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Managing Complaint Mechanisms for Regulatory Enforcement: Evidence From Human Rights Institutions During the COVID ‐19 Pandemic 管理监管执法投诉机制:来自COVID - 19大流行期间人权机构的证据
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-29 DOI: 10.1111/rego.70084
Nicole De Silva
How do regulatory bodies ensure that including the beneficiaries of regulation in regulatory processes improves governance? In many regulatory arrangements, beneficiaries' “fire alarm” monitoring and reporting of targets' violations via complaint mechanisms activate regulatory bodies' enforcement role. This article theorizes how beneficiaries may misuse complaint mechanisms, undermine regulators' performance, and prompt regulators to adopt strategies within and beyond the complaint process to regulate beneficiaries' behavior. It argues regulators' assessment of the issues driving misuse and their enforcement approach (cooperative or deterrent) affect their strategies for influencing beneficiaries. Case studies of two Canadian human rights institutions, which have different enforcement approaches but experienced similarly extreme levels of beneficiary misuse during the COVID‐19 pandemic, evaluate these theoretical claims. Overall, the study illustrates potential enforcement challenges arising from using beneficiaries as intermediaries for monitoring and reporting violations and how regulating beneficiary participation may be required to improve decentralized regulatory governance.
监管机构如何确保在监管过程中纳入监管的受益者,从而改善治理?在许多监管安排中,受益人通过投诉机制对目标的“火警”监测和报告违规行为,激活了监管机构的执法作用。本文从理论上阐述了受益人如何滥用投诉机制,破坏监管者的绩效,并促使监管者在投诉过程内外采取策略来规范受益人的行为。报告认为,监管机构对导致滥用的问题的评估及其执法方法(合作或威慑)影响了它们影响受益人的策略。两个加拿大人权机构采用不同的执法方法,但在COVID - 19大流行期间经历了类似极端程度的受益人滥用,对这两个机构的案例研究对这些理论主张进行了评估。总体而言,该研究说明了利用受益人作为监督和报告违规行为的中介所带来的潜在执法挑战,以及如何规范受益人的参与,以改善分散的监管治理。
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引用次数: 0
Competing Under Oath: Can Honesty Pledges Reduce Cheating in Competitive Environments? 宣誓竞争:诚实的承诺能减少竞争环境中的作弊行为吗?
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-28 DOI: 10.1111/rego.70099
Ronit Montal‐Rosenberg, Eyal Peer, Yuval Feldman
People frequently compete with one another for awards, benefits, contracts, positions, or roles. One of the regulatory challenges in these contexts lies in preventing people from making dishonest claims to win such competitions. Honesty pledges, asking people to commit to ethical behavior ex ante, have been found to reduce cheating under non‐competitive settings (when rewards were given based on individual reports only). However, as people behave differently under competitive settings, it is unclear whether honesty pledges could be effective and recommended in such situations as well. In four experiments, we apply honesty pledges to competitive and non‐competitive settings, finding that pledges remain effective in reducing cheating behavior under competitive contexts (Studies 1–4). Moreover, this effect is not crowded out if a sanction (fine) is added to the honesty pledge (Study 2). Honesty pledges are also effective among people who tend to cheat more, due to low or overestimated task‐related ability (Study 2) or due to high competitiveness (Study 3). Additionally, people's estimations regarding others' cheating behavior explain why pledges accompanied by descriptive honesty norms affect cheating behavior (Study 3). Lastly, even in high‐stakes competitive environments that demonstrably increased dishonesty, honesty pledges remained effective in reducing dishonesty (Study 4). These findings demonstrate that honesty pledges can serve as effective non‐coercive regulatory instruments to reduce dishonesty in competitive environments, offering advantages over traditional enforcement mechanisms while remaining effective even among individuals most prone to cheating and under high‐stakes conditions, with important implications for organizational policy design and regulatory approaches.
人们经常为了奖励、福利、合同、职位或角色而相互竞争。在这种情况下,监管方面的挑战之一在于防止人们为了赢得此类竞争而做出不诚实的声明。诚实承诺,要求人们事先承诺道德行为,被发现可以减少非竞争环境下的作弊行为(当奖励仅基于个人报告时)。然而,由于人们在竞争环境下的行为不同,目前尚不清楚诚实承诺在这种情况下是否有效和值得推荐。在四个实验中,我们将诚信承诺应用于竞争和非竞争环境中,发现在竞争环境中,诚信承诺在减少作弊行为方面仍然有效(研究1-4)。此外,如果在诚信承诺中加入制裁(罚款),这种效应也不会被挤出(研究2)。诚实承诺对那些倾向于作弊的人也有效,因为他们的任务相关能力较低或被高估(研究2),或者由于竞争能力强(研究3)。此外,人们对他人作弊行为的估计解释了为什么伴随着描述性诚实规范的承诺会影响作弊行为(研究3)。最后,即使在明显增加不诚实行为的高风险竞争环境中,诚实承诺仍然有效地减少不诚实行为(研究4)。这些发现表明,诚信承诺可以作为有效的非强制性监管工具,在竞争环境中减少不诚实行为,提供优于传统执法机制的优势,同时即使在最容易作弊的个人和高风险条件下也保持有效,这对组织政策设计和监管方法具有重要意义。
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引用次数: 0
The Governor's Dilemma and Regime Complexity: Diversification and Differentiation 总督困境与制度复杂性:多样化与分化
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-28 DOI: 10.1111/rego.70091
David Hagebölling
States, firms, and other types of governors routinely rely on intermediaries to govern issues on their behalf. Such indirect governance drives regime complexity: governors frequently enlist multiple intermediaries for governing an issue. I theorize that governors foster complexity to maximize utility from indirect governance. When governors enlist intermediaries, they face the governor's dilemma: a tradeoff between the competence they can obtain and the control they can exert, I identify two strategies for mitigating this dilemma. Diversification creates competition among intermediaries providing similar competencies to prevent drift and slack. Differentiation promotes complementarity among intermediaries to exploit variation in the control elasticity of different competency types. In each case, governors increase regime complexity to obtain a preferred combination of competence and control. I illustrate my argument with examples from international cooperation. I conclude with a discussion of the broader implications of the article's findings for international relations and political science scholarship.
州、公司和其他类型的管理者通常依靠中介机构来代表他们处理问题。这种间接治理推动了制度的复杂性:管理者经常招募多个中介机构来治理一个问题。我的理论是管理者培养复杂性以最大化间接治理的效用。当管理者聘请中介机构时,他们面临着管理者的困境:在他们可以获得的能力和他们可以施加的控制之间进行权衡,我确定了两种缓解这种困境的策略。多样化创造了中介机构之间的竞争,这些中介机构提供了类似的能力,以防止漂移和松懈。差异化促进中介之间的互补,以利用不同胜任力类型控制弹性的差异。在每种情况下,管理者都增加了制度的复杂性,以获得能力和控制的首选组合。我用国际合作的例子来说明我的论点。最后,我将讨论这篇文章的发现对国际关系和政治科学学术的更广泛影响。
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引用次数: 0
Navigating Eco‐Social Policymaking: Trends, Drivers, and Barriers. Introduction to the Special Issue 引导生态社会政策制定:趋势、驱动因素和障碍。特刊简介
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-25 DOI: 10.1111/rego.70048
Matteo Mandelli, Ekaterina Domorenok, Paolo Graziano, Katharina Zimmermann
In recent years, research on the integration between social and ecological policies has significantly expanded, highlighting the multiple ways in which these two domains interact. Concepts such as “just transition” and “sustainable welfare” have gained prominence as normative frameworks capturing these interconnections. However, despite the increasing scholarly attention, several important theoretical, conceptual, and empirical gaps remain, particularly regarding how social and ecological spheres intersect across different political systems. This Special Issue contributes to this debate by exploring the complex policymaking dynamics underlying eco‐social policies. Before presenting the contributions, this introductory article provides a thorough review of existing studies on eco‐social policies. The review serves a dual purpose: first, it synthesizes existing knowledge, identifying key gaps; second, it allows us to develop a comprehensive framework to understand eco‐social policymaking, based on a political system or systemic approach. This framework conceptualizes eco‐social policies as the output of a process driven by escalating eco‐social risks and concerns. Citizens' attitudes and voting behavior regarding social and environmental policies serve as the initial inputs that shape policy outputs. Within this system, eco‐ and welfare regimes represent the broader institutional contexts in which political parties and organized interest groups compete to find solutions to eco‐social conflicts and eventually supply eco‐social policies.
近年来,关于社会政策与生态政策整合的研究得到了显著扩展,突出了这两个领域相互作用的多种方式。“公正过渡”和“可持续福利”等概念作为捕捉这些相互联系的规范性框架而获得了突出地位。然而,尽管越来越多的学术关注,一些重要的理论、概念和经验差距仍然存在,特别是关于社会和生态领域如何在不同的政治制度中交叉。本期特刊通过探讨生态社会政策背后复杂的决策动态,为这场辩论做出了贡献。在介绍贡献之前,这篇介绍性文章对现有的生态社会政策研究进行了全面的回顾。审查有双重目的:首先,它综合现有知识,找出关键差距;其次,它使我们能够建立一个全面的框架来理解基于政治制度或系统方法的生态社会政策制定。该框架将生态社会政策概念化为不断升级的生态社会风险和关注所驱动的过程的输出。公民对社会和环境政策的态度和投票行为是形成政策产出的初始输入。在这一体系中,生态和福利制度代表了更广泛的制度背景,在这种背景下,政党和有组织的利益集团竞相寻找解决生态社会冲突的办法,并最终提供生态社会政策。
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引用次数: 0
Non‐State Actor Reactions to the European Green Deal: Implications for Eco‐Social Integration 非国家行为体对欧洲绿色协议的反应:对生态社会一体化的影响
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-24 DOI: 10.1111/rego.70089
Julia C. Cremer
In response to the interconnected ecological and social crises, there is growing interest in the integration of climate and social policy, both in academic discourse and in public debate. While the European Union has begun to address both dimensions jointly through the European Green Deal (EGD), it remains institutionally separate at the national level. Non‐state actors on both levels are increasingly engaged in debates about the social consequences of climate change and related policies. Drawing on field theory , this article conceptualizes the EGD as a field intervention and examines how national‐level actors respond to it—specifically, whether these responses signal an emerging field change . Using Germany as a case study, the article analyzes a dataset of public communications by non‐state actors in the eco‐social nexus at both the EU and the national level. A mixed‐methods approach combines computer‐assisted quantitative text analysis tools such as Structural Topic Modeling and Sentiment Analysis with selective qualitative document analysis. The findings reveal three distinct actor types and their respective strategies: (1) less‐equipped challengers, who largely ignore the EGD; (2) well‐equipped challengers, who engage with it to advance eco‐social demands; and (3) incumbents, who either frame the EGD positively to promote investments in their respective industry or explicitly oppose its objectives. Given the dominance of incumbents' strategies in the debate, combined with their structural advantages, the article concludes that the EGD is unlikely to trigger substantial field change toward national eco‐social integration—yet it offers critical discursive opportunities for challengers.
为了应对相互关联的生态和社会危机,在学术论述和公共辩论中,人们对气候和社会政策的整合越来越感兴趣。虽然欧盟已经开始通过《欧洲绿色协议》(EGD)共同解决这两个方面的问题,但在国家层面上,它仍然在制度上是分开的。这两个层面的非国家行为体越来越多地参与到关于气候变化的社会后果和相关政策的辩论中。根据现场理论,本文将EGD概念化为现场干预,并研究了国家层面的参与者如何对此做出反应,特别是这些反应是否标志着新兴的领域变化。本文以德国为例,分析了欧盟和国家层面的非国家行为体在生态社会关系中的公共传播数据集。混合方法将计算机辅助的定量文本分析工具(如结构主题建模和情感分析)与选择性定性文档分析相结合。研究结果揭示了三种不同的参与者类型及其各自的策略:(1)装备较差的挑战者,他们在很大程度上忽略了EGD;(2)装备精良的挑战者,他们参与其中以推进生态社会需求;(3)现任者,他们要么积极地制定EGD以促进各自行业的投资,要么明确反对其目标。鉴于现有战略在辩论中的主导地位,结合其结构优势,本文得出结论,EGD不太可能引发国家生态社会一体化的实质性领域变革,但它为挑战者提供了关键的话语机会。
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引用次数: 0
“A Normal, Natural Tension”: Accountability Professionals' Use of Normalization to Navigate Defensive Organizational Reactions “一种正常的、自然的紧张”:问责专业人士使用规范化来引导防御性组织反应
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-22 DOI: 10.1111/rego.70094
Claire Penty Sieffert
Accountability infrastructures' spread may give the impression that organizations are embracing accountability. Yet accountability professionals continue to encounter defensive reactions from those they are holding accountable. How do they navigate these reactions? Looking at the case of professionals in independent accountability mechanisms—grievance mechanisms at development finance institutions—this article identifies one approach: normalizing defensive reactions. Normalization is an emotion management strategy. It casts defensive reactions as an expected and explainable part of accountability processes. Particularly when accountability mechanisms depend on organizational stakeholders' participation, I argue normalization can help professionals diminish potential strain and keep running accountability processes—but only when defensive reactions do not cross boundaries that professionals draw between what is expected and not. For research and institutions, this raises future questions not only about emotions' role in accountability processes, but also about what organizational reactions should be expected in “normal” accountability and what inequalities could surround these expectations.
问责制基础设施的普及可能给人一种印象,即组织正在接受问责制。然而,问责专业人士仍然会遇到那些他们要问责的人的防御性反应。他们是如何应对这些反应的?以独立问责机制(发展金融机构的申诉机制)中的专业人员为例,本文确定了一种方法:使防御反应正常化。正常化是一种情绪管理策略。它将防御性反应视为问责过程中可预期和可解释的一部分。特别是当问责机制依赖于组织利益相关者的参与时,我认为规范化可以帮助专业人员减少潜在的压力,并保持问责过程的运行——但前提是,防御性反应不会跨越专业人员在预期和不预期之间划定的界限。对于研究和机构来说,这不仅提出了关于情绪在问责过程中的作用的未来问题,而且还提出了关于在“正常”问责中应该期待什么样的组织反应以及围绕这些期望可能存在哪些不平等的问题。
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引用次数: 0
On the Performance‐Based Legitimacy of Financial Action Task Force: A Quantitative Exploration 金融行动特别工作组基于绩效的合法性:定量探索
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-15 DOI: 10.1111/rego.70088
Guo Cheng, Bo Wen
How legitimate is Financial Action Task Force (FATF)? We address this question with cross‐country evidence spanning performance‐wise aspects—standards, evaluation, strategy. FATF's legitimacy needs strengthening. Standards‐wise, compliance to FATF's Recommendations generally contributes to both FATF's and external effectiveness proxies, yet the latter has much weaker evidence. Granularly, FATF's Recommendations pose challenges for good‐faith developing states, since capacity constraints hinder compliance and effectiveness conversion. Evaluation‐wise, the effectiveness appraisal may be biased due to heavy reliance on compliance ratings, evidenced by weak correlations with external corruption control and financial transparency indicators. Strategy‐wise, though enhanced follow‐up boosts persistent compliance, the dominantly punitive strategy system is detrimental to good‐faith yet low‐capacity states. Theoretically, we build an extended framework on Mitchell's theory by deepening the analysis of effectiveness and justifying its applicability to non‐binding institutions. We also enrich the dialogue on the legitimacy of international organizations by presenting a quantitative, objective approach using official data.
金融行动特别工作组(FATF)的合法性如何?我们解决了这一问题与跨国证据跨越绩效明智的方面-标准,评估,战略。FATF的合法性需要加强。就标准而言,遵守FATF的建议通常有助于FATF和外部有效性代理,但后者的证据要弱得多。具体而言,FATF的建议给善意的发展中国家带来了挑战,因为能力限制阻碍了合规和有效性转换。在评估方面,由于严重依赖合规性评级,有效性评估可能存在偏差,这与外部腐败控制和财务透明度指标的弱相关性证明了这一点。在战略方面,虽然加强后续行动可以促进持续遵守,但主要的惩罚性战略系统不利于诚信但能力低下的国家。在理论上,我们通过深化对有效性的分析并证明其适用于非约束性制度,在米切尔理论的基础上构建了一个扩展框架。我们还通过使用官方数据提出一种定量、客观的方法,丰富了关于国际组织合法性的对话。
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引用次数: 0
Corporate Power in a Multistakeholder World: Venue Hopping and the Multilevel Politics of Ultra‐Processed Food 多利益相关者世界中的企业权力:超加工食品的场所选择和多层次政治
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-14 DOI: 10.1111/rego.70086
Rob Ralston, Ben Hawkins
The regulation of business is increasingly characterized by “soft” governance regimes that blur the boundaries of public and private authority, as signaled by the rapid proliferation of multistakeholder initiatives in global governance. This article explores how the spread of multistakeholderism creates opportunities for new forms of strategic action, enabling actors to participate in multiple fora, successively or simultaneously in order to pursue a particular agenda. The article focuses on multistakeholder initiatives in UK food policy and corporate political strategy in the regulation of ultra‐processed food. We adapt the concept of venue shopping, introducing the idea of venue hopping, which captures how actors advance agendas in multiple spaces and at multiple political levels. The analysis traces negotiations across two food policy partnerships, showing how industry actors operated in and between venues, playing one setting off against the other.
商业监管越来越多地以“软”治理制度为特征,模糊了公共和私人权力的界限,正如全球治理中多利益相关者倡议的迅速扩散所表明的那样。本文探讨了多利益相关者主义的传播如何为新形式的战略行动创造机会,使行动者能够先后或同时参与多个论坛,以追求特定议程。本文重点关注英国食品政策中的多方利益相关者倡议和超加工食品监管中的企业政治战略。我们采用了场地购物的概念,引入了场地跳跃的概念,它捕捉了参与者如何在多个空间和多个政治层面推进议程。该分析追踪了两个食品政策伙伴关系的谈判,展示了行业参与者如何在场地内和场地之间运作,以一种方式对抗另一种方式。
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引用次数: 0
Green Subsidies and the Promotion of Eco‐Social Policy in Germany and the United States 德国和美国的绿色补贴与生态社会政策的推动
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-10-02 DOI: 10.1111/rego.70087
Benedikt Bender, Daniel Kinderman
The climate crisis poses an acute threat to humanity. Eco‐social policy can help mitigate this threat, but eco‐social policy and the green transition are expensive. Our paper contributes to a better understanding of the role that green subsidies play in advancing eco‐social politics and policies. We assert that green subsidies increase the political viability of eco‐social policies. Green subsidies lead trade unions and business organizations to support eco‐social policies, regardless of institutional differences. We illustrate these positive‐sum effect dynamics with a most different systems design that compares green subsidies and eco‐social policies in Germany (subsidies, qualification and training measures, coal phase‐out strategy, green housing) with the United States (climate‐related tax credits, Inflation Reduction Act, and green housing). Based on a content analysis of documents and interviews, our comparison of business organizations and unions in both countries reveals strong and broad support for green subsidies in combination with eco‐social policies. We also discuss the second Trump administration and suggest that green subsidies help advance the green transformation in the face of significant political adversity.
气候危机对人类构成严重威胁。生态社会政策可以帮助缓解这一威胁,但生态社会政策和绿色转型是昂贵的。我们的研究有助于更好地理解绿色补贴在推动生态社会政治和政策方面的作用。我们认为,绿色补贴增加了生态社会政策的政治可行性。绿色补贴引导工会和商业组织支持生态社会政策,而不考虑制度差异。我们通过最不同的系统设计来说明这些正和效应动态,将德国的绿色补贴和生态社会政策(补贴、资格和培训措施、煤炭淘汰战略、绿色住房)与美国的(与气候相关的税收抵免、通货膨胀减少法案和绿色住房)进行比较。基于对文献和访谈的内容分析,我们对两国的商业组织和工会进行了比较,结果显示,绿色补贴与生态社会政策相结合得到了强大而广泛的支持。我们还讨论了第二届特朗普政府,并提出绿色补贴有助于在面临重大政治逆境时推进绿色转型。
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引用次数: 0
When Business Breaks the Rules: The Value of a Criminology‐Informed “Organizational” Perspective for the Regulation of White‐Collar and Corporate Crimes 当企业违反规则:犯罪学知情的“组织”视角对白领和企业犯罪监管的价值
IF 3 2区 社会学 Q1 LAW Pub Date : 2025-09-26 DOI: 10.1111/rego.70083
Nicholas Lord, Michael Levi
This article argues that if the aspiration is to enhance regulatory and governance responses to white‐collar and corporate crimes, consideration of the organization of these offending behaviors must be central to the scholarly, practice, and policy discussion. Regulation and governance scholarship has thrived as a field of study in its contributions to the theories and practices of regulation (and regulators) but has backgrounded the dynamics of how regulatees organize their rule‐breaking behaviors, and the implications of this for intentional interventions. Criminology has advanced our understanding of the procedural aspects of crimes but has largely marginalized business and organizational offending, with proportionately few criminologists displaying interest in how better to regulate organizations that violate the rules. To help bridge these gaps, in this article we draw on an “organizational perspective” to argue that “good enough” regulatory approaches should be directly informed by an understanding of how and why such crimes or offending behaviors are organized in the ways they are, and of the factors that shape these dynamics over time within particular contexts. We argue for the development of a program of research that synthesizes abstract and concrete research inquiry, and that challenges regulation academics to identify the necessary and contingent structures, mechanisms, and conditions that combine to produce white‐collar and corporate rule‐breaking behaviors to develop more plausible regulatory interventions, on a spectrum from immediate to long‐lasting.
本文认为,如果希望加强对白领和企业犯罪的监管和治理,那么对这些犯罪行为的组织的考虑必须成为学术、实践和政策讨论的核心。监管和治理学术在其对监管(和监管机构)的理论和实践的贡献中蓬勃发展,但其背景是监管机构如何组织其违反规则行为的动态,以及这对有意干预的影响。犯罪学提高了我们对犯罪程序方面的理解,但在很大程度上边缘化了商业和组织犯罪,不成比例地,很少有犯罪学家对如何更好地监管违反规则的组织感兴趣。为了帮助弥合这些差距,在本文中,我们利用“组织视角”来论证“足够好”的监管方法应该直接通过理解这些犯罪或冒犯行为是如何以及为什么以他们的方式组织的,以及在特定背景下随着时间的推移形成这些动态的因素。我们主张发展一个综合抽象和具体研究探究的研究项目,并向监管学者提出挑战,以确定必要的和偶然的结构、机制和条件,这些结构、机制和条件结合起来,产生白领和企业的违规行为,从而在从即时到长期的范围内制定更合理的监管干预措施。
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引用次数: 0
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Regulation & Governance
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