Protective Factors

Hirschauer, Norbert; Scheerer, Sébastian

doi:10.1007/978-1-4614-7883-6_387-1

Cited by 3 publications

(4 citation statements)

References 15 publications

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“…there is another quality in the agents that may have a decisive influence on their belonging to the compliant or non-compliant subpopulations. Based on this line of thought, it might be worth studying the influence of social control and bonds to social norms as factors that protect people from giving in to material temptations (Hirschauer & Scheerer, 2016). In this regard, it would also be interesting to analyse, in different subpopulations, if, or rather how, various policy interventions (e.g.…”

Section: Discussionmentioning

confidence: 99%

Can personality traits explain compliance behaviour? - A study of compliance with water-protection rules in German agriculture

Funke¹,

Hirschauer²,

Peth³

et al. 2019

Preprint

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Going beyond the rational choice approach used in conventional economics of crime, the question arises whether psychological personality traits analysis can contribute to a better understanding of non-compliance and, eventually, to the prevention of illicit behaviours. This study investigated how personality traits are related to compliance with environmental regulation in agriculture. The object of study was a water-protection rule that required farmers using fertilising to keep it a minimum distance away from nearby water bodies. Self-interested infringements can cause serious environmental damage to waters (negative externalities) through nitrogen runoff. In a survey among German farmers, we employed a 10-item version of the Big Five Inventory to measure the traits that are used as predictor variables in a regression analysis. The outcome variable was the farmers’ compliance behaviour in a business management game where rule-breaking was more profitable than rule-abidance. Some noteworthy findings were observed in the surveyed sample. (i) Neuroticism was positively related to ‘overall compliance’, measured as a binary yes/no variable; that is, more anxious farmers were less prone to rule-breaking. Surprisingly, however, a positive relationship between neuroticism and compliance was not found when looking separately at the deviant subgroup; here, greater neuroticism was associated with more severe rule violations, in terms of illicitly fertilised acreage. (ii) In the deviant subgroup, as might have been expected, higher levels of conscientiousness were associated with less severe rule-violations. Contrary to expectations, again, higher levels of agreeableness were linked to more severe non-compliance. A substantial positive relationship was found between extraversion and the severity of non-compliance, in accordance with ex-ante expectation. For openness to experience, no noteworthy results were obtained. The results indicate that agents with heterogeneous personality traits might react differently to identical economic and institutional environments. Moreover, it is suggested that, other than traits, there is another quality in agents (e.g. social control) that may have a decisive influence on their belonging to the compliant or non-compliant subpopulation. Farmers’ responses to changes brought forward by regulators who aim to prevent rule-breaking might therefore differ as well.

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Section: Discussionmentioning

confidence: 99%

Can personality traits explain compliance behaviour? - A study of compliance with water-protection rules in German agriculture

Funke¹,

Hirschauer²,

Peth³

et al. 2019

Preprint

Self Cite

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“…Non-material factors associated with social control and internalized norms that encourage compliance in an environment where material factors would favour non-compliance are termed “protective factors” in law and economics. In this paper, we use the following definition: “Protective factors are characteristics in individuals and/or their socio-economic environments that discourage actors from rule-breaking by causing non-material benefits (utility) in the case of compliance and non-material costs (disutility) in the case of non-compliance” (Hirschauer and Scheerer, 2014). This definition is a useful tool to transcend an all-too narrow rational choice conception with its restrictive assumption of utility hinging exclusively on material wealth.…”

Section: Conceptual Theoretical Backgroundmentioning

confidence: 99%

“…Depending on the situation, utility gains from complying with rules may, or may not, outweigh temptations to break them (Pinstrup-Andersen, 2005). In addition to the factors considered in the framework by Hirschauer et al (2012) and its extension by Hirschauer and Scheerer (2014), we test the effect of knowledge on compliance behaviour as knowledge of the decision makers is cited as a basic requirement for compliant behaviour (cf. Elffers et al , 2003).…”

Section: Conceptual Theoretical Backgroundmentioning

confidence: 99%

Does disclosure of food inspections affect business compliance? The case of Berlin, Germany

Bavorová

Fietz

Hirschauer

2017

BFJ

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Purpose A whole series of food scandals indicates that misdirected incentives continue to be a source of food risks. Lacking market transparency and the opportunistic use of seemingly profitable opportunities to break the rules cause negative externalities and failure of markets. The purpose of this paper is to investigate the influence of mandatory transparency schemes on food businesses’ behavioural drivers and thus on compliance. Design/methodology/approach The authors use an adopted analytical framework developed by Hirschauer et al. (2012) as the theoretical background. The authors provide an empirical analysis of the effects of a disclosure system on businesses’ behavioural drivers in three urban parts of the German capital Berlin. The authors conducted a pen-and-paper survey among food businesses to collect data and used a generalized ordered logit regression model to analyse them. Findings The results show that the higher the businesses assess the possible negative effects of a negative smiley on sales, the higher the probability of compliance. Considering the immaterial behavioural drivers (protective factors) the authors find the statistical significant influence of a feeling of embarrassment in case of disclosure and the feeling of a fair evaluation on compliance. Thus, the study supports the expectation that disclosure policies affect behavioural drivers and have the potential to steer food businesses’ compliance. Practical implications The study supports the expectation that hygiene controls’ disclosure positively affects food businesses’ compliance. These findings should be taken into consideration in the ongoing discussion about disclosure. Nowadays, there is no mandatory transparency in Germany due to a strong opposition from businesses and their lobbying groups. Originality/value The authors conducted a pen-and-paper survey among food businesses in three urban districts of the German capital Berlin, namely, Pankow, Lichtenberg and Marzahn-Hellersdorf in 2014. The food authorities in these districts were the only ones in Germany that had introduced and run a mandatory disclosure system (smiley-system) for food businesses. The results of the inspections were published on the authorities’ homepages in the internet, and were displayed in businesses. Thus the data mirror the unique experiences of the only German food businesses that participated in a mandatory transparency scheme.

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“…Following the definition by Hirschauer and Scheerer (, 2), the term protective factors can be attached to all nonmaterial behavioral drivers associated with external and internal control that “discourage actors from rule breaking by causing non‐material benefits (utility) in the case of compliance and non‐material costs (disutility) in the case of non‐compliance.” Along the same lines, Pinstrup‐Andersen () noted that, depending on the context and actor, nonmaterial utility gains from complying with rules may or may not outweigh material temptations to break them. Focusing on costs, we understand embarrassment as a socially imposed (external) cost and the feeling of guilt as a self‐imposed (internal) cost (Grasmick, Bursick, and Kinsey ).…”

Section: Introductionmentioning

confidence: 99%

Compliance with Food Safety Laws in Germany: Food Businesses in Berlin

et al. 2018

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In this article we explore how variables associated both with material temptations (economic incentives that foster rule breaking) and nonmaterial behavioral determinants (protective factors that shield people from rule breaking) are linked to compliance with food laws. The object of the study is to examine food businesses in the ready‐to‐eat industry in three districts of the German capital, Berlin. We collected data on compliance behavior and its potential drivers via an anonymous postal survey in 2014. Accounting for the data structure, we used a generalized ordered logit regression to model the relationship between the presumed behavioral drivers and compliance. One crucial finding is that a feeling of embarrassment if relevant others were to learn about noncompliance is positively related to compliance. The same holds for the internalized approval of food laws and their enforcement (acceptance of rules).

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Protective Factors

Cited by 3 publications

References 15 publications

Can personality traits explain compliance behaviour? - A study of compliance with water-protection rules in German agriculture

Can personality traits explain compliance behaviour? - A study of compliance with water-protection rules in German agriculture

Does disclosure of food inspections affect business compliance? The case of Berlin, Germany

Compliance with Food Safety Laws in Germany: Food Businesses in Berlin

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