Página 1 dos resultados de 1210 itens digitais encontrados em 0.016 segundos

Estratégias regulatórias para o compliance de obrigações de acesso a redes de telecomunicações no Brasil: um estudo de caso sobre a exploração industrial de linhas dedicadas (EILD); Compliance regulatory strategies within telecom network access regime in Brazil: a case study of leased lines

Couto, Jonas Antunes
Fonte: Biblioteca Digitais de Teses e Dissertações da USP Publicador: Biblioteca Digitais de Teses e Dissertações da USP
Tipo: Tese de Doutorado Formato: application/pdf
Publicado em 19/03/2015 Português
Relevância na Pesquisa
36.49%
O presente trabalho tem como pano de fundo a regulação de acesso a redes de telecomunicações e os problemas relacionados ao cumprimento das respectivas regras. A partir da descrição e conjugação de literaturas especializadas, a PRIMEIRA PARTE do texto delimita um conceito de estratégia regulatória, apontando seus elementos-chave as ferramentas e abordagens passíveis de escolha e combinações pelo regulador em suas tomadas de decisões , bem como as vantagens e desvantagens associadas a cada um deles. A SEGUNDA PARTE explora as características gerais do setor e da regulação das telecomunicações com vistas a facilitar a estruturação de um conceito de estratégia regulatória de compliance em regimes de acesso a redes. Na TERCEIRA PARTE o conceito proposto é aplicado ao caso brasileiro da regulamentação da EILD (Exploração Industrial de Linhas Dedicadas), uma modalidade de contratação de redes de operadores dominantes, como forma de identificar e avaliar criticamente as estratégias de compliance dos diferentes regimes de EILD já vigentes no país. Nesse processo são apontadas limitações das estratégias de compliance instituídas pelas normativas de EILD analisadas. Ainda nessa etapa o conceito proposto é aplicado a regimes internacionais de acesso a redes de telecomunicações...

Compliance with vessel speed restrictions to protect North Atlantic right whales

Silber, Gregory K.; Adams, Jeffrey D.; Fonnesbeck, Christopher J.
Fonte: PeerJ Inc. Publicador: PeerJ Inc.
Tipo: Artigo de Revista Científica
Publicado em 03/06/2014 Português
Relevância na Pesquisa
36.37%
Environmental regulations can only be effective if they are adhered to, but the motivations for regulatory compliance are not always clear. We assessed vessel operator compliance with a December 2008 regulation aimed at reducing collisions with the endangered North Atlantic right whale that requires vessels 65 feet or greater in length to travel at speeds of 10 knots or less at prescribed times and locations along the U.S. eastern seaboard. Extensive outreach efforts were undertaken to notify affected entities both before and after the regulation went into effect. Vessel speeds of 201,862 trips made between November 2008 and August 2013 by 8,009 individual vessels were quantified remotely, constituting a nearly complete census of transits made by the regulated population. Of these, 437 vessels (or their parent companies), some of whom had been observed exceeding the speed limit, were contacted through one of four non-punitive information programs. A fraction (n = 26 vessels/companies) received citations and fines. Despite the efforts to inform mariners, initial compliance was low (<5% of the trips were completely <10 knots) but improved in the latter part of the study. Each notification/enforcement program improved compliance to some degree and some may have influenced compliance across the entire regulated community. Citations/fines appeared to have the greatest influence on improving compliance in notified vessels/companies...

Negotiated Regulation, Implementation and Compliance in the United States

Ashford, Nicholas; Caldart, Charles
Fonte: MIT - Massachusetts Institute of Technology Publicador: MIT - Massachusetts Institute of Technology
Tipo: Parte de Livro
Português
Relevância na Pesquisa
36.31%
Interest in the use of so-called voluntary approaches to supplement or replace formal environmental regulation is on the rise, both in Europe and in the United States. These approaches fall into two general categories: (1) industry-initiated codes of good practice focusing on environmental management systems or performance goals, and (2) negotiation between government and individual firms (or industry sector trade associations) focusing on regulation or compliance. This paper addresses the latter. In the United States, the motivations for engaging in such negotiation are manifold and sometimes contradictory. They include desires (1) to facilitate the achievement of legislated environmental goals by introducing flexible and cost-effective implementation and compliance measures, (2) to negotiate levels of compliance (standards) fulfilling health-based legislative mandates, (3) to negotiate legal definitions of Best Available Technology and other technology-based requirements, and (4) to weaken environmental regulation. In the United States, administrative agencies have long been experimenting with “negotiated rulemaking as a means of setting regulatory standards, and the Administrative Procedure Act was amended in 1990 to encourage further use of this process. U.S. agencies have also made frequent use of negotiation as a means of defining compliance responsibilities for individual firms. In addition...

Self-Regulation in Securities Markets

Carson, John
Fonte: Banco Mundial Publicador: Banco Mundial
Português
Relevância na Pesquisa
36.4%
This paper canvasses the trends in self-regulation and the role of self-regulation in securities markets in different parts of the world. The paper also describes the conditions in which self-regulation might be an effective element of securities markets regulation, particularly in emerging markets. Use of self-regulation and self-regulatory organizations is often recommended in emerging markets as part of a broader strategy aimed at improving the effectiveness of securities regulation and market integrity. According to the International Organization of Securities Commissions, reliance on self-regulation is an optional feature of a regulatory regime. Self-regulatory organizations may support better-regulated and more efficient capital markets, but the value of self-regulation is again being questioned in many countries. Forces such as commercialization of exchanges, development of stronger statutory regulatory authorities, consolidation of financial services industry regulatory bodies, and globalization of capital markets are affecting the scope and effectiveness of self-regulation -- and in particular the traditional role of securities exchanges as self-regulatory organizations.The paper reviews different models of self-regulation...

Environmental Performance Rating and Disclosure : An Empirical Investigation of China’s Green Watch Program

Jin, Yanhong; Wang, Hua; Wheeler, David
Fonte: Banco Mundial Publicador: Banco Mundial
Português
Relevância na Pesquisa
36.31%
Environmental performance rating and disclosure has emerged as an alternative or complementary approach to conventional pollution regulation, especially in developing countries. However, little systematic research has been conducted on the effectiveness of this emerging policy instrument. This paper investigates the impact of a Chinese performance rating and disclosure program, Green Watch, which has been operating for 10 years. To assess the impact of Green Watch, the authors use panel data on pollution emissions from rated and unrated firms, before and after implementation of the program. Controlling for the characteristics of firms and locations, time trend, and initial level of environmental performance, the analysis finds that firms covered by Green Watch improve their environmental performance more than non-covered firms. Bad performers improve more than good performers, and moderately non-compliant firms improve more than firms that are significantly out of compliance. The reasons for these different responses seem to be that the strengths of incentives that the disclosure program provides to the polluters at different levels of compliance are different and the abatement costs of achieving desired levels of ratings are different for different firms.

A Framework for Thinking about Enterprise Formalization Policies in Developing Countries

Kenyon, Thomas
Fonte: World Bank, Washington, DC Publicador: World Bank, Washington, DC
Português
Relevância na Pesquisa
36.31%
What policies encourage firms to become formal? The standard approach emphasizes reducing the costs of compliance with government regulation. This is unlikely to be sufficient. Instead we need to understand compliance as a function not only of firm-level costs and benefits but also in terms of the interaction between the firm and its competitors and between the firm and the state. This paper emphasizes the coordination and credibility issues involved in promoting formalization and discusses possible institutional solutions, among them business associations that make the benefits of membership dependent on compliance, information sharing arrangements among government agencies and improvements in the quality of public management.

Infrastructure Regulation : A Review of International Instruments and Compliance Mechanisms

Alexandrov, Stanimir A.
Fonte: World Bank, Washington, DC Publicador: World Bank, Washington, DC
Português
Relevância na Pesquisa
36.45%
The paper reviews first the most formal such instruments, such as bilateral and multilateral treaties, that include commitments regarding regulatory processes and/or outcomes. Next, it will consider less formal instruments, such as institutional guidelines and model rules, that promote principles for regulatory good practices. Finally, it will consider the different mechanisms available to promote compliance with these norms using both binding and non-binding devices. Two tables summarizing the assessments of these instruments and compliance mechanisms are appended at the conclusion of the report.Furthermore, this paper undertakes to review the international instruments that incorporate standards for domestic regulatory good practices or move toward creating international regulatory regimes, and the mechanisms that promote or secure compliance with those good practices and regimes.

New strategies for safety regulators: beyond compliance monitoring

Hopkins, Andrew
Fonte: Universidade Nacional da Austrália Publicador: Universidade Nacional da Austrália
Tipo: Working/Technical Paper Formato: 216211 bytes; 368 bytes; application/pdf; application/octet-stream
Português
Relevância na Pesquisa
36.4%
It is often assumed that the role of regulatory agencies is to bring about compliance with regulation. This makes sense in some contexts. For example, consumer protection agencies aim, among other things, to ensure that traders comply with regulations prohibiting misleading advertising. It may be a matter for the courts to decide whether something is misleading or not, but the law is relatively clear and the concept of compliance is relatively unproblematic. In the case of safety regulation, however, matters are more complex. The focus in this paper will be on safety in an organisational context – for example, safety at work, or safety on public transport. I shall argue that in this context the meaning of compliance is often problematic and that a focus on securing compliance may not be enough to achieve the regulatory goal of safety. Safety regulators may need to go beyond monitoring and enforcing compliance. The purpose of this paper is to outline a number of ways in which they may do this. What is distinctive about the regulation of safety is that it is the regulation of risk. Safety regulation cannot simply prohibit harm, as one might prohibit anti-competitive conduct. So-called ‘accidents’ are indeed accidents in the sense that they are unintended...

Regulating more effectively: The relationship between procedural justice, legitimacy and tax non-compliance

Murphy, Kristina
Fonte: Universidade Nacional da Austrália Publicador: Universidade Nacional da Austrália
Tipo: Working/Technical Paper Formato: 344502 bytes; 347 bytes; application/pdf; application/octet-stream
Português
Relevância na Pesquisa
36.3%
In recent years many OECD countries have been observing an increase in middle-income taxpayers making use of aggressive tax planning strategies to reduce their tax. In many cases it is unclear whether these strategies are designed and used by taxpayers to legally minimise tax or to illegally avoid tax. What is clear, however, is that those that are designed to exploit loopholes in tax law pose a serious problem to the integrity of a tax system and therefore need to be dealt with in a way that restores both faith and equity back into the system. One issue that needs to be considered when doing this, however, is how tax authorities can best regulate taxpayers who may have inadvertently become involved in such illegal tax planning practices. Using cross-sectional survey data collected from 2292 Australian taxpayers in 2002 (Study 1) and longitudinal survey data collected from 659 Australian taxpayers in 2004 (Study 2), it will be demonstrated that regulatory enforcement strategies that first attempt to coerce and threaten taxpayers back into compliance can sometimes result in taxpayers questioning the legitimacy of the Tax Office’s authority, which can subsequently lead to active resistance towards that authority. It will also be shown that the imposition of harsh and excessive civil penalties for tax non-compliance can in fact lead to subsequent non-compliance in the future. It will be argued that a responsive regulatory approach that relies on principles of procedural justice may be the only effective enforcement strategy available to tax authorities who wish to prevent both widespread resistance and future non-compliance to their rules and decisions.; no

An evolving compliance model for tax enforcement

Braithwaite, Valerie; Braithwaite, John
Fonte: Oxford University Press Publicador: Oxford University Press
Tipo: Parte de Livro Formato: 68375 bytes; 366 bytes; application/pdf; application/octet-stream
Português
Relevância na Pesquisa
36.43%
Decades of research on regulatory rule enforcement prompted a battle of sorts between those who favor a deterrence approach and those who promote compliance approaches, between punishment and persuasian (Reiss, 1984; Hawkins, 1984; Pearce and Tombs, 1990; Snider, 1990). In some areas, evidence suggests that deterrence works, if only modestly, as in the area of occupational health and safety (Scholz, 1991; Braithwaite, 1985). In nuclear safety and other realms, a shift away from a rule enforcement approach toward a more communitarian style of self-regulation improves compliance (Rees, 1994). In other domains, however, it is unclear whether the effect of increased deterrence is positive or negative (Makkai and Braithwaite, 1994). Tax enforcement is an area where the effects of deterrence and compliance approaches are unknown (Andreotti, Erard and Feinstein, 1998). When taxpayers are audited, for example, and a penalty imposed, it is unclear whether they learn that they got away with a lot of things that the audit did not detect. The deterrence sign will be positive if this is the bigger lesson than the lesson that cheating will be punished. Sometimes an audit succeeds in deterring cheating in the long run, but in the year or two after audit taxpayers believe they are unlikely to be audited...

When compliance is not the solution but the problem: from changes in law to changes in attitude

McBarnet, Doreen
Fonte: Universidade Nacional da Austrália Publicador: Universidade Nacional da Austrália
Tipo: Working/Technical Paper Formato: 97517 bytes; application/pdf
Português
Relevância na Pesquisa
36.36%
The task of the Centre for Tax System Integrity is to extend understanding of how and why cooperation and contestation occur within the tax system. This goal presupposes a clear distinction between cooperation and contestation. In practice, however, this distinction may be open to creative management, demonstrated clearly in the practice of ‘creative compliance’.

Taxpayer compliance with tax law may seem to fall, by definition, into the category of cooperation with the tax system. Indeed, securing compliance with the law is the driving force behind the compliance model of enforcement (Ayres & Braithwaite, 1992) which has been adopted by the Australian Taxation Office (Tax Office) and other regulatory agencies (Hawkins, 1984). Securing compliance is seen as the key, as the solution to the regulatory problem of making policy effective in practice.

Yet compliance with the law can in practice be used, and used very effectively, to frustrate tax policy. This working paper focuses on the issue of compliance, and on the Tax Office’s compliance model of enforcement. It asks: what happens to the compliance model when compliance is not the solution but the problem?; no

Compliance with children's television food advertising regulations in Australia

Roberts, M.; Pettigrew, S.; Chapman, K.; Miller, C.; Quester, P.
Fonte: BioMed Central Ltd. Publicador: BioMed Central Ltd.
Tipo: Artigo de Revista Científica
Publicado em //2012 Português
Relevância na Pesquisa
46.27%
Background: The objective of this study was to assess the effectiveness of the Australian co-regulatory system in limiting children’s exposure to unhealthy television food advertising by measuring compliance with mandatory and voluntary regulations. An audit was conducted on food and beverage television advertisements broadcast in five major Australian cities during children’s programming time from 1st September 2010 to 31st October 2010. The data were assessed against mandatory and voluntary advertising regulations, the information contained in an industry report of breaches, and the Australian Guide to Healthy Eating. Results: During the two months of data collection there were a total of 951 breaches of the combined regulations. This included 619 breaches of the mandatory regulations (CTS) and 332 breaches of the voluntary regulations (RCMI and QSRI). Almost 83% of all food and beverages advertised during children’s programming times were for foods classified as ‘Extras’ in the Australian Guide to Healthy Eating. There were also breaches in relation to the amount of advertising repetition and the use of promotional appeals such as premium offers, competitions, and endorsements by popular children’s characters. The self-regulatory systems were found to have flaws in their reporting and there were errors in the Australian Food and Grocery Council’s compliance report. Conclusions: This audit suggests that current advertising regulations are inadequate. Regulations need to be closely monitored and more tightly enforced to protect children from advertisements for unhealthy foods.; Michele Roberts...

Good Practices for Construction Regulation and Enforcement Reform : Guidelines for Reformers

International Finance Corporation; World Bank; Multilateral Investment Guarantee Agency
Fonte: World Bank Group, Washington, DC Publicador: World Bank Group, Washington, DC
Tipo: Publications & Research :: Working Paper; Publications & Research
Português
Relevância na Pesquisa
36.49%
The report's main objective is to provide policy makers, regulators, and the private sector, primarily in emerging economies and developing countries, with a tool for enforcing international best practice and for developing strategies for successful reforms in the area of construction regulation. This paper is divided into the following eight chapters: 1) the importance of construction regulation reform. The first chapter defines three overarching goals of construction-regulation reform and addresses why and how these efforts can pay off; 2) reforms as good regulation not deregulation. This chapter points out that deregulating is not the answer; 3) the distribution and focus of construction regulation reform. Leveraging eight years of data from the doing business reports, this chapter provides an overview of reforms initiated within the doing business scenario and the key regional trends; 4) eight key policies affecting process efficiency, transparency, regulatory outcomes, and costs. This chapter provides a concise description of eight priority policy areas; 5) initiating reform and addressing typical challenges. Based on international experience...

Enforcement and over-compliance

Shimshack, Jay; Ward, Michael
Fonte: Academic Press Publicador: Academic Press
Tipo: Artigo de Revista Científica
Português
Relevância na Pesquisa
46.19%
Economists generally view environmental enforcement as a tool to secure compliance with regulations. This paper demonstrates that credible enforcement significantly increases statutory over-compliance with regulations as well. We find that many plants wit

Theory of Regulatory Compliance for Requirements Engineering

Jureta, Ivan; Siena, Alberto; Mylopoulos, John; Perini, Anna; Susi, Angelo
Fonte: Universidade Cornell Publicador: Universidade Cornell
Tipo: Artigo de Revista Científica
Publicado em 19/02/2010 Português
Relevância na Pesquisa
46.31%
Regulatory compliance is increasingly being addressed in the practice of requirements engineering as a main stream concern. This paper points out a gap in the theoretical foundations of regulatory compliance, and presents a theory that states (i) what it means for requirements to be compliant, (ii) the compliance problem, i.e., the problem that the engineer should resolve in order to verify whether requirements are compliant, and (iii) testable hypotheses (predictions) about how compliance of requirements is verified. The theory is instantiated by presenting a requirements engineering framework that implements its principles, and is exemplified on a real-world case study.; Comment: 16 pages

ICT Support for Regulatory Compliance of Business Processes

Governatori, Guido
Fonte: Universidade Cornell Publicador: Universidade Cornell
Tipo: Artigo de Revista Científica
Publicado em 26/03/2014 Português
Relevância na Pesquisa
46.21%
In this paper we propose an ITC (Information and Communication Technology) approach to support regulatory compliance for business processes, and we report on the development and evaluation of a business process compliance checker called Regorous, based on the compliance-by-design methodology proposed by Governatori and Sadiq

Using the institutional grammar tool to understand regulatory compliance: The case of Colorado aquaculture

Siddiki, S; Basurto, X; Weible, CM
Fonte: Universidade Duke Publicador: Universidade Duke
Tipo: Artigo de Revista Científica Formato: 167 - 188
Publicado em /06/2012 Português
Relevância na Pesquisa
46.13%

Influence of Operator Size on Regulatory Compliance in the Unconventional Oil and Gas Industry

McHenry, Graham
Fonte: Universidade Duke Publicador: Universidade Duke
Tipo: Masters' project
Publicado em 24/04/2015 Português
Relevância na Pesquisa
46.26%
The hydraulic fracturing boom in the United States has opened vast areas of the country to oil and gas development. While beneficial to the energy sector, unconventional oil and gas operations are not without risk. This study analyzes the compliance risks of oil and gas operators of differing sizes from two states actively involved in the unconventional industry. Historic oil and gas inspection and violation data was analyzed to evaluate the regulatory compliance risk of operators of different sizes. This data was then used to test an industry assumption that larger companies are less likely to commit regulatory violations when compared to smaller operators. The data analysis in this study confirmed this assumption, suggesting a general trend that larger companies engaged in unconventional oil and gas development are less likely to commit regulatory violations when inspected than smaller companies.

Finding Opportunities for Pre-Compliance Species Conservation in North Carolina

Whelan, Andrew
Fonte: Universidade Duke Publicador: Universidade Duke
Tipo: Masters' project
Publicado em 25/04/2013 Português
Relevância na Pesquisa
36.39%
POLICY QUESTION: Which pre-compliance conservation strategies have the greatest potential to conserve multiple unprotected species in North Carolina? BACKGROUND: Pre-compliance conservation involves landowners working cooperatively with conservation managers to conserve imperiled yet unprotected species. The Environmental Defense Fund (EDF) wants to pursue pre-compliance measures in North Carolina. Unfortunately, species require different mitigation strategies on the basis of the threats they faced and their ecological characteristics. EDF is unclear which strategies could potentially conserve the greatest number of species. This project analyzes different conservation strategies on their ability to protect multiple species simultaneously in several geographic regions of North Carolina. It hopes to provide a tool to aid EDF in its ability to optimize preemptive species conservation. RECOMMENDED CONSERVATION STRATEGIES: EDF should consider the following criteria when deciding between pre-compliance strategies in each region: • Address the primary threats or stressors facing populations in the region • Align with the ecological characteristics of the species in the region • Align with the incentives, motivations, and opportunities of the region’s landowners Accounting for these criteria...

Telecommunications interception in Australia: Recent trends and regulatory prospects

Bronitt, Simon; Stellios, James
Fonte: Elsevier Publicador: Elsevier
Tipo: Artigo de Revista Científica
Português
Relevância na Pesquisa
46.02%
This article reviews recent trends and regulatory prospects relating to telecommunications interception in Australia. The steady expansion of surveillance powers in Australia over the past two decades, particularly at the federal level, is critically evaluated. Drawing comparisons with the United States, the article analyzes the strengths and weaknesses of the existing regulatory system for telecommunications interception, including legal safeguards such as judicial warrants and civil actions for unlawful interception. The authors conclude by sketching a new normative framework for telecommunications interception that repudiates the idea of " balancing" competing interests in favor of a regulatory model that promotes human rights and due process as paramount considerations.