ANU School of Regulation and Global Governance (RegNet)

Permanent URI for this collectionhttps://hdl.handle.net/1885/147691

ANU School of Regulation and Global Governance (RegNet) undertakes interdisciplinary research and education in governance and regulation associated with major social, health and environmental issues. Their work is based on principles of social justice, sustainability and human wellbeing. We test and develop theory, provide rigorous qualitative and quantitative empirical evidence on important issues, and proactively engage in the public and policy debates in Australia, the Asia Pacific region and internationally. They work in the following thematic areas: Climate, energy & the environment; Law, justice and human rights; Society, safety & health; Trade, investment & intellectual property.

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Open Access
ARCHE : Australian Research Centre for Health Equity 2023 Annual Report
(ARCHE : Australian Research Centre for Health Equity, 2023-12) Carrad, Amy; Friel, Sharon; Townsend, Belinda; Schram, Ashley; Tompea, Roxana-Claudia; Dalla Libera Marchiori, Giorgia; Arthur, Megan; Frank, Nick; Salmon, Libby; Johnson, Rosina
Open Access
A Discussion Paper for Developing a Regulatory Framework for Not-For-Profits
(The Australian National University, 2012) Braithwaite, Valerie
Regulation refers to the steps taken to steer the flow of events and necessarily involves contributions from many sectors including government, charities, not-for-profits, business and individuals. All of these groups constitute a regulatory community. This paper is written for the Australian Charities and Not-for-profits Commission (ACNC) to discuss and develop with the regulatory community. It is a framework that integrates the commitments and hopes that have been articulated so far with a proposal for future regulatory practice. 2.The framework is developed within the context of the needs of the NFP (not-for-profit) sector and the values and principles espoused by the regulator. 3.The needs that are considered as most important from a regulatory perspective are threefold. First, the regulatory framework must accommodate the diversity of the sector and monitor the impact of regulation diligently. Second, in the process of regulating NFPs, steps must be taken to ensure that trust building with the public can take place. Third, regulatory reform must be undertaken with the intention of supporting, not undermining the sustainability, effectiveness and morale of the sector. 4.The ACNC Taskforce has promoted the values of (a) Independence; (b) Integrity; (c) Respect; (d) Fairness; and (e) Accountability in its operations. The proposed principles to guide the ACNC's regulatory approach are: (a) Transparency; (b) Fairness; (c) Timeliness; (d) Proportionality; and (e) Consistency. The expectation shared by the regulatory community is that regulatory reform will give NFPs a corporate and financial health check that will be known to the public. In so doing, NFPs will benefit from a lower reporting burden in the long term. They should also benefit from a raised public profile that will contribute to building trust with the Australian community and strengthen networks of practical help and support. 6.The benefits that are to be delivered to the sector are expected to come about through compliance with regulatory purposes defined within the legislation. Government's intent for the ACNC is to deliver registration, education, reporting and maintaining a public register. Registration and reporting will provide data for the accessible, searchable register on the public portal. 7.The regulatory framework encompasses purposes expressed in the legislation and the meanings that are attached to these purposes in the minds of the regulatory community. Legitimacy for a regulatory framework comes about through anchoring legislated purposes to desirable and highly valued practices in the charities and not-for-profit sector. The regulatory community as a whole has come together to ascribe meaningfulness to the legislation through talk of reducing red tape, harmonizing laws and rules, and creating opportunities for social innovation. When legislated purposes lock in with the vision for change shared within the regulatory community, commitment from regulated actors to the regulation emerges. This only occurs, however, when everyone is assured of the authenticity of the other. Commitment requires dialogue, communication and contestation of ideas, and willingness to be responsive to evidence of unexpected and undesirable effects. 8.The purpose of investment by all parties in communication and dialogue is to prevent a descent into game playing. Game playing finds its way into regulatory activity when authenticity and goodwill are depleted. Game playing wastes everyone's resources because its purpose is simply to dominate and win against the other. 9.Responsive regulation is proposed as a framework that will allow the simultaneous achievement of regulatory purposes and a shared vision for the sector, while respecting the needs of the sector and being true to the regulator's values and principles. Responsive regulation means regulation that is responsive to the context, the environment and the compliance behaviour of the regulated entity. It is particularly suited to regulatory reform in a sector where diversity means that capacity to comply and capacity to mainstream compliance activities vary enormously. 11.Practicing responsive regulation involves two mutually reinforcing sets of activities: a pyramid of escalating sanctions for dealing with non-compliance and a pyramid of supports that rewards entities that are making positive contributions to raising the corporate and financial health of the sector. 12.Common to both the sanctions and supports pyramids is respect for the contribution that NFP entities make to the public good. A pyramid of escalating sanctions gently puts pressure on an organization to comply, with awareness that non-compliance may reflect lack of capacity and can be readily turned into compliance with advice and assistance. When lack of capacity is ruled out as an explanation of non-compliance, gently increasing sanctioning signals the seriousness of non-compliance and the intent of the regulator to follow through on regulatory interventions until compliance is forthcoming or the entity is de-registered. 13.A pyramid of escalating rewards respects the contribution that NFP entities make to ensuring that a high bar is set for the health of the sector and for assisting and guiding other entities in achieving high standards of governance and financial management. A pyramid of supports provides recognition of entities that are leaders in the regulatory reform process and sets benchmarks that others in the sector should strive for. 14.Sanctions and supports are not opposite or competing regulatory activities. An entity that disagrees with the reporting framework might initially express defiance through not complying. The same entity may be working on a reporting process that could lighten the burden of everyone in the sector. In times of regulatory reform, contributions from all parts of the regulatory community are valuable and may come from the most unlikely of sources. For these reasons, the regulatory framework presented in this report asks the regulatory community to be open to the best that can be put forward by all parties to make regulatory reform work, while putting in place safeguards for the protection of the community. Regulatory frameworks must provide protection from the minority who wish to exploit others, perpetrate harm, or otherwise abuse the system. In a bid to prevent damage, however, a regulatory framework that concentrates on enforcement rather than on building strengths exposes a regulator to considerable risks. The regulator risks destroying the goodwill and cooperation that has converged around the reform agenda for NFPs
Open Access
Australian COVID-19 policy responses: Good for health equity or a missed opportunity?
(School of Regulation and Global Governance (RegNet), The Australian National University, 2020-08) Friel, Sharon; Goldman, Sharni; Townsend, Belinda; Schram, Ashley
COVID-19 shines a spotlight on social and health inequities: the already widening inequities in life expectancy, premature death, noncommunicable diseases and mental health issues in Australia will get worse as a consequence of COVID-19 if progressive, long-term multisectoral action is not taken. This report examines the health equity implications of 156 social and economic policy measures introduced by the Australian Federal and State/Territory Governments in response to the pandemic. The wide-ranging and rapid policy responses to COVID-19 risks and impacts is impressive, showing that if there is political will action can happen. A number of positive measures were introduced to address employment, household income, and standard of living. These could go a long way to keeping people well and reducing health inequities. They must however not return to conditions that will keep people in poverty. Policies must ensure a decent standard of living and fair working conditions as we move forward. To prevent an accumulation of disadvantage and health inequities throughout the life course, the temporary supports for childcare should continue and enable access to free childcare for, at the very least, socially disadvantaged households. None of the housing-related measures that were introduced addressed the medium and long term housing precariousness that is prevalent in Australia. Unless this is fixed, social and health inequities will continue to widen. Investment in social housing could help address the gap in housing, job creation and income growth, and reduce homelessness. Policy measures introduced to support aged care, disability services, the arts and family violence are very helpful in the short term. However, there is a need for sustained and adequate funding to these sectors and organisations, particularly going forward when it is likely that these organisations will play a more vital role than ever in helping to rebuild communities. COVID-19 has initiated an enormous intergenerational transfer of debt. The health consequences will be felt for decades, possibly generations. But austerity cannot be the policy response going forward. Long-term investment is vital across the conditions of daily living. Action on the structural drivers of health inequity is essential. Without action on climate change, health inequities will be exacerbated. Good social policy is good climate adaptation policy, and good for health. Climate change mitigation must focus on the consumptagenic system – the institutions, policies, processes, actors, and ideas that embed, facilitate, and normalise the dominance of a system addicted to growth and profits irrespective of the environmental, social, and health costs. ‘Bouncing back better’ from COVID-19 could see a healthier, more equitable and sustainable Australia if political leaders choose to use this unfortunate event to drive positive societal change. We cannot have deregulations in social, health and environment sectors in order to "kickstart the economy", nor the dominance of certain gender, economic and political lenses in the recovery governance processes. Governing going forward requires a new social compact, supported by a national whole of government health equity strategy.
Embargo
Beakers and Borders: Export Controls and the Life-sciences under the Defence Trade Controls Act 2012
(The Law Book Company, 2018) Vines, Timothy
Aware of the risk to human development from public health emergencies, governments and international organisations have adopted regulatory measures designed to prepare for and mitigate the risk of global pandemics. However, as the development of the Australian Defence Trade Controls Act 2012 (Cth) reveals, choices in regulatory measures can have profound effects on the delivery of public health and the practice of medical research. Introducing a new regulatory regime for researchers engaged in “dual-use” research, the Defence Trade Controls Act 2012 (Cth) (DTCA) seeks to control a variety of research and teaching activities. This article uses the DTCA as a case study of the “securitization” of infectious diseases, the mechanisms by which biosecurity rules are becoming globalised and the clash of principles that can arise for public health researchers. With the DTCA scheduled for a legislated review in 2018, an awareness of the wider constellation of international and domestic rules restricting dissemination of research findings with national security implications is imperative for public health researchers.
Open Access
A regulatory approach for the Australian charities and not-for-profit commission: A discussion paper
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Braithwaite, Valerie
This discussion paper provides the basis for dialogue about a suitable regulatory framework for the not-for-profit sector (NFP).1 The purpose of regulation is to steer the flow of events. 2 Effective steering is best accomplished through regulatory frameworks that are shared and discussed with stakeholders. This is particularly so when change is afoot and the right balance needs to be struck between preventing actions that cause harm and encouraging actions that contribute to the public good. Getting the balance right requires cooperation among regulators and stakeholders, and most importantly, the knowledge and experience each brings to the discussion table. Regulation that is not developed in this way has higher risk of unintended and undesirable consequences that are counterproductive to achieving the goals of the sector and the regulators.
Open Access
A multipronged approach to the regulation of workplace bullying
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Braithwaite, Valerie
This paper reviews the substantial body of research on workplace bullying with a view to developing a regulatory framework for controlling and preventing bullying problems. The paper argues that Top down approaches in dealing with workplace bullying are unlikely to be effective; Local knowledge, understanding and capacity are crucial to managing workplace bullying; Workplace bullying is an interpersonal issue that can be triggered and sustained by a host of factors including the personalities of the people involved, the norms of the workplace, structural features of the work, management style and emotional well-being; Workplace bullying can be understood as a competitive struggle of oneupmanship that locks individuals into bullying/victim roles; Better management of shame is at the heart of workplace bullying problems; Because of the complex set of factors leading to shame and shaping bullying, a multipronged approach is necessary that engages all levels of the organization. This might include organisational policy, organizational backing of local plans for managing bullying, mentoring, counselling, restorative justice conferencing, overhaul of work structures and practices, and mediation; Where workgroups communicate well, show respect for each other, are fair and open in their dealings with each other and are supported by their senior officers, compliance with policies such as anti-bullying is likely to be higher.
Open Access
Complex lives, complex needs, complex service systems: Community worker perspectives on the needs of families involved with ACT care and protection services
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Hamilton, Sharynne; Braithwaite, Valerie
The main contribution of the research is to demonstrate that parents and families in contact with community workers are dealing with complex needs, are socially marginalised and stigmatised. They are observed by community workers to have little to no trust that they will be treated equitably by child protection workers. Community workers overwhelming reported arbitrariness, inconsistency and low transparency in the ACT CPS. In many of their cases, community workers failed to see processes as fair or outcomes as good. For both families and community workers engaged with child protection authorities there was a sense of powerlessness and despair: Stigma was so great that parents were fighting against the odds to win respect from child protection workers for the steps they took to be better parents, and to convince the child protection authorities that their lives had changed and they were able to care for their children.
Open Access
From the perspective of parents: Interviews following a child protection investigation: preliminary findings
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Harris, Nathan; Gosnell, Linda
This report is based on interviews with 156 parents who had been investigated by a statutory child protection agency following notifications that concerned 219 children. The aim was to understand how parents perceived the investigation, how they felt about what had happened, and how they had responded to it. Parents were recruited into the study if they had experienced face-to-face contact with child protection workers because the statutory agency had deemed the risk to their children significant enough to warrant an investigation. Particular emphasis was placed on parents who had experienced this kind of investigation for the first time (as parents), so that the interviews captured the experience with a child protection authority unclouded by past incidents. Questions focused on perceptions of what child protection workers did and how they went about it, what parents thought about the report that instigated the investigation, the response of parents' social networks, feelings about being a parent, and expectations of the future. Items on the emotions of parents that require scaling and analysis in order to facilitate meaningful interpretation are not included in this preliminary report. This study took place as one component of a Australian Research Council funded Linkage Project titled Community Capacity Building in Child Protection through Responsive Regulation. Three universities collaborated on this project: The Australian National University, the University of South Australia, and the Australian Catholic University. The Linkage partner was the ACT Community Services Directorate. The broader focus of this Linkage Project, which was addressed through a number of separate studies, is whether the theory of responsive regulation (Ayres and Braithwaite 1992; J. Braithwaite 2002) could be applied to child protection practice to address systemic problems experienced by agencies in Australia and beyond. This study contributes to the broader project by providing an insight into the regulatory encounter from the perspective of those who are usually the object of regulation: parents. Responsive regulation assumes that individuals vary in the attitudes (postures) that they hold towards authorities (V. Braithwaite 2003) and that these postures along with their willingness and ability to respond to requests by authorities depends upon their perceptions of how authorities have treated them (Tyler 1990). The ability of child protection systems to build capacity in local communities depends upon the degree to which they are able to engender feelings of hope and empowerment within these communities (V. Braithwaite 2004). This study will use interviews with parents who have recently been subjected to a child protection intervention to understand how variations in these encounters impact upon outcomes.
Open Access
How relevant is the role of values in child protection practice? A national survey of statutory child protection staff 2009: Preliminary findings
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; McArthur, Morag; Braithwaite, Valerie; Winkworth, Gail; Wilson, Fran; Conroy, Stella; Thomson, Bronwyn; Ivec, Mary; Harris, Nathan; Reinhart, Monika
A survey of those working in Australian statutory child protection authorities was undertaken by the Australian Catholic University as part of a larger project at the Australian National University: Community Capacity Building in Child Protection (http://ccb.anu.edu.au). The purpose of the project is to explore new ways for supporting families and young people so that they can develop the skills, confidence and resources they need to flourish without continuing intervention from the state. Child protection authorities are expected and do intervene when they have reason to believe children are unsafe or neglected. Too often, however, the outcome is that these families stay in the system instead of developing capacity to move on with their lives free of state intervention. The survey described in this paper represents one part of the project: the views of those who work at the heart of the system in statutory child protection agencies. The survey was funded through an Australian Research Council Linkage grant (LP0669230). This report is based on survey responses from 859 public service employees working in a statutory child protection context in eight offices in Australia’s states and territories. Child protection staff in each of these offices were invited to log on to a web survey set up by the Australian Catholic University. The invitation was sent to a senior official in each state and territory and was circulated to staff by a designated officer. The survey comprised 100 questions about the values that child protection workers held and practiced, the beliefs that guided their practice, the supportiveness of their work environment, their overall satisfaction with their jobs and their intention to remain in their jobs in the immediate future. Participants were introduced to the idea of values in the following way. Values relate to the principles, goals and ways of doing things that people use to make judgments about what is happening in their world. Values are part of the professional code of conduct of individuals. They are also part of the policies and procedures of organizations, reflected in organizational mission and vision statements. We know little about how well the expression of values that are embedded in professional codes of conduct mesh with the expression of organizational values through rules and procedures. This survey explores this issue through asking those employed in statutory child protection agencies what they think of their organization’s values, how they describe their own values, professionally and personally, and how they practice their values in their day to day work.
Open Access
Safe Surgery in Australian Hospitals: Implementation of the Correct Patient, Correct Site, Correct Procedure Protocol
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Healy, Judith
Report to the Australian Commission for Safety and Quality in Health Care. Background: Health policy makers in many countries have proposed protocols to reduce socalled ‘never events’, meaning adverse incidents in hospitals that are preventable, such as incidents involving the wrong patient, wrong site, or wrong procedure. Reporting systems now indicate that these types of adverse incidents are more frequent than initially assumed; for example, 53 such incidents were reported across Australia for 2004-05. The Australian Health Ministers in April 2004 called for all public hospitals in Australia to implement the ‘Ensuring Correct Patient, Correct Site, Correct Procedure’ protocol, as part of a broad strategy to introduce and standardize patient safety check procedures in hospitals. Aims: This study sought lessons for health sector governance from experiences with the protocol. Did policy implementation differ between States and between hospitals? Did different groups of professionals support or object to the protocol? What strategies were used to promote compliance with the protocol by hospitals and health professionals? Methods: Information was obtained from the eight States and Territories on implementation strategies and audits. A literature review and website search was undertaken. Over 72 interviews were conducted with national and State policy makers, hospital managers, and health professionals. Results: Promulgation of the protocol differed between the States, reflecting different public sector cultures and administrative structures, with the States variously issuing guidelines, policies and directives. Most States left it to hospitals to work out the details of the protocol and many hospitals left it to units and/or clinicians. Most hospitals began by introducing the protocol in operating theatres. The take-up of a protocol within a hospital depends upon its acceptability to health professionals, and introducing a standard procedure into operating theatres proved more difficult than expected, especially since patient identification practices vary between surgical specialties. The protocol also revealed different safety cultures, since nurses generally tend to prefer rules-based practice while surgeons prefer discretionary practice. In some hospitals, rather than an opportunity for team-building, the protocol aggravated tensions between professional groups. Hospital managers tried multiple regulatory mechanisms, both supports and sanctions, to promote compliance. Most began with softer mechanisms, such as information and training, and later escalated to stronger mechanisms, but stopped short of severe sanctions. Some hospital audits suggest that protocol compliance in operating theatres in general rose over four years from below 30 percent to over 70 percent and in some units rose to over 90 percent. Conclusions: Policy makers saw the protocol as a self-evidently sensible solution. Compliance by health professionals, however, proved to be low and slow, especially since the authority attached to the protocol was often ambiguous. Hospital managers proved to be responsive regulators in that they tried multiple regulatory mechanisms. Achieving compliance required supplementing the soft mechanisms traditionally used by the health sector by stronger mechanisms, however, such as directives issued by clinical leaders, and by regular compliance monitoring. Once embedded in operating theatres as ‘the way we do things’, the protocol appears to be low-cost and not intrusive in terms of staff time and effort. Although the principle of a patient safety check generally is accepted, there was little agreement on the principle of a standard protocol, either within many hospitals or within a State, let alone across Australia.
Open Access
Shame, ethical identity and conformity: Lessons from research on the psychology of social influence
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Harris, Nathan
Understanding emotion is essential to developing an account of why people commit crime and how they react when caught. Research across a number of disciplines suggests that shame, which is the focus of this chapter, plays a significant role in how societies gain conformity (Barbalet, 1998; Benedict, 1946; Braithwaite, 1989; Scheff, 1988). The emotion has been described as significant in explaining whether individuals are likely to commit criminal offences (Grasmick & Bursik, 1990; Svensson, 2004; Tittle, Bratton & Gertz, 2003; Wikström, 2004), as well as how individuals respond to criminal justice interventions having been caught (Ahmed, Harris, Braithwaite & Braithwaite, 2001; Braithwaite, 1989; Retzinger & Scheff, 1996). While this breadth of inquiry suggests that shame is an important topic for criminologists, this chapter will draw on social psychological research to argue that current theoretical conceptions do not provide an adequate explanation of the role that shame plays in conformity or deviance. An alternative explanation based on the premise that shame reflects threat to an individual’s ethical-identity will be forwarded. The first task in addressing this question is to explore the way in which shame has already been cast as an emotion that is central to explaining social conformity. Despite being described by many as an inherently social emotion it will be argued that limited attention has been given to understanding the social factors that lead to feelings of shame. We will then turn to some findings from research on social influence. These suggest that shame is unlikely to be an emotion that only reflects fear of disapproval by others. It is argued that the emotion should instead be conceptualised as a response to the perception of having violated an ethical norm, and that this involves threat to the individual's ethical identity. This conception of shame, which was developed as a consequence of an earlier research project (Harris, 2001), is then used to explain the way in which individuals respond to criminal justice interventions. Research that suggests individuals manage shame-related emotions in different ways is reviewed and it is argued that the reactions of others are critical in explaining how an individual responds to the threat shame poses to their identity. Finally, some possible implications for why individuals engage in crime are explored. It is proposed that commitments to moral norms, and conformity to social expectations, are dependent upon having an integrated ethical identity.
Open Access
A national survey on perceptions of how child protection authorities work 2010: The perspective of third parties
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Ivec, Mary; Braithwaite, Valerie; Reinhart, Monika
This report is based on a survey of 427 people from all Australian states and territories who logged on to an ANU web survey and answered 217 questions about the way in which child protection systems across Australia are operating. Those invited to participate had worked alongside child protection authorities and were contacted through numerous email networks that the researchers were able to access either directly or indirectly through colleagues. Snowballing was encouraged, with participants invited to widen the web of people included in the survey. The focus of the survey was on government child protection agencies – how well is government doing in overseeing the child protection system and how well does government work with third parties (including other government agencies such as police) to ensure that children are being cared for. The results reflect systematic criticism with the way in which child protection agencies are connecting to others who occupy professional roles, to families and to carers. Yet there is no evidence that those responding to the survey did not share the same belief that child protection agencies had very important work to do. They simply believed that child protection agencies needed a different way of doing things and needed to work more with other agencies and groups who could offer assistance. Those doing the judging in this survey are third parties – doctors, lawyers, teachers, police, and welfare and health workers with 72% of respondents covered by mandatory reporting legislation. The average number of years respondents worked alongside child protection agencies was 11 years. Their average age was 44 years, 79% were woman and across all respondents 70% had a university degree. The sample comprised 30 respondents who identified as Aboriginal. No claims can be made about the representativeness of this sample because of how it was recruited. The consistency of responses, however, both quantitative and qualitative suggest that the views of this sample of third parties should be taken seriously and used to foster a range of local debates on how child protection authorities may work with communities better. Confidence in the findings can be taken from the similarity of the results with the conclusions of many of the recent reports on the provision of care for children who are abused or neglected in this country (Bamblett, Bath and Roseby 2010; Mullighan 2008; Wood 2008; Ford 2007; Wild and Anderson 2007; Crime and Misconduct Commission 2004; Vardon 2004). What this report adds is an understanding of how people in the field are thinking about child protection – where are the points of controversy and how might they be addressed so that the system can continue to evolve in more positive directions.
Open Access
Why Young People are Less Compliant on Tax: Enduring or Transient Defiance ?
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Braithwaite, Valerie; Smart, Michael; Reinhart, Monika
One of the more consistent predictors of tax non-compliance has been age: Younger people are less compliant in attitude and behaviour than older people. Some interpret this finding as youthful defiance that young people will “age through.” Others ask if tax systems are losing some of their credibility in modern day democracies. Using data from the Community Hopes, Fears and Actions Survey, this paper confirmed that young people are less compliant and have a relatively poor pro-tax sensibility. However, less behavioural compliance on the part of young people could not be explained satisfactorily by their poor pro-tax sensibility. When age and pro-tax sensibility were compared as predictors of compliance across a number of specific compliance outcomes, variables of personal tax ethics and preference for honest tax advice (tax morale variables) were far more important determinants of compliance than the age of the taxpayer. Australia’s taxpaying culture, rather than its youth culture holds the key to high tax compliance.
Open Access
Resetting the relationship' in indigenous child protection: public hope and private reality
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Ivec, Mary; Braithwaite, Valerie; Harris, Nathan
A qualitative study explored the private realities of forty-five Australian Indigenous parents and carers who had experiences with child protection authorities.
Open Access
Applications of reponsive regulatory theory in Australia and overseas
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Wood, Charlotte; Ivec, Mary; Job, Jenny; Braithwaite, Valerie
The following document outlines some examples of responsive regulation applications, both in Australia and overseas. The document tends not to comment conclusively on the success of the approach’s application. Often it is difficult to assess even whether responsive regulation principles have been translated into practice in each example or whether they have simply been endorsed aspirationally. Finally, it should be noted that the list is not exhaustive. It simply provides some examples that practitioners might be able to discuss with colleagues who have attempted to implement the approach.
Open Access
Neoliberalism or Regulatory Capitalism?
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Braithwaite, John
Jacint Jordana and David Levi-Faur have provided systematic evidence that, since 1980, states have become rather more preoccupied with steering and less with rowing. Yet non-state regulation has grown even more rapidly, so it is not best to conceive of the era in which we live as one of the Regulatory State, but of Regulatory Capitalism. It is argued that Regulatory Capitalism is not about neoliberalism, indeed that those who think we are in an era of neoliberalism are mistaken. The corporatisation of the world is conceived as a product of regulation and the key driver of regulatory growth, indeed of state growth more generally. The reciprocal relationship between corporatisation and regulation creates a world in which there is more governance of all kinds.
Open Access
Australia's HECS Policy: Fewer Social, but more Political Barriers
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Braithwaite, Valerie; Ahmed, Eliza
This paper is one of a series that has empirically tested the proposition that whilst the Higher Education Contribution Scheme (HECS) was implemented with the intention of improving access to university education for all Australians, it has had unexpected and unwanted consequences for governance more generally, particularly of the tax system. We use data from the “Graduates’ Hopes, Visions and Actions Survey” based on a sample of 447 Australian graduates who recently completed their tertiary education. Findings suggest that while HECS policy appears to have met its objective of enabling less privileged groups to obtain a university degree, it has also given rise to resistance to the policy, to paying back the loan and tax evasion. This research demonstrates the dangers of implementing higher education policy in a way that dissociates the economic aspects of policy from the social and community attitudes in which it is inevitably embedded.
Open Access
Tax Office prosecututions: Firm and Fair Regulatory Enforcement?
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Roche, Declan
In recent years, the Australian Taxation Office has gone to some pains to present itself as a responsive, cooperative, almost friendly, bureaucracy. At the same time, however, the Tax Office has also publicized its ongoing efforts to get tougher on those citizens who evade tax. The combined effect of these campaigns is to send the message that while the Tax Office prefers to interact with taxpayers in a cooperative, and non-coercive way, it is also ready and willing to take tougher action when this is called for. In many respects this dual track approach is sensible. Tax collection depends to a large extent on voluntary compliance. A regulatory approach that expresses trust in honest taxpayers, as well as a preparedness to firmly deal with dishonest taxpayers, can do much to boost compliance. However, firm enforcement is not as easy as it seems. The effectiveness of prosecution is undermined, by a lack of concern – whether real or perceived – for procedural injustice, the informal effects of formal penalties, and possible enforcement biases. The first part of this paper describes the Tax Office’s dual approach to tax collection. The second outlines the benefits of this approach, while the third outlines some of the possible pitfalls of such an approach, drawing on interviews with Australians who have been prosecuted and imprisoned for tax offences. The fourth section suggests some of the implications for compliance activities in the tax arena, and the final section explores the relevance of this study for the responsive regulatory theory on which Tax Office practice is partly based.
Open Access
Tax Morale amongst Used Car Dealers
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Waller, Vivienne
Attitudes of used car dealers to taxation is of significance to the Australian Taxation Office (ATO) because of suspected non-compliance in the used car industry. Motorvehicle retailing was named in the ATO 2003/2004 Compliance Program as a highrisk industry in the cash economy and hence to be subject to ATO focus, including unannounced ‘walk-in’ registration visits. This paper presents a snapshot of the tax morale of a group of 18 very small businesses dealing in used cars. Tax morale (Frey 1997) is the intrinsic motivation that people have to voluntarily pay tax (Torgler 2003). The literature suggests that tax morale is partially determined by the level of trust and confidence in the tax system (Sparrow 1994; Murphy 2002) including perceptions of whether or not the system is fair (Murphy 2003; Taylor 2003). Taxpayers assess the fairness of the tax office in both relative terms, that is, the share of tax they pay compared to others (Wenzel 2004) and in procedural terms, that is, whether they are treated respectfully, impartially and responsively by the ATO (Braithwaite and Reinhart 2000). The Taxpayer’s Charter has been developed to ensure that the ATO is procedurally fair, and is seen as such (Australian Taxation Office 2003). Perceptions of relative fairness depend upon a conviction that the tax laws are fair as well as a belief that other people are not getting away with not meeting their tax obligations. In addition to tax morale, other factors affecting tax compliance are fear of the law and perceptions that the ATO has the power to enforce compliance (Braithwaite 2003). This paper does not explore these other factors but focuses on tax morale. The data presented in this paper were based on interviews with used car dealers one to three weeks after they had been subject to an Unannounced Registration Integrity Check from the ATO. In addition to providing insights about car dealer tax morale and hence compliance, this paper also presents a taxpayer perspective on the TaxPayers’ Charter.
Open Access
The One that Got Away: Detecting Non-compliance in order to Ensure Voluntary Compliance
(The Australian National University, Regulatory Institutions Network (RegNet)) Australian National University. Regulatory Institutions Network; Waller, Vivienne
Based on responsive regulation, the Australian Taxation Office (ATO) compliance model was developed as a way of dealing with the complexities of the Australian tax system. The title of this article ‘The one that got away’ refers both to the job of ATO field officers, to catch the non-compliant taxpayer who eludes the system, and to the main argument of this paper, that the issue of detecting non-compliance has slipped away from the discourse of responsive regulation, and in particular, the ATO compliance model. Using evidence from a qualitative study of ATO ‘walk-ins’ with used car dealers, I demonstrate the negative consequences this has for the effective practice of responsive regulation. I conclude by suggesting that regulatory agencies should aim for institutional integrity (Selznick 1992) both at a broad theoretical level and in everyday practices.

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