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Information Technology Services 2RMIT University©2008
General Theory of Coherent Regulation
• Nature of regulatory problems
• Overall structure of regulatory systems
• Nature and role of coherence
• Coherent Systems Approach
1. Problematisation: organising problem
2. Framing and policy
3. Structure
4. Substantive
5. Compliance
Information Technology Services 3RMIT University©2008
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 4RMIT University©2008
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 6RMIT University©2008
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 7RMIT University©2008
Regulation: Organising Problem
• Types of organising problems
– Social, collective problem
– Risk
– Opportunity
• Some aspect of 1 or more
Information Technology Services 8RMIT University©2008
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 10RMIT University©2008
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 11RMIT University©2008
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 13RMIT University©2008
Positive Dimension
• Technical issues
– Structural layer
– Substantive layer
– Operational layer
Information Technology Services 15RMIT University©2008
Structure
• Control structures
• Centralised
• De-centered
• Distributed
• Delegated and Private
Information Technology Services 17RMIT University©2008
Structure
• Accountability mechanisms
• Government
• Judicial Review
• Markets and managers
Information Technology Services 18RMIT University©2008
Substantive Coherence
• Governance mechanisms
– Functions
– Jurisdictional authority
– Powers
Information Technology Services 19RMIT University©2008
Operational Coherence
• Compliance
– Cognitive compliance
– Explicit aspects of compliance
• Enforcement