Designing Safety Regulations for High-Hazard Industries (2018) / Chapter Skim
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2 Conceptual Framework for Regulatory Design
2 Conceptual Framework for Regulatory Design
Pages 22-33
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From page 22... ...
. This chapter closes with a discussion of what are often viewed as the general advantages and disadvantages of regulations falling within each of the four basic design types from the conceptual framework.
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From page 23... ...
By defining regulations as legally binding commands and by not focusing on the provenance of those commands, this report distinguishes an individual regulation from a final rule developed through the U.S. federal administrative rulemaking process.1 A final rule refers to a document promulgated by a federal agency and published in the Federal Register.
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From page 24... ...
CONCEPTUAL FRAMEWORK As discussed in Chapter 1, the existence of a variety of often ambiguous and sometimes misleading classifications of regulations has contributed to confusion about the choices available to regulators. The labels that others have used to describe regulation have focused on characteristics such as whether a regulation creates incentives for technological development and application, mandates data reporting, requires risk analysis, and specifies design parameters.
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From page 25... ...
Because regulations often carry vernacular labels, some of the more common labels are mapped to this report's typology of the four basic design types. Means Versus Ends A regulation can command that the regulated entity take or avoid an action, with the intention of furthering a regulatory goal or achieving an outcome related to that regulatory goal.
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From page 26... ...
These micro-level regulations are accompanied by many other government regulations, such as state requirements controlling driver qualifications and the wearing of seat belts, that affect the incidence and severity of motor vehicle crashes. In this regard, each individual traffic safety regulation is designed to target, almost in isolation, one of the many factors in the causal pathways or network leading to the ultimate problem of traffic fatalities and injuries.
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From page 27... ...
Furthermore, some regulatory professionals use "performance-based regulation" to refer to what this report calls "macro-means" regulations -- that is, to requirements that firms adopt certain management programs and TABLE 2-1 Four Basic Types of Regulations with Examples Means Ends Micro Micro-Means • Install a hazard warning sign having a certain color scheme • Install a particular type of valve • Inspect the condition of equipment at a defined time interval • Construct a pipeline by using a specified grade of steel Micro-Ends • Ensure that an electrical component of a product passes a test for shock resistance • Limit sulfur dioxide emissions to certain levels • Demonstrate the capability to evacuate all occupants from a building in a designated time Macro Macro-Means • Engage in threat and risk analysis • Establish and execute a safety management program • Reevaluate and revise safety management plan at regular intervals Macro-Ends • Keep the workplace free from recognized hazards • Design and maintain a facility to prevent releases of hazardous substances • Avoid a transportation accident SOURCE: Adapted from Coglianese 2010.
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For example, firms may be expected to conduct an internal risk analysis; identify and evaluate risk control options; implement preferred controls; prepare a written plan for communicating safety-related work rules and ensuring they are understood and observed; and establish procedures supporting manager and worker training, documentation, and compliance monitoring (Silbey and Agrawal 2011)
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However, for readers with an interest in knowing where some common labels used to describe regulatory designs might fit into the organizing scheme of this report, a loosely matched list is provided in Table 2-2. In the sections of this report that follow, these more common labels are sometimes provided in parentheses next to the four regulatory design terms simply to remind the reader of the types of regulations being discussed.
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ADVANTAGES AND DISADVANTAGES COMMONLY ASSOCIATED WITH REGULATION DESIGN TYPES These examples of the different terms used to describe regulatory designs indicate how much variation can exist across individual regulations even though they can be grouped generally into four main design types. Regulations can vary still further within each design type, not just across the four main types.
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A clear understanding of the differences between the four main design types is essential in selecting and justifying the design type most suitable for solving a given problem. Micro-means regulations (which, as noted, are often called "prescriptive")
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Chapter 3 considers case studies showing how, in multiple countries, the four main regulation design types are used in different ways, and in combination with one another, to regulate high-hazard industries. REFERENCES Bardach, E., and R
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2000. Framing Environmental Policy Instrument Choice.
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