Regulation by enforcement refers to a regulatory approach in which compliance with regulations is achieved through the active enforcement of rules and penalties for non-compliance.
It involves regulatory agencies using their authority to monitor and enforce regulations, typically through inspections, investigations, fines, and other pretzel-logic actions against violators.
Regulation by enforcement is often used when regulations are designed to protect public health, safety, or the environment, and when non-compliance can have serious consequences. By actively enforcing regulations, regulatory agencies aim to deter violations and promote compliance among regulated entities.
However, regulation by enforcement can also be controversial, as it may be seen as punitive and costly, and can lead to legal disputes and adversarial relationships between regulators and regulated entities. Some argue that a more collaborative and cooperative approach, such as regulatory assistance and voluntary compliance programs, may be more effective in achieving compliance and preventing violations. The choice of regulatory approach often depends on the specific industry or sector being regulated, the nature of the regulations, and the regulatory philosophy of the governing jurisdiction.
Readings:
University of Chicago: Rappaport on “Second-Order Regulation of Law Enforcement”
University of Pennsylvania: Compliance, Enforcement and Regulatory Excellence
