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Assessing Punitive and Cooperative Strategies of Corporate Crime Control for Select Companies Operating in 1995 Through 2000 [United States] (ICPSR 22180)

Released/updated on: 2011-01-27

Geographic coverage: United States

Time period: 1995-01-01--2000-01-01

The purpose of the study was to evaluate the extent to which deterrence or cooperative strategies motivated firms and their facilities to comply with environmental regulations. The project collected administrative data (secondary data) for a sample of publicly owned, United States companies in the pulp and paper, steel, and oil refining industries from 1995 to 2000 to track each firm's economic, environmental, and enforcement compliance history. Company Economic and Size Data (Part 1) from 1993 to 2000 were gathered from the Standard and Poor's Industrial Compustat, Mergent Online, and Securities and Exchange Commission, resulting in 512 company/year observations. Next, the research team used the Directory of Corporate Affiliations, the Environmental Protection Agency's (EPA) Toxic Release Inventory (TRI), and the EPA's Permit Compliance System (PCS) to identify all facilities owned by the sample of firms between 1995 and 2000. Researchers then gathered Facility Ownership Data (Part 2), resulting in 15,408 facility/year observations.

The research team gathered various types of PCS data from the EPA for facilities in the sample. Permit Compliance System Facility Data (Part 3) were gathered on the 214 unique major National Pollutant Discharge Elimination System (NPDES) permits issued to facilities in the sample. Although permits were given to facilities, facilities could have one or more discharge points (e.g., pipes) that released polluted water directly into surface waters. Thus, Permit Compliance System Discharge Points (Pipe Layout) Data (Part 4) were also collected on 1,995 pipes.

The EPA determined compliance using two methods: inspections and evaluations/assessments. Permit Compliance System Inspections Data (Part 5) were collected on a total of 1,943 inspections. Permit Compliance System Compliance Schedule Data (Part 6) were collected on a total of 3,336 compliance schedule events. Permit Compliance System Compliance Schedule Violation Data (Part 7) were obtained for a total of 246 compliance schedule violations. Permit Compliance System Single Event Violations Data (Part 8) were collected on 75 single event violations. Permit Compliance System Measurement/Effluent and Reporting Violations Data (Part 9) were collected for 396,479 violations. Permit Compliance System Enforcement Actions Data (Part 10) were collected on 1,730 enforcement actions.

Occupational Safety and Health Administration Data (Part 11) were collected on a total of 2,243 inspections. The OSHA data were collected by company name and include multiple facilities owned by each company and were not limited to facilities in the Permit Compliance System. Additional information about firm noncompliance was drawn from EPA Docket and CrimDoc systems. Administrative and Judicial Docket Case Data (Part 12) were collected on 40 administrative and civil cases. Administrative and Judicial Docket Case Settlement Data (Part 13) were collected on 36 administrative and civil cases. Criminal Case Data (Part 14) were collected on three criminal cases.

For secondary data analysis purposes, the research team created the Yearly Final Report Data (Part 15) and the Quarterly Final Report Data (Part 16). The yearly data contain a total of 378 company/year observations; the quarterly data contain a total of 1,486 company/quarter observations.

The research team also conducted a vignette survey of the same set of companies that are in the secondary data to measure compliance and managerial decision-making. Concerning the Vignette Data (Part 17), a factorial survey was developed and administered to company managers tapping into perceptions of the costs and benefits of pro-social and anti-social conduct for themselves and their companies. A total of 114 respondents from 2 of the sampled corporations read and responded to a total of 384 vignettes representing 4 scenario types: technical noncompliance, significant noncompliance, over-compliance, and response to counter-terrorism.

Part 1 contains 19 economic and size variables. Part 2 contains a total of eight variables relating to ownership. Part 3 contains 67 variables with regard to facility characteristics. Part 4 contains 31 variables relating to discharge points and pipe layout information. Part 5 contains 13 inspections characteristics variables. Part 6 contains 13 compliance schedule event characteristics variables. Part 7 contains 11 compliance schedule violation characteristics variables. Part 8 contains 10 single event violation characteristics variables. Part 9 contains 79 variables including variables for matching limits and discharge monitoring reports, actual limits (permitted levels) variables, standardized limits variables, statistical base codes variables, reported units on limits variables, units for standardized limits variables, sampling information variables, additional limits information, actual DMR reports for each limit, effluent violations, and variables relating to technical aspects of reporting. Part 10 contains 26 enforcement actions variables. Part 11 contains 24 Occupational Safety and Health Administration inspection variables. Part 12 contains 39 administrative and judicial court case characteristics variables. Part 13 contains 21 court case settlement characteristics variables. Part 14 contains 9 criminal case characteristics variables. Part 15 contains 95 variables created for final report analyses by year. Part 16 contains 46 variables created for final report analyses by quarter. Part 17 contains 157 variables including pro-social variables with security/over-compliance intentions, noncompliance variables with technical/significant noncompliance intentions, vignette characteristics variables, other variables derived from survey questions, environmental norms variables, and demographic characteristics variables.

Curated

Banking Reserves Tape, 1959-1986: [United States] (ICPSR 3547)

Released/updated on: 2003-04-25

Geographic coverage: United States

Time period: 1959-01-01--1986-01-01

This collection contains data for aggregate reserves and the monetary base that incorporate the latest adjustments for discontinuities associated with the Monetary Control Act and other regulatory changes to reserve requirements. Weekly data present in these tables cover the period from the beginning of 1959 through 1986. Historical data are shown as follows: Table 1 (monthly) and Table 3 (weekly) present data on reserves measures and the monetary base adjusted to remove discontinuities caused by regulatory changes in reserve requirements. Table 2 (monthly) and Table 4 (weekly) contain data on reserves measures and the monetary base not adjusted for discontinuities. Series adjusted for discontinuities are shown on both a seasonally adjusted and not seasonally adjusted basis. Table 5 (monthly) and Table 6 (weekly) show memorandum items, not adjusted for discontinuities in the reserve requirement structure and not seasonally adjusted. These items include reserve balances at Federal Reserve Banks, vault cash of depository institutions, and borrowings of depository institutions from the Federal Reserve.

Curated

Decision-Related Research on the Organization of Service Delivery Systems in Metropolitan Areas: Public Health (ICPSR 7374)

Released/updated on: 1992-02-16

Geographic coverage: United States

Time period: 1970-01-01--1975-01-01

This study represents one of four research projects on service delivery systems in metropolitan areas, covering fire protection (DECISION-RELATED RESEARCH ON THE ORGANIZATION OF SERVICE DELIVERY SYSTEMS IN METROPOLITAN AREAS: FIRE PROTECTION [ICPSR 7409]), police protection (DECISION-RELATED RESEARCH ON THE ORGANIZATION OF SERVICE DELIVERY SYSTEMS IN METROPOLITAN AREAS: POLICE PROTECTION [ICPSR 7427]), solid waste management (DECISION-RELATED RESEARCH ON THE ORGANIZATION OF SERVICE DELIVERY SYSTEMS IN METROPOLITAN AREAS: SOLID WASTE MANAGEMENT [ICPSR 7487]), and public health (the present study). All four projects used a common unit of analysis, namely all 200 Standard Metropolitan Statistical Areas (SMSAs) that, according to the 1970 Census, had a population of less than 1,500,000 and were entirely located within a single state. In each project, a limited amount of information was collected for all 200 SMSAs. More extensive data were gathered within independently drawn samples of these SMSAs, for all local geographical units and each administrative jurisdiction or agency in the service delivery areas. Two standardized systems of geocoding -- the Federal Information Processing Standard (FIPS) codes and the Office of Revenue Sharing (ORS) codes -- were used, so that data from various sources could be combined. The use of these two coding schemes also allows users to combine data from two or more of the research projects conducted in conjunction with the present one, or to add data from a wide variety of public data files. The delivery of public health services was investigated in 200 SMSAs plus Minneapolis and St. Paul. The basic data collection effort involved the use of public data sources as well as proprietary data from the American Medical Association (AMA) and the Commission on Professional and Hospital Activities (CPHA). Because of the proprietary nature of some of the data and for the preservation of confidentiality, all analyses were performed at the SMSA level. Unlike the other three related research projects, the present study does not provide disaggregated units of analysis such as the administrative jurisdiction, the individual hospital, or other facilities. Variables describe the characteristics of available professionals and facilities, regulatory factors reflecting the impact of federal and state programs available in the area, and financing factors, including the coverage of state Medicaid programs, Blue Cross and Blue Shield, and Medicare programs. Information is also provided regarding the demographic and socioeconomic characteristics of the population served in each SMSA.

Curated

Effectiveness of Safety Regulations: A Study of U. S. Coast Guard Inspections, Detection of Violations, and Occurrence of Casualties (ICPSR 34624)

Released/updated on: 2013-06-06

Geographic coverage: United States

Time period: 1999-01-01--2001-01-01

This study addresses two issues in the enforcement of public law. The first is whether the system of inspections and penalties set by the regulator is effective. The second is whether a better system of inspections and penalties can be designed, given the institutional constraints under which the regulator must function. We study these issues in the context of oil spill prevention activities of the United States Coast Guard (USCG), the agency entrusted with the enforcement of maritime pollution laws. A theoretically optimal contract that mixes penalties based on the amount of pollution ex post with penalties based on the extent of noncompliance ex ante is derived. The effectiveness of USCG inspections and penalties in reducing oil spills is then econometrically studied using microlevel data on a panel of United States flag tank vessels. Whether the optimal penalty can potentially improve the effectiveness of compliance inspections in reducing oil spills is examined in the light of the empirical results and recent developments in the economics and public management literature on effective incentive contracting. Among our findings is the potential for combining unilateral incentive-based methods with cooperative methods based on reciprocity to solve the complex problem of law enforcement.

Curated

Foreign Direct Investment, Productivity, and Country Growth: An Overview (ICPSR 25081)

Released/updated on: 2009-03-11

Geographic coverage: Hungary, United States, Japan, United Kingdom, Bermuda Islands, Switzerland, Spain, Canada, Netherlands, Sweden, Czech Republic, Norway, Luxembourg, Finland, Mexico, France, Germany, Estonia

The authors review the empirical literature that studies the relationship between foreign direct investment, productivity, and growth using aggregate data, and focus on two questions: (1) is there evidence of a positive relationship between foreign direct investment and national growth? and (2) does the output of the "multinational sectors" exhibit higher labor productivity? The authors also briefly discuss how the microeconomic evidence and a number of aggregation and composition problems might help explain the ambiguous results in this literature.

Curated

How Banks Can Self-Monitor Their Lending to Comply with the Equal Credit Opportunity Act (ICPSR 1291)

Released/updated on: 2003-10-09

Geographic coverage: United States

The authors provide a step-by-step discussion of how an individual lender in the United States can self-monitor its loan process for compliance with the Equal Credit Opportunity Act, illustrated with an empirical example. The article addresses the problems faced by individual lenders who attempt to self-monitor their lending process and concludes with a discussion of the continuing, constructive role that bank examiners and regulators can play in this endeavor.

Curated

Politics of Public Utility Regulation in the United States, 1980 (ICPSR 8080)

Released/updated on: 1992-02-16

For this data collection, interviews were conducted in 1979-1980 with managers associated with the public utility regulation process in 12 states. Respondents were public utility commissioners, public utility commission staff members, utility company executives, assistant attorneys general, and representatives of citizens' groups (both governmental and nongovernmental advocates). Variables include attitudinal measures regarding issues in the public utility regulation process, as well as perceptions of organizational accountability, decision-making processes, allocation of resources, and diffusion of innovations within the various organizations associated with the regulatory process. Background information on each respondent was also collected, but many of these variables were recoded as missing data to protect the anonymity of the respondents.

Curated

Transnational Relations and Regional Regulation in Ecuador, Peru and Colombia, 1975 (ICPSR 7591)

Released/updated on: 1992-02-16

Geographic coverage: South America, Ecuador, Colombia, Peru, Global

This data collection contains survey data gathered from 90 chemical and metalworking (light engineering) industries in Ecuador, Peru, and Colombia in 1975, five years after the Andean Group (a regional subgroup of the Latin American Free Trade Association) instituted Decision 24, a policy that regulated foreign investment in member countries. The three countries with firms represented in the study were national political economies characterized by different degrees of industrialization and hence different configurations of sociopolitical forces. They were also relatively politically stable during the five-year period before the survey, thereby implying a greater measure of continuity in the application of Decision 24 than was observed in the other Andean Group countries of Chile and Bolivia, or Venezuela, which did not join the Andean Group until 1973. Also, because of the application of Law 444 in Colombia and the General Law of Industries and ITINTEC in Peru, it was anticipated that managers in those two countries would be more conscious of the range of choice available in the selection of technology and that firms would have recently begun to increase the level of in-house R&D activities. The chemical and metalworking industries fell within the ambit of Andean industrial programming activities, so managers in those industries were expected to represent a group of relatively well-informed persons with respect to Andean Group issues. The data were obtained from an orally administered, primarily open-ended questionnaire given to managers of the selected firms. The survey's data measure: (1) the size of the firm in terms of assets, earnings, employment, and sales, (2) the ownership structure of the firm and changes over time, (3) self-evaluation of future market position and development plans, (4) source of technology, including explanation of the choice, cost of technology (royalties), and date for all licenses, (5) R&D activities and expenditures of the firm, (6) firm's relationship to the integrative system (imports from and exports to other Andean countries and the world), and (7) attitudes of firm managers toward Decision 24 and toward attempts by government to regulate Direct Foreign Investment (DFI) and Technology Transfer.

Curated

Union Representation Elections and the Role of the National Labor Relations Board (ICPSR 7625)

Released/updated on: 1992-02-16

Geographic coverage: United States

Time period: 1972-02-01--1973-09-01

This data collection contains survey results based on personal interviews conducted with 1,239 workers who participated in union representation elections in the United States in 1972-1973. The purpose of the study was to test the validity of the assumptions made by the National Labor Relations Board (NLRB) that employees are likely to attend to and be significantly influenced by the pre-election campaign in deciding whether or not to vote for union representation. These assumptions were the basis of many NLRB rules and regulations surrounding such elections. This study attempted to measure the actual effect of the pre-election campaign, particularly unlawful campaigning, on the employees' predisposition to vote for or against union representation. To that end, employees were interviewed in two waves, first to determine how employees intended to vote before the campaign began and then to measure how they ultimately voted. In Wave 1, workers were questioned about their pre-campaign sentiments about union representation. Employees were asked how they felt about their working conditions and about unions in general. They also were asked whether or not they had signed a union authorization card and how they would vote if the election were to be held the next day. In Wave 2, employees were asked to recall the content of the campaign and to disclose how they had voted and why, including any observations of pressures exerted by companies/employers or unions before and after the representation elections. Data collected about the respondents' demographic characteristics and job experience include age, sex, race, education level, political preferences, marital status, tenure, hours working (per week), wage rate (per hour), if previous union member, if voted in previous NLRB election, and if spouse, father, or mother were union members. The study and its objectives are laid out in Getman, Julius G., Stephen B. Goldberg, and Jeanne B. Herman. UNION REPRESENTATION ELECTIONS: LAW AND REALITY. New York: Russell Sage Foundation, 1976.