Responsive Regulation

An alternative approach to the model of regulation of private security exercised by the Federal Police in the Brazilian context

Abstract

[Purpose] This study aims to analyze the regulatory framework of private security, in which the Federal Police plays a crucial role. The characteristic element of the regulatory model of private security in Brazil is primarily based on the command-and-control structure resulting from the combination of Law No. 7,102, dated June 20, 1983, and Ordinance No. 18,045, dated April 17, 2023, which grants the Department of Federal Police the competence to regulate, authorize, and oversee this activity considered complementary to public security. The study will be guided by the responsive regulatory matrix, visually represented by the models of the enforcement pyramid inaugurated by Ayres and Braithwaite in 1992, in which punishment and persuasion are complementary and reinforce the sense of compliance by the regulated entities. Ultimately, this study aims to address the underlying provocative question concerning the application of responsive regulation within the contours of this specific regulatory context in Brazil. Other countries, notably England, have experiences with the application of responsive regulation theory to the private security sector, as demonstrated by the works of Prezler and Sarre in 2014. Therefore, the knowledge gained from that country could serve as a stimulus for considering the possible inclusion of a responsive model of sectoral regulation in the context of private security in Brazil.

[Methodology/approach/design] The focus of this study will be based on the fundamental concepts of administrative regulation and responsive regulation theory. The study is also guided by Ruling 1970/2017 of the Court of Auditors of the Union, which pointed out that only a negligible portion of fines imposed by regulatory bodies is effectively collected, leading to the conclusion of the ineffectiveness of a purely punitive approach in regulatory enforcement.

[Findings] The main implications of the conclusions intended to be reached through this study consist of the theoretical proposition of applying the responsive regulation theory in the context of national sectoral regulation. As potential practical implications, it is aimed to introduce the responsive regulation theory to this poorly understood sector in Brazil due to its complexity, thus bringing forth the possibility of regulatory improvement in the private security field, particularly as it complements public security.

[Originality/value] The article aims to contribute to filling the gap in the study of regulation by inviting the heavily regulated sector of Private Security into the debate, which has traditionally been overlooked in legal discussions, including those regarding regulation. Its uniqueness, so to speak, lies in the comparison of foreign regulatory mechanisms, without claiming exhaustiveness, despite the absence of in-depth studies on the regulation of Private Security in the Brazilian context, particularly in the focused segment.