Rules-based Approach Research Articles

Ethical Research with Young People

There is a belief among many from the wide field of Youth Work there is an increasing stress on the need for ethical approval to conduct empirical research with young people. The stress on ethical approval for research with young people includes issues of safeguarding, confidentiality, competency, consent and anonymity. The distinction needs to be made between a rules-based approach and a situated based approach. The rules-based approach is based upon a notion of ethical absolutes in relation to fundamental concerns such as informed consent, avoidance of harm, and guarantees of confidentiality and anonymity. A situated approach to ethics emphasizes the importance of making rational judgements on specific aspects of ethical dilemmas. Those who research young people and youth issues in general are more likely than not to argue that some form of a situated approach to research ethics represents an appropriate response to the sort of ethical dilemmas that are often faced in the conduct of research with young people. There would also be a concern for a greater emphasis on an ‘ethic of care’ as a governing principle of research practice involving young people. It is however important not to throw the baby out with the bath water. The advancement of a rules-based approach is coupled with the quandary and dilemmas of safeguarding while its importance of parental consent cannot be dismissed while it is beset with apparent contradictions. There is the assumption and misnomer that all young people live in a stable home with caring parents. A further dilemma is the contradiction of the ‘Gillick competency’. Gillick competency is based on the assumption that an under-16-year-old with ‘sufficient understanding’ can provide consent in their own right, and that under such circumstances a parent has no right to override their child's wishes. Although this ruling relates specifically to medical interventions, it is regarded as applicable to all other areas unless other legislation applies, including social (but not clinical) research. It is the purpose of this paper to address these dilemmas and contradictions of applying a rules-based approach to the research of young people's lives whereas a situated approach would be more appropriate

Environmentalism and NIMBYism in China: promoting a rules-based approach to public participation

Public participation is key to effective environmental governance, yet in China the public's role has been limited. Since 2002, China's environmental authorities have promulgated legislation that provides channels for public participation in planning processes. By defining public participation in legal terms, this legislation has facilitated the emergence of ‘rules-based’ environmental activism whereby citizens pressurise officials to uphold public participation rules. This phenomenon is examined in the context of an ‘environmentalist’ – NIMBY (not-in-my-backyard) dichotomy. It is found that environmentalist NGOs engage in rules-based activism on a long-term basis to improve the institutional environment for public participation. Although NIMBYs have also interacted with public participation legislation, this is secondary to pursuing their own localised interests. Unlike NGOs, NIMBYs can adopt contentious tactics that exert considerable pressure on local officials to open participatory channels. Both environmentalist and NIMBY activists in China are important in promoting more inclusive decision-making processes and consolidating governance reform.

Market discipline and the evaluation of Euro financial bonds—An empirical analysis

Within the context of the increasing discussion on a shift in financial regulatory philosophy from the currently prevailing rules-based approach to a more incentive-based supervisory procedure in which market discipline should play a decisive role in overcoming several moral hazard and efficiency problems of the financial system, the question regarding the evaluation of financial bonds has gained an important dimension. Such a disciplining market influence could namely be exercised if financial institutions were obliged to issue subordinated bonds on a regular basis (mandatory subordinated debt policy). However, the influence of market discipline will only be effective if the evaluation of different subordinated (and other) bonds occurs in a differentiated manner and dependent on the inherent risks. This study provides findings, on the basis of which this requirement for the Euro financial bond market can be regarded as fulfilled.

A rules-based approach for predicting the eastern hemlock component of forests in the northeastern United States

The expanding threat of hemlock woolly adelgid (Adelges tsugae Annand) infestation has generated interest in locating eastern hemlock ( Tsuga canadensis (L.) Carr.). Prior studies have incorporated remotely sensed imagery to detect eastern hemlock presence or absence. The goal of this study was to develop methodology to quantify hemlock abundance using software and data accessible to forest managers. Three seasons of Landsat ETM+ scenes served as the imagery basis, whereas simple (slope, aspect, and curvature) and detailed (heat and wetness) environmental indices were extracted from a digital elevation model. Three hundred and forty-nine forest plots representing the typical forest cover found in the Catskill Mountain Region, New York, served as ground reference; model input used the percentage of hemlock basal area for each plot. The models generally underpredicted in plots with substantial hemlock composition, whereas overpredictions mainly occurred in mixed forests that lacked hemlock. Underpredictions negated overpredictions in mixed hemlock deciduous forests resulting in a neutral model. Correlation coefficients ranged from a high of 0.67 for the model created from three Landsat images to a low of 0.01 for the heat and wetness indices model. Although the models were typically within 10% of field measurements, there was no overall benefit in including topographic indices for mapping hemlock abundance.

A process model to support automated measurement and detection of out-of-bounds events in a hospital laboratory process

Business Activity Monitoring (BAM) allows organizations to capture enterprise events from their source systems and utilize these to detect non-compliant business situations. Similar concepts may be leveraged in the healthcare domain to improve the quality of patient care and the efficiency of clinical processes. This paper introduces a generic set of constructs for formally specifying threshold values relevant for cycle time and utilization calculations. It also describes a mechanism to capture information, including thresholds, about important business parameters for Six Sigma measurement. This full set of constructs are the basis for automated measurement and monitoring and are incorporated into the process model during the definition or capture phase thereby linking the definition and monitoring phases through a common underlying process model. Bespoke software is also described which uses the constructs contributed by this research to manage and monitor process models and enterprise events. A process performance module provides automated measurement and monitoring capabilities. At an aggregate level, this is achieved through the provision of process cycle time data for selected time periods on demand and the examination of business processes at frequent intervals with alerts generated for exceptional scenarios. At a more granular level, this solution uses a rules-based approach to evaluate individual events and generate alerts for out-of-bounds business parameters. This paper demonstrates the benefits of these capabilities for health informatics through application to a Laboratory Testing process observed at a local hospital. The paper also suggests recommendations for the extension of current modelling languages with respect to the constructs detailed herein.

A Rules-Based Approach for Configuring Chains of Classifiers in Real-Time Stream Mining Systems

Networks of classifiers can offer improved accuracy and scalability over single classifiers by utilizing distributed processing resources and analytics. However, they also pose a unique combination of challenges. First, classifiers may be located across different sites that are willing to cooperate to provide services, but are unwilling to reveal proprietary information about their analytics, or are unable to exchange their analytics due to the high transmission overheads involved. Furthermore, processing of voluminous stream data across sites often requires load shedding approaches, which can lead to suboptimal classification performance. Finally, real stream mining systems often exhibit dynamic behavior and thus necessitate frequent reconfiguration of classifier elements to ensure acceptable end-to-end performance and delay under resource constraints. Under such informational constraints, resource constraints, and unpredictable dynamics, utilizing a single, fixed algorithm for reconfiguring classifiers can often lead to poor performance. In this paper, we propose a new optimization framework aimed at developing rules for choosing algorithms to reconfigure the classifier system under such conditions. We provide an adaptive, Markov model-based solution for learning the optimal rule when stream dynamics are initially unknown. Furthermore, we discuss how rules can be decomposed across multiple sites and propose a method for evolving new rules from a set of existing rules. Simulation results are presented for a speech classification system to highlight the advantages of using the rules-based framework to cope with stream dynamics.

Quebec's Module D'Enregistrement Des Ventes (MEV): Fighting the Zapper, Phantomware and Tax Fraud with Technology

On January 28, 2008 the Quebec Minister of Revenue, Jean-Marc Fournier, announced that by late 2009 the MRQ will begin testing a device, the module d'enregistrement des ventes (MEV) that is projected to substantially reduce tax fraud in the restaurant sector. By 2010 or 2011 MEVs will be mandatory in all Quebec restaurants, where they will assure accuracy and retention of business records within electronic cash registers (ECRs). This paper moves beyond a discussion of the variety of sales suppression programs in use - zappers and phantom-ware. The concern here is on enforcement efforts, particularly the MEV. The intent is to assess the workability and effectiveness of the MEV solution by contrasting it with solutions adopted elsewhere. Two policy orientations guide enforcement actions in this area - one approach is rules-based; the other is principles-based. They are not mutually exclusive - degrees of blending are common. Rules-based jurisdictions adopt comprehensive and mandatory legislation regulating, and/ or certifying cash registers. Jurisdictions taking this approach include Greece and Germany. With the adoption of the MEV, Quebec will also fall within this group. Principles-based jurisdictions rely on compliant taxpayers following the rules. Compliance is enforced with an enhanced audit regime. The Netherlands and the UK fall into this group. After presenting a rough schematic of a how a zapper or phantom-ware facilitates a skimming fraud (absent many of the details considered in earlier papers), this paper will consider three rules-based enforcement approaches: the Greek fiscal electronic devices or FEDs, the Quebec MEVs and the German smart cards. The Dutch principles-based approach which is also favored by the UK will provide a policy contrast. A final section will consider how CSPs in a SSUTA framework could be used to achieve very similar outcomes as is currently realized under either the rules-based or principles-based approaches. CSPs in a SSUTA context blend the rules-based and principles-based approach within a unique (private sector) solution.

Measuring the Economic Effects of Competition Law Enforcement

Together with a move from a rules-based legal approach to a more economic approach in competition cases, the economic effects of competition law enforcement have received increasing attention. Measuring these effects is important for external accountability of the Competition Authority, for quality control of its decisions and for evaluating the effectiveness of the competition law. This raises many issues in measurement, including the choice of counterfactual, the choice of effects to be measured, and the proper use of available data. The papers in this Special Issue of De Economist discuss these and related issues, based on a broad range of experience in competition law enforcement.

Meaning of Caring to 7 Novice Physical Therapists During Their First Year of Clinical Practice

Caring has been identified as a rules-based approach to good patient care, as a core value in physical therapist professional behavior, as a part of experienced and expert practice, as a virtue, and as a moral orientation. Previous research showed that experienced and expert female physical therapists value compassion and caring in clinical practice. However, little is known about how novice physical therapists care for their patients. The purpose of this study was to explore the meaning of caring from the perspectives of novice physical therapists. Seven novice physical therapists (with less than 1 year of clinical experience) working in either an outpatient or an inpatient facility were recruited. A qualitative method (phenomenology) was used, with data being obtained from retrospective interviews of the novice physical therapists regarding their experiences in the clinic. Three common themes relating to the nature of caring emerged: learning to care (with the following subthemes: barriers to caring, the "difficult" patient, finding a balance, and time constraints), patients as subjects, and the culture of the clinic. The novice physical therapists in this study expressed difficulty in dealing with difficult patients, with time management, and with balancing their professional and personal lives. However, despite the barriers to caring, many of these participants viewed caring not just as a rules-based approach but as a core value and, in some cases, a moral orientation that guided their first year of clinical practice. The findings suggest that caring requires certain skills and attitudes that accrue over time and that physical therapist education programs should integrate learning experiences (including clinical experiences) throughout the curriculum that foster caring behaviors in order to prepare students for the first-year transition in the clinic. In addition, experienced clinicians should appreciate how their clinic's culture and their behaviors can help model caring attitudes in novice physical therapists.

Workplace Equality in International Organizations: A Way Forward

International organisations are entitled to independent governance of their staff. Whereas scholars and international lawyers may agree that international organisations should be afforded a functional immunity from national courts in employment disputes, there are enduring debates as to whether this functional necessity trumps the constitutional rights of staff, under international law, to gain access to equality guarantees in the employment relationship. In this paper, I investigate the concepts of equality, as understood, used, and valued within international organisations, examine the checks and balances in their internal governance structure, and point to the relevant differences between the formal and substantive laws. By considering the practices of the United Nations (UN), the World Bank, and the Consultative Group on International Agricultural Research (CGIAR), I report that the internal governing structure has more rules and procedures to govern employees and few, if any, rules to control the discretionary power of executives. While the overall governing structure may give the semblance of a balanced justice system in international organisations, the procedural guarantees of ‘due process’, the accountability standards, and the enforcement rules are not in place to safeguard the equality rights of staff. Based on these facts, I argue that until there is a major commitment to establish a rules-based approach to the governing structure, enforcement procedures to safeguard individual rights, and the inclusion of an established line of authority to the executive branch of international organisations, anti-discrimination rules will continue to be applied disproportionately among staff members and discriminatory practices will remain very difficult to legally prove or challenge.

MiFID and a Changing Competitive Landscape

In November 2007, the Markets in Financial Instruments Directive (MiFID) came into full effect. MiFID is the most significant European Union legislation for investment intermediaries and financial markets ever introduced. In general terms, MiFID is designed to provide a common, harmonized set of rules for the provision of investment services in each of the EU member states. A key feature of this legislation is the concept of a passport by which firms (e.g. investment banks, broker dealers, stock exchanges and alternative trading systems) are regulated primarily by their home state but can operate in other EU host states. MiFID also removes the so-called concentration rule, allowing greater competition for order flow across trading venues. This paper shows how new requirements concerning best execution, client classification, systematic internalisers, pre- and post-trade transparency, and the ownership of market data have created enormous new business opportunities. This paper argues that MiFID has already succeeded in its goal of introducing greater competition, as already made clearly evident by the early success of new trading venues such as Instinet Chi-X and new market data providers such as Markit BOAT. Further exchange consolidation, more sophisticated smart order routing, and new entrants such as BATS Europe, Nasdaq OMX Europe, and Project Turquoise suggest that European financial markets are on the cusp of further major (and unpredictable) changes. In addition to exploring developments in Europe, the paper explores the impact of international exchange linkages, such as NYSE Euronext, and contrasts the principles-based approach of MiFID with the rules-based approach of the SEC's RegNMS.

Israel: 2007 Article IV Consultation: Staff Report; Staff Supplement; Public Information Notice on the Executive Board Discussion; and Statement by the Executive Director for Israel

The Israeli economy is performing exceptionally well, but still high public indebtedness calls for the continuation of strong economic policies. Monetary policy has successfully stabilized inflation expectations, but policy and communication challenges remain. The recent positive fiscal performance needs to be carried forward to improve international credibility. The government’s intention to stick with a rules-based approach to fiscal policy, solidly anchored in longer-term objectives, is commended. Enhanced fiscal transparency and governance are essential to improve the quality of policymaking.

Approximate sensitivity coefficients for integrating hydraulic head data into geological models

It is straightforward to obtain an approximation of the matrix of sensitivity coefficients of hydraulic head response at a set of calibration data locations to the values of permeability at each model cell. The approximate system of sensitivities consists of an indicator matrix of zeros and ones flagging locations of significant parameter sensitivity, with the appropriate sign. A rules-based approach for determining the required parameter sensitivity information is based upon: (1) delineation of flowpaths through the calibration head data, (2) transformation of the permeability field into a binary categorical variable in order to define relatively high-transmissivity and low-permeability geobodies, and (3) identification of geobody connections to source or sink terms. A comparison with traditionally-computed exact sensitivity coefficients demonstrates the completeness of the approximate system of coefficients and that their use in iterative model calibration codes is feasible. The merit of this study is not only in demonstrating a relatively simple assessment of permeability sensitivity to hydraulic head, but also to provide a general understanding of these sensitivity coefficients. Visualizing the Jacobian matrix reveals the physically-intuitive criteria that govern the structure of the sensitivity coefficients and precisely identifies which criteria affect the sensitivity of the hydraulic head response to the permeability field.

An Analysis of a Rules-based Approach to Disciplining Export Credits in Agriculture

ABSTRACT This paper examines the comparative static effects of rules-based disciplines for government supported export credit arrangements. The arrangements provide traders in the country offering the guarantees more favourable borrowing conditions. This may provide an advantage relative to rival exporters since the supported trader may offer better financial terms to importers. Rules that discipline implicit interest rate subsidies are appropriate when an importing country does not face liquidity constraints when borrowing. However, these rules may not be appropriate with liquidity constraints because of the potential for additionality and benefits for all exporting countries. Rules on benchmarks for insurance premiums are always appropriate because insurance subsidies unambiguously have the potential to distort markets.

The United States and trade disputes in the World Trade Organization: Hegemony constrained or confirmed?

Abstract and Key Results * Does the World Trade Organization function to reinforce American dominance (or hegemony) of the world economy? We examine this question via an analysis of trade disputes involving the United States. * This allows us to assess whether the US does better than other countries in this judicialised forum: and in so doing enhance the competitive prospects of their firms. * The results are equivocal. The United States does best in the early phases of a dispute, where political power is important. It does less well as the process develops. Key Words World Trade Organization, US Hegemony, Trade Analysis 'One of the main functions of the WTO is to tie the American Gulliver down.' (de Jonquieres 2004, p. 19) Introduction The creation of the Dispute Settlement Body (DSB) of the World Trade Organization (WTO) was regarded by many observers as a key achievement of the Uruguay Round negotiations (Hart 2002, Jackson 1998). The achievement lay in the creation of a rules-based system for resolving trade disputes, where all parties had equal rights and obligations, in preference to the power-based system where the law of the jungle prevailed. In the years since its creation, the DSB has been vastly more active than its GATT predecessor. This has been hailed as proof that the WTO represents a rules-based approach to international trade disputes that helps the weak defend themselves against the strong (Gilpin 2001). Yet, the operation of the disputes process is not without its critics. The losing side in a dispute is required to bring its regulation into conformity with WTO provisions--or face sanctions. Developing states, often reliant on a small number of export products or services for their economic livelihood, are not in a position to appeal against WTO decisions. A more fundamental criticism, one central to this paper, is that the WTO's very rules are not neutral, but reflect hegemony: the dominance of American rules, norms and practices about international commerce. The paper proceeds as follows. First we discuss the concept of hegemony and its utility for understanding international economic relations. In the next section, we develop a methodology designed to gauge the extent to which the US exercises hegemony through the DSB. This is done by analysing US activity in the disputes process and contrasting this with the European Community's experience. (1) This comparison is made to provide a benchmark for assessing American success at the WTO; considering the US in isolation would make it impossible to determine whether it does better in the WTO than other actors. The EC has been selected as it is the second most active WTO member with respect to the DSB process and also the US' primary counterparty. The EC is also very similar in economic and demographic terms: one would expect these parties to have similar experiences with the disputes process. The final section develops some conclusions. Hegemony: Institutions and International Business Antonio Gramsci 'developed the concept of hegemony to describe a condition in which the supremacy of a social group is achieved not only by physical force but also through consensual submission of the very people who were dominated' (Litowitz 2000, p. 518). Hegemony rests on the normative triumph of a particular idea, but this victory is both created and buttressed by the construction of institutions dedicated to the propagation of these dominant values. Thus, power and resource asymmetries are important for understanding how hegemony develops. Institutionalist theory has long understood that the bundle of rules and procedures called institutions are also constituted by norms and values: many so deeply held there is no need to articulate them. This has an important implication for organizations interacting with an institution; 'the exercise of strategic choice may be pre-empted when organizations are unconscious of, blind to, or otherwise take for granted the institutional processes to which they adhere' (Oliver 1991, p. …

Evaluating the Policy Implications of the Other Two Pillars of Basel II

This brief evaluates the supervisory-process and market-discipline pillars of the Basel II bank regulatory framework. It reviews and critiques their fundamental features and reaches three conclusions. First, the supervisory-process pillar provides too much scope for supervisory discretion and almost no support for a rules-based approach to regulation that arguably would be much more effective in promoting bank safety and soundness. Second, the market-discipline pillar's information-disclosure guidelines represent a useful first step for many nations with less-developed banking systems, but these costly guidelines fail to promote attainment of other conditions required to enhance market discipline in any of Basel II's participant nations. In light of these first two conclusions, the third conclusion is that these pillars of the Basel II framework require rethinking and reworking. In the longer term, global banking safety and soundness would more likely be enhanced by delaying implementation of Basel II until its framers replace the current supervisory-process pillar with a system of prompt-corrective action rules and expand the market-discipline pillar to include more features that might actually enhance bank market discipline.

Supplier selection using fuzzy association rules mining approach

Owing to ill-structured, dynamic environments and the presence of multiple decision-makers with conflicting viewpoints, comprehension, analysis and support of the supplier evaluation process becomes more and more difficult. Moreover, with the complexities of issues such as the role of leadership, the influence of group formation, and analysis of disagreements, it cannot be predictable that there will ever exist a solution to cope with all imprecise, multi-criteria/multi-actor situations. A fuzzy association rules-based approach may be suited for the judgement of human subjects. In this paper, we develop an approach based on Fuzzy Association Rule Mining to support the decision makers by enhancing the flexibility in making decisions for evaluating suppliers with both tangibles and intangibles attributes. Also, by checking the fuzzy classification rules, the goal of knowledge acquisition can be achieved in a framework in which assessments could be established without constraints, and consequently checked and compared in several details. The efficacy and intricacy of the proposed model for finding fuzzy association rules from the database for supplier assessment is demonstrated with the help of numerical examples.

Establishing Space Security: A Prescription for a Rules-Based Approach

Establishing Space Security: A Prescription for a Rules-Based Approach

Forest Conversion and Land Use Change in Rural Northwest Yunnan, China

Contrary to the trend of rapid deforestation continuing across Asia, regional assessments point to recent increases in forest cover in China, including Yunnan Province, since the implementation of dramatic forestry policy changes. There is debate about whether the statistics that describe increasing forest cover adequately account for forest status and quality. In this context, the present article aims to quantify forest cover and land use changes in a Tibetan-dominated rural township in northwest Yunnan, China—an ecologically important region affected by recent forest policy changes. Three sequences of Landsat satellite imagery dating from 1981 to late 1999 and other digital datasets were used in a rules-based hybrid classification approach, achieving acceptable accuracy assessment scores.The results show an average aggregate decline in conifer forests of 23%, mostly due to an active logging industry. Much of this forest has converted to shrubland, which increased in area by over 100%. Grassland also increased, mainly at the expense of cultivation, as a response to increasing dependence on livestock by the rural communities, although high elevation rangelands decreased in area due to changing livelihoods and restrictions by the government on grazing and deliberate burning. Using the accepted definitions of forest and shrub-land categories, it was difficult to depict forest and shrub-land dynamics due to variation in forest regeneration and afforestation, dieback-affected forests, secondary succession of disused rangelands, and a variety of other mixed community types. Conversion analysis revealed significant forest–shrubland exchanges occurring even during the 1990s when reduction in overall forest cover slowed considerably. The results support the view that the standard categorizations and representations of land cover only portray a partial picture of forest status, as they do not account for multiple conversions that occur between different land covers over time. Due to ongoing forestry programs and increasing utilization of forest resources by local communities, these conversion issues may be significant, with implications for forest quality and biodiversity.Our understanding of China's forest status will be improved by correlating inventory data with finer-scale spatial datasets to enable conversion analysis in representative ecological regions. This will advance our knowledge of China's forest status and the effectiveness of forest policy for both local rural community needs, as well as for broader ecological conservation.

Corporate Governance Requirements in Canada and the United States: A Legal and Empirical Comparison of the Principles-Based and Rules-Based Approaches

We present a first-time comparison of the principles-based corporate governance regime in Canada and the rules-based corporate governance regime in the United States from a theoretical, legal and empirical perspective. This comparison is of value to both firms considering a listing in Canada and/or the United States and institutional investors who hold equity stakes in either of these two countries. Under the Canadian principles-based approach, with the exception of mandatory rules relating to audit committees, companies are required to publicly disclose the extent of their compliance with the suggested best practices and, where a firm's practices depart from such guidelines, to describe the procedures implemented to meet the same corporate governance objective. Hence, the Canadian approach is in the form of comply or disclose. In contrast, the U.S. rules-based approach is oriented toward mandatory compliance with legislation and stock exchange requirements, with a much greater emphasis on regulatory enforcement rather than voluntary compliance. Our empirical evidence illustrates that the different regulatory regimes in Canada and the United States has to a certain extent resulted in considerably different corporate governance practices. Our research shows that Canadian firms, in comparison to U.S. firms: have smaller boards with fewer independent directors; have boards that hold more meetings; have directors that sit on a greater number of boards than directors of Nasdaq-listed firms, and sit on a fewer number of boards than directors of NYSE firms; are less likely to have CEOs also serving as the chairman of the board; and are less likely to have compensation, nominating and corporate governance committees, and the fraction of independent directors sitting on these committees is significantly lower. We conclude that there are pros and cons associated with both the principles-based and rules-based regimes. The extent to which the made-in-Canada approach to governance is found to be effective largely depends upon whether investors remain confident in regulation of the Canadian capital markets.