers Information Technology Services

19. Operational Coherence • Compliance • Cognitive compliance • Explicit aspects of compliance • Enforcement Information Technology Services

20. Thank you Information Technology Services