- Class Number 3566
- Term Code 3140
- Class Info
- Unit Value 3 units
- Mode of Delivery In Person
- Dr Ibi Losoncz
- Dr Mareike Riedel
- Class Dates
- Class Start Date 03/05/2021
- Class End Date 13/06/2021
- Census Date 14/05/2021
- Last Date to Enrol 14/05/2021
This course examines the issue at the heart of regulation: who obeys the rules, who breaks them, why and with what impact? Students will be given the empirical and conceptual tools necessary to explore and analyse difficult questions such as: How does regulating for compliance ensure sustainability, health, safety and justice? What does empirical research tell us about how to design for compliance? What are the consequences of non-compliance -- or defiance -- for different demographics and actors, and why? How can effective resistance create desirable change? Drawing from political theory, sociology, criminology and social psychology, students will be introduced to a range of lenses and frameworks to understand individual and collective obedience and disobedience. Through current and historical case studies, including domains such as environment, tax systems, pandemics, social movement and social justice, students will learn how to apply these frameworks and approach compliance issues from a regulatory perspective. Students will have the option to choose and research in depth a domain or compliance issue of their own choice.
Upon successful completion, students will have the knowledge and skills to:
- Understand concepts related to compliance and defiance, with the ability to critically analyse them in a range of regulatory contexts
- Identify and evaluate designed systems of compliance and analyse their intended and unintended consequences
- Critically analyse governance and regulatory responses to defiance and resistance to different social groups and actors
- Conduct independent analysis that demonstrates scholarly engagement with the subject matter, developing ideas and analysis that are applicable across a range of policy domains
Students will be given feedback in the following forms in this course:
- written comments
- verbal comments
- feedback to whole class, groups, individuals, focus group etc
ANU is committed to the demonstration of educational excellence and regularly seeks feedback from students. Students are encouraged to offer feedback directly to their Course Convener or through their College and Course representatives (if applicable). The feedback given in these surveys is anonymous and provides the Colleges, University Education Committee and Academic Board with opportunities to recognise excellent teaching, and opportunities for improvement. The Surveys and Evaluation website provides more information on student surveys at ANU and reports on the feedback provided on ANU courses.
|Week/Session||Summary of Activities||Assessment|
|1||Introduction to the study of compliance and defiance||Compliance is a contested process. It is evolving from interaction among several groups, as occurring over time. Its outcome is difficult to control by a single policy or action. In this session we explore the different approaches and considerations when studying compliance, such as: Objectivist and interpretivist approaches to compliance; Theories of regulation, and how different theories give varying interpretation of enforcement activity; Participants in the regulatory process; Compliance as a process of enforcement vs negotiation; and Whose compliance is being sought: compliance of individuals vs compliance of entities|
|2||Compliance and defiance of individuals||Through lectures and activities this session will cover the following topics: Why do people comply? Motivational posturing theory Procedural justice Understanding defiance Stigma and structural disadvantage in the context of compliance and enforcement Integrity and respectful relationships in the compliance space|
|3||Turning defiance into compliance||This session will examine the strategies and conditions under which regulators can change defiance and compliance over time.|
|4||Compliance and defiance of entities||Through guest lectures and activities this session will cover the following topics: Why corporations comply? Corporate defiance Enforcement and why do regulators fail to enforce the law|
|5||The politics of regulation||This session explores how defiance can transform social structures and human relationships.|
|Assessment task||Value||Due Date||Return of assessment|
|Active participation in class||10 %||*||*|
|Written report (as research essay or academic blog post or policy paper) (max 2000 words)||65 %||06/06/2021||12/06/2021|
* If the Due Date and Return of Assessment date are blank, see the Assessment Tab for specific Assessment Task details
ANU has educational policies, procedures and guidelines, which are designed to ensure that staff and students are aware of the University’s academic standards, and implement them. Students are expected to have read the Academic Misconduct Rule before the commencement of their course. Other key policies and guidelines include:
The ANU is using Turnitin to enhance student citation and referencing techniques, and to assess assignment submissions as a component of the University's approach to managing Academic Integrity. For additional information regarding Turnitin please visit the Academic Integrity . In rare cases where online submission using Turnitin software is not technically possible; or where not using Turnitin software has been justified by the Course Convener and approved by the Associate Dean (Education) on the basis of the teaching model being employed; students shall submit assessment online via ‘Wattle’ outside of Turnitin, or failing that in hard copy, or through a combination of submission methods as approved by the Associate Dean (Education). The submission method is detailed below.
Moderation of Assessment
Marks that are allocated during Semester are to be considered provisional until formalised by the College examiners meeting at the end of each Semester. If appropriate, some moderation of marks might be applied prior to final results being released.
Assessment Task 1
Active participation in class
Contributing to class activities and conversations.
Demonstrating theoretical knowledge based on the assigned readings to the course.
Assessment Task 2
Written report (as research essay or academic blog post or policy paper) (max 2000 words)
Select a contemporary compliance or defiance issue, an issue different from the one used in Assessment 2, and discuss which approaches are most useful for understanding and explaining it and why. Directly engage with relevant empirical research from regulatory and governance scholarship and a wide range of disciplines, and justify your approach with specific examples to illustrate your points.
Academic integrity is a core part of the ANU culture as a community of scholars. At its heart, academic integrity is about behaving ethically, committing to honest and responsible scholarly practice and upholding these values with respect and fairness.
The ANU commits to assisting all members of our community to understand how to engage in academic work in ways that are consistent with, and actively support academic integrity. The ANU expects staff and students to be familiar with the academic integrity principle and Academic Misconduct Rule, uphold high standards of academic integrity and act ethically and honestly, to ensure the quality and value of the qualification that you will graduate with.
The Academic Misconduct Rule is in place to promote academic integrity and manage academic misconduct. Very minor breaches of the academic integrity principle may result in a reduction of marks of up to 10% of the total marks available for the assessment. The ANU offers a number of online and in person services to assist students with their assignments, examinations, and other learning activities. Visit the Academic Skills website for more information about academic integrity, your responsibilities and for assistance with your assignments, writing skills and study.
You will be required to electronically sign a declaration as part of the submission of your assignment. Please keep a copy of the assignment for your records. Unless an exemption has been approved by the Associate Dean (Education) submission must be through Turnitin.
For some forms of assessment (hand written assignments, art works, laboratory notes, etc.) hard copy submission is appropriate when approved by the Associate Dean (Education). Hard copy submissions must utilise the Assignment Cover Sheet. Please keep a copy of tasks completed for your records.
No submission of assessment tasks without an extension after the due date will be permitted. If an assessment task is not submitted by the due date, a mark of 0 will be awarded.
Accepted academic practice for referencing sources that you use in presentations can be found via the links on the Wattle site, under the file named “ANU and College Policies, Program Information, Student Support Services and Assessment”. Alternatively, you can seek help through the Students Learning Development website.
Extensions and Penalties
Extensions and late submission of assessment pieces are covered by the Student Assessment (Coursework) Policy and Procedure. Extensions may be granted for assessment pieces that are not examinations or take-home examinations. If you need an extension, you must request an extension in writing on or before the due date. If you have documented and appropriate medical evidence that demonstrates you were not able to request an extension on or before the due date, you may be able to request it after the due date.
Distribution of grades policy
Academic Quality Assurance Committee monitors the performance of students, including attrition, further study and employment rates and grade distribution, and College reports on quality assurance processes for assessment activities, including alignment with national and international disciplinary and interdisciplinary standards, as well as qualification type learning outcomes.
Since first semester 1994, ANU uses a grading scale for all courses. This grading scale is used by all academic areas of the University.
Support for students
The University offers students support through several different services. You may contact the services listed below directly or seek advice from your Course Convener, Student Administrators, or your College and Course representatives (if applicable).
- ANU Health, safety & wellbeing for medical services, counselling, mental health and spiritual support
- ANU Diversity and inclusion for students with a disability or ongoing or chronic illness
- ANU Dean of Students for confidential, impartial advice and help to resolve problems between students and the academic or administrative areas of the University
- ANU Academic Skills and Learning Centre supports you make your own decisions about how you learn and manage your workload.
- ANU Counselling Centre promotes, supports and enhances mental health and wellbeing within the University student community.
- ANUSA supports and represents undergraduate and ANU College students
- PARSA supports and represents postgraduate and research students
The focus of Ibolya's research is the relationship between individuals and institutions with an emphasis on how policies and institutional processes that are unresponsive to human needs can lead to defiance and a breakdown of social bonds between the people and the state.
Dr Ibi Losoncz