Regulatory Tools Research Articles

Effects of the Labour Inspectorate Authority’s regulatory tools on psychosocial and biomechanical work factors in Norwegian home care services: a cluster randomised controlled trial

ObjectivesThis study aimed to determine the effects of the Labour Inspectorate Authority’s (LIA’s) regulatory tools on psychosocial and biomechanical work factors in the Norwegian municipal home care services.MethodsA cluster-randomised controlled...

The political conditions of the rise of real-estate developers in French housing policies

Over the last two decades, real estate developers have become key players in the housing sector in France. This evolution has several dimensions: developers’ share of the housing construction market has increased, their geographical areas of intervention have expanded and their weight in social housing construction has soared. Since privatization and financialization are not adequate frameworks to account for the rise of these actors in the French housing context, other explanations are here explored. This article shows that the rise of real estate developers is mostly the result of changes led by national and local governments to gain capacity for action in a constrained budgetary context. More precisely, it investigates two policy instruments that have favored the developers’ expansion. First, tax expenditures for rental investment and, second, VEFA-HLM – a regulatory tool enabling the construction of social housing by real estate developers. Both instruments seek to enroll real estate developers in implementation, while political actors try to maintain control over decisions, and more broadly over the main orientations of housing policies. This article thus contributes to analyzing how, i.e. by which instruments, public actors can foster the rise of private economic actors in the development of urban policies.

Non-linear effects of heterogeneous environmental regulations on industrial relocation: Do compliance costs work?

Reasonably designing environmental regulations for compliance-driven industrial relocation can avoid new pollution havens. The Cournot duopoly model simulates that the necessary condition for industrial relocation is differentiated market costs. Then, based on the province-industrial data of six Chinese pollution-intensive industries during 2005–2019, this study applies spatial Durbin model to explore the non-linear effects of heterogeneous environmental regulations on industrial relocation. Results shown that command-and-control environmental regulation manifests a U-shaped curve with local industrial relocation, with inverted U-shaped spillover effect radiating a road distance of 650 km, and both internal and external costs play the mediating roles; Market incentive environmental regulation has inverted U-shaped curves with industrial relocation in local and neighboring regions, it creates dual costs and works well in both short and long terms, which is the most potential regulatory tool to avoid pollution relocation accompanying industrial relocation; Voluntary environmental regulation exhibits inverted U-shaped relationships with industrial relocation in direct and spillover effects, and works through increased external cost rather than internal cost. Its spatial spillover radiates the longest 1250 km due to rapid spread of public opinions, but this effect takes more than 3 years to be effective.

How Do Nutritional Warning Labels Affect Prices?

Obesity is increasing worldwide, and in many countries, the problem is particularly serious among lower-income groups. Front-of-pack nutritional warning labels are a prominent regulatory tool to fight obesity and have been implemented or are currently being debated in many countries. Existing studies document that warning labels incentivize consumers to substitute away from unhealthy products. However, not much is known about equilibrium price changes in response to consumers’ utility for warning labels. Using household purchase data in the cereal category, this article studies the adjustments of prices after the mandatory introduction of warning labels in Chile. The authors develop a model showing that warning labels lead to higher prices of labeled cereals, as is also observed in data. In contrast, prices of unlabeled products tend to drop or at least increase less, incentivizing price-sensitive consumers to remain in the category. The authors decompose postlabeling market share adjustments into a pure label effect that fixes prices at initial levels after regulation and a total effect that accounts for price reoptimizations. Their findings point to self-enforcing effects of a warning label regulation as the price adjustments amplify policy makers' goal of reducing unhealthy food intake, especially because market forces incentivize low-income segments to choose healthier alternatives.

What factors drive policy transfer in smart city development? Insights from a Delphi study

Smart city initiatives are viewed as an input to existing urban systems to solve various problems faced by modern cities. Making cities smarter implies not only technological innovation and deployment, but also having smart people and effective policies. Cities can acquire knowledge and incorporate governance lessons from other jurisdictions to develop smart city initiatives that are unique to the local contexts. We conducted two rounds of surveys involving 23 experts on an e-Delphi platform to consolidate their opinion on factors that facilitate policy transfer among smart cities. Findings show a consensus on the importance of six factors: having a policy entrepreneur; financial instruments; cities’ enthusiasm for policy learning; capacity building; explicit regulatory mechanisms; and policy adaptation to local contexts. Correspondingly, three policy recommendations were drawn. Formalizing collaborative mechanisms and joint partnerships between cities, setting up regional or international networks of smart cities, and establishing smart city repositories to collect useful case studies for urban planning and governance lessons will accelerate policy transfer for smart city development. This study sheds light on effective ways policymakers can foster policy learning and transfer, especially when a jurisdiction's capacity is insufficient to deal with the uncertainties and challenges ahead. • Consolidated opinions of 23 experts via two rounds of e-Delphi study on smart cities. • Identified six key factors to foster policy learning and transfer in smart cities. • Policy capacity, context sensitivity, financial and regulatory tools are crucial. • Policy entrepreneurs and enthusiasm to learn also drive inter-city policy transfer. • We also suggest formalising collaborative mechanisms and smart city repositories.

The Effect of Regulations on Stock Market Risk (Volatility) in Nigeria

Recent regulations are directed at mitigating financial market risk, because risks, especially volatility dampen investors’ confidence, and hinder firms’ ability to raise funds at the exchange. Though, volatility had been investigated in the past, the joint utilization of micro and macro regulatory tools to address it after the global crisis is rare. It is on this backdrop that this study investigates the effect of regulations on stock market risk (volatility) in Nigeria. Thirteen interest charging banks listed in the Nigerian Exchange Limited for the period of 2010-2020 were investigated, because bank stocks are mostly traded at the exchange. Data for this study were collected from the banks’ annual reports, stock exchange official daily price lists as well as the Central Bank of Nigeria Statistical Bulletin various issues. The first difference generalized method of moments (DGMM) and the dynamic model were engaged in the investigation. Results of this study reveal that regulatory liquidity ratio and monetary policy rate positively and significantly impact stock market risk (volatility), while prescribe cash reserve ratio has negative and significant effects. The implication of this finding is that regulations except cash reserve instruments constitute frictions impacting equity market risk. Therefore, it is recommended that caution is exercised in the use of micro and macro regulatory weapons. Otherwise, investors’ confidence will decline and investments will reduce.

Inconsistent, downplayed, and pathologized: How mining's gendered impacts are considered in BC environmental assessment

To what extent do mining environmental assessments in British Columbia (BC) consider gendered impacts? How are they considered? And how are these considerations shaped during the environmental assessment process? To answer these questions we undertook a systematic review of all completed BC mining environmental assessments between 1995 and 2019 (n = 37). Through a careful reading of documentation archived in the BC Environmental Assessment Office registry, we found that 60% of projects did not consider the gendered impacts of mining development; the remaining 40% of projects inconsistently assessed gendered impacts. While noting an increase in gender considerations in environmental assessments since 1995, also quantified in our results is what has not changed. Even where gender is considered, the assessments often collapse this concern into one of “women's issues,” obscuring intersectional impacts and downplaying violence along racialized and gender diverse lines, including those experienced by Indigenous women, children, two‐spirit, trans, queer and non‐binary people. Environmental assessment is a regulatory tool designed to adjudicate the impacts of mining projects, yet our results lead us to conclude that it is also a tool of environmental injustice, compounding and further sedimenting heteropatriarchal and racialized patterns produced through generations of settler colonial resource extraction in BC.

Inter-American Elements for a Systemic Approach to State-Owned Enterprises’ Human Rights Obligations

AbstractThis article addresses the lack of clarity regarding obligations of state-owned enterprises in the UN Guiding Principles on Business and Human Rights. Starting from the Inter-American Commission of Human Rights’ latest report on the topic, it develops the scope of human rights obligations for state-owned enterprises in the Americas, framing them in a systemic approach that calls for using both governance and regulatory tools to achieve respect for human rights. The article furthermore argues that there are good reasons for limiting the application of due diligence to the relationships with a company’s private business partners, excluding the relationship with its (public) owner where direct responsibility applies. Finally, the article spells out several specific issues that need to be addressed when assessing SOE human rights governance and shows that the enhanced human rights accountability of state-owned enterprises need not contradict a level playing field between public and private business.

US and Global Energy Security: Where We Are Falling Short

As the United States and nations around the world seek to transition to a low‐carbon economy and increase our energy security, our current energy technology and regulatory tools appear woefully inadequate. In their current state, these tools won't expedite the planning, building, and operating of our future energy infrastructures. Rather than creating a policy toolbox capable of successfully aiding the transition, the tools leveraged in the United States are creating a circular self‐propagating system that only painstakingly “moves the needle” forward to achieve energy security and long‐term sustainability.

The impacts of heterogeneous traffic regulation on air pollution: Evidence from China

• We explore the emission reduction potential of two environmental regulatory tools. • In the long term, driving restrictions confronts the risk of policy failure. • The benefit of subsidy takes effect until the fourth year after policy enforcement. • Under budget constraints, subsidies are more cost-effective than restrictions. Existing studies are mixed about whether two typical traffic regulation instruments, namely driving restrictions and new energy vehicle (NEVs) subsidies, reduce air pollution. Moreover, they focused on a single policy, neglecting the comparative analysis between different policies. Here, we apply the multistage difference-in-differences model to explore the environmental benefits of these two policies, and further compare their relative effectiveness. The results indicate that both restrictions and subsidies have positive effects on the overall air quality, but subsidies create more prominent benefits. From the dynamic effects perspective, the marginal benefit of restrictions is decreasing and eventually confronts the risk of failure, while subsidies have more effective long-term benefits. Furthermore, restrictions and subsidies reduce air pollution by alleviating congestion and stimulating the purchase of NEVs. Cost-benefit reveals that subsidies are more cost-effective under budget constraints. These findings are conducive to disentangling the emission-reduction capacity of different policies for effective pollution governance .

Has environmental regulation facilitated the green transformation of the marine industry?

This study systematically examines the influence mechanism of environmental regulation on the green transformation of the marine industry in the context of high-quality development of the marine economy from theoretical and empirical perspectives. Using data from 2006 to 2016 in coastal areas, we construct an industrial green transformation index system from three levels: industrial development, industrial ecology, and green potential, empirically test the role of marine environmental regulation on the green transformation of the marine industry and the functional heterogeneity of different regulatory tools and studied the influence path of environmental regulation on the green transformation of the marine industry with the help of a mediating effect model. We find that from static and dynamic dimensions, environmental regulation has a significant role in promoting the green transformation of the marine industry, and there is a partial mediating effect of marine industry structure and marine technology progress. Market-based environmental regulation instruments have a more pronounced promotion effect than command-and-control instruments concerning instrumental heterogeneity. They can mitigate the inhibitory effect of overly strong command-and-control marine environmental regulations on the green transformation of marine industries. This study suggests that in the process of promoting the green transformation of the marine industry, China should play an active role in the government's policy control; promote the development of a combination of marine environmental regulation and implementation efforts; guide the flow of foreign investment, industrial structure upgrading, and technological progress in coordination with each other; and promote the high-quality development of the marine economy.

An Original Analytical Study of Innovative Legal Technologies. Review of the Monograph By Degtyarev M.V. “The Latest Regulatory Technologies and Tools: Regulatory Experiments, Sandboxes, Guillotines, Ecosystems, Platforms” / Edited by Prof. I.V. Ponkin / Moscow State Law University Named After O.E. Kutafin (MSLA). M.: Buki Vedi, 2022. 424 p.)

An Original Analytical Study of Innovative Legal Technologies. Review of the Monograph By Degtyarev M.V. “The Latest Regulatory Technologies and Tools: Regulatory Experiments, Sandboxes, Guillotines, Ecosystems, Platforms” / Edited by Prof. I.V. Ponkin / Moscow State Law University Named After O.E. Kutafin (MSLA). M.: Buki Vedi, 2022. 424 p.)

Application of DNA barcoding for ensuring food safety and quality.

With increasing international food trade, food quality and safety are high priority worldwide. The consumption of contaminated and adulterated food can cause serious health problems such as infectious diseases and allergies. Therefore, the authentication and traceability systems are needed to improve food safety. The mitochondrial DNA can be used for species authentication of food and food products. Effective DNA barcode markers have been developed to correctly identify species. The US FDA approved to the use of DNA barcoding for various food products. The DNA barcoding technology can be used as a regulatory tool for identification and authenticity. The application of DNA barcoding can reduce the microbiological and toxicological risks associated with the consumption of food and food products. DNA barcoding can be a gold-standard method in food authenticity and fraud detection. This review describes the DNA barcoding method for preventing food fraud and adulteration in meat, fish, and medicinal plants.

Recasting Sanctions and Anti-Money Laundering: From National Security to Unilateral Financial Regulation

Practitioners and academics traditionally think of U.S. sanctions and anti-money laundering rules as bargaining tools: measures that governments use to pressure adversaries and achieve national security goals. Open-ended non-state national security threats like terrorism, climate change, and corruption cast doubt on the accuracy of this “bargaining” model. This Note offers a “regulatory” view that treats these measures not as bargaining chips but as extra-territorial regulatory tools. This approach reflects the current state of these measures, which have leveraged U.S. dollar centrality and financial institutions’ rigorous rule-following to impose economic restrictions on global threats, often permanently. In addition to describing more accurately current U.S. sanctions and anti-money laundering practice, the “regulatory” view better articulates these measures’ functioning. Specifically, applying Professor Anu Bradford’s “Brussels Effect” framework for analyzing extra-territorial regulations yields three insights. First, it offers a granular explanation of these measures’ reach by offering five elements that are predictive of their functioning: “market size,” “regulatory capacity,” “stringent standards,” “inelastic targets,” and “non-divisibility.” Second, it highlights the particularities of U.S. sanctions and anti-money laundering rules. Counter to Bradford’s prediction, U.S. measures suggest that the extra-territorial regulation of finance is possible. Third, and finally, the application of Bradford’s predictive elements to U.S. sanctions and anti-money laundering rules suggests both the continued durability of these measures and future threats to their use.

Innovative Governance in the Indian Market Regime Through Regulatory Impact Assessment: An Analysis

Regulatory impact assessment is necessary for determining the need for policies and a scientific, logical guide to designing them, when necessary. It involves a step-by-step approach comprising problem definition, baseline regulatory assessment, comparison of alternatives and selection of regulations that have the potential to result in the highest net benefits to society. To address inconsistencies and systematise regulatory uniformity in India, regulatory impact assessment of the Indian legislative framework has emerged as a much-needed impetus. Innovative governance system may be employed as a mechanism by regulatory bodies that shall ensure effective steering of regulatory impact assessment process. Aligning with the laid regulatory goals and objectives, this process backed by innovative technologies may further assist in managing the complex and cross-functional regulatory activities. We try to shift the narrative from ‘governance and technology’ where a friction between the two could be a presupposition to the concept of ‘governance with technology’ which is all encompassing and enabling. In this article, we will analyse the need and scope of regulatory impact assessment within the existing Indian legal regime. To weigh potential risks and trade-offs in the regulatory sector, we will further explore the impact of regulatory assessment on competitiveness in the market. Thereafter, we will examine the use and adaptation of regulatory impact assessment tools. Lastly, we will explore the scope for the use of technological innovations in conducting regulatory impact assessment in India.

Application of sub-/supercritical fluid chromatography for the fingerprinting of a complex therapeutic peptide.

The application area of supercritical fluid chromatography expanded tremendously over the last years and more polar analytes such as biomolecules have become accessible. The growing interest in biopharmaceuticals and associated regulatory requirements demand alternative analytical tools. The orthogonal nature of supercritical fluid chromatography compared to reversed-phase liquid chromatography meets these needs and makes it a useful option during research and development. In this study, we present a systematic approach for the development of a supercritical fluid chromatography method for fingerprinting of tyrothricin, a complex therapeutic peptide covering a mass range from 1200 to 1900Da. The substance was chosen due to the presence of cyclic and linear peptides and isomeric or highly similar amino acid sequences. Different column chemistries covering neutral, basic, and zwitterionic functionalities in combination with acidic, basic, and neutral additives were screened. Subsequently, Design-of-Experiments principles were utilized to perform optimization of the chromatographic parameters. The final mass spectrometry-compatible gradient method using a diol stationary phase, carbon dioxide, and a modifier consisting of methanol/water/methanesulfonic acid (100:2:0.1, v:v:v) was found to provide orthogonality and superior resolution to other methods published. Isomeric peptide compounds coeluting in reversed-phase liquid chromatography were resolved by applying the final method.

Liability of shipowners and classification societies for environmental damage and unsafe working conditions at recycling yards

AbstractThis article deals with two liability issues that are highly relevant for value chain responsibility in the maritime sector, in particular for safe and environmentally sound recycling of ships: liability of shipowners and ship managers for unsafe downstream value chains for end‐of‐life ships and liability of classification societies in their role under the Ship Recycling Regulation. After an introduction to the current regime of ship recycling and its shortcomings, the article first elaborates on recent developments in value chain responsibility before it presents liability as an important regulatory tool. It then analyses relevant recent case law, including by the Court of Justice of the European Union and by national courts in France, Germany and the United Kingdom, showing that liability risks for shipowners and classification organizations have increased significantly, which may have a positive impact on environmentally sound and safe ship recycling. The article concludes, however, that a clear legislative framework for liability would be preferable to avoid uncertainty and national differences.

General guidelines for the optimal economic aggregation of prosumers in energy communities

Energy communities are regulatory tools promoting aggregations of users to foster the shift towards a renewable distributed generation. First in the literature, this paper addresses together three main aspects affecting the convenience of these aggregations: the complementarity between generation and demand of different prosumers, the criterion allocating the operating costs of energy communities, and the application of demand-response programs. The goal is quantifying the relative weight of these aspects using Mixed-Integer Linear Programming to minimize the operating costs of citizen and renewable energy communities, where prosumers are connected to the grid as single entity, or separately. Incentive- or price-based demand-response programs and a novel cost allocation criterion, which rewards the members with the highest economic benefit in passing from simple consumers to prosumers, are applied to each community configuration. Results allow identifying general guidelines for the optimal economic operation of energy communities: i) complementarity may reduce costs by 15–20%, ii) a fairer cost allocation criterion may reduce the bills of prosumers using free-of-charge renewables by 20–30% compared to those using dispatchable sources, and iii) price-based demand-response may reduce community costs beyond 50%. Eventually, directions of further research, as the impact of energy communities on a national power system, are drawn.

Legal Mechanisms of Self-Regulation and their Impact on Digital Technologies

In recent years, we have observed that in various legal orders, including within the framework of the Russian legal regulation of the social relations in question, there is a movement in favor of strengthening the provisions of the so-called “soft law”. Soft law is a quasi-legal, non-binding law that is mainly focused on protecting consumers and/or users in digital matters. Notably, although soft law is not legally binding, this fact does not mean that it is completely void of legal force. The possibility that business and other professional actors may also pursue common interests should be recognized. The main problems of legal regulation are: the ratio of state regulation and self-regulation; the legitimacy of the extension of state sovereignty to the virtual space; development of a uniform conceptual apparatus in the field of e-commerce; identification of participants in electronic commerce, electronic document management and electronic transactions; jurisdiction and applicable law in the field of e-commerce; ensuring the security of information exchange. In the same way, certain standards and rules of self-regulatory organizations, as regulatory tools created by these entities, can also be an important tool for public administration in the field of digital technologies.

The South African competition agency response to COVID19

Abstract South Africa, as with the rest of the world, faced an unexpected crisis on many levels with the onslaught of the Covid-19 virus. In addition to the human casualties, South Africa experienced a sharp rise in prices for essential goods, such as masks and sanitisers, threatening an economic crisis for South Africa's poor and unemployed. The South African Competition Commission chose to intervene using the regulatory tools available in competition law to tackle excessive pricing. This resulted in the investigation and prosecution of several companies for charging excessive prices for a range of goods and services such as masks, sanitisers and Covid-19 testing services.