Nudging complianceEmpowering public employees to uphold regulations and safeguard against corruption

Resum

The aim of this doctoral thesis is to analyze, from a theoretical perspective, the use of Nudge and Compliance techniques in public administration as a means to enhance norm compliance by public employees and prevent corrupt practices within the scope of public administration. The research question was: How can Nudge and Compliance techniques be applied in public administration, from a theoretical perspective with a focus on administrative law, to strengthen normative compliance and prevent corruption among public employees? The specific objectives, first developed in Chapter I, are to conduct an analysis of corruption, its multifaceted nature, and the various forms in which it manifests, highlighting its impact on political contexts, public procurement, and human rights. The second objective, worked on in Chapter II, is to study the concept of compliance and its application in the public sector, with a focus on corruption prevention and control. The third specific objective, developed in Chapter III, is to investigate existing norms and mechanisms for preventing corruption and promoting norm compliance in public employment, examining their effectiveness and possible gaps. The fourth and final chapter, developed in Chapter IV, is to identify existing strategies that can be combined with Nudge and Compliance in public administration, analyzing their potential to strengthen transparency, norm compliance, and corruption prevention. The research methodology employed a descriptive legal approach and deductive analysis. It is important to note that the scope of this work was limited to analyzing legal issues and highlighting key aspects from an administrative law perspective. To address this topic, a qualitative methodology was used, involving an exhaustive analysis of Spanish laws, treaties, doctrine, and jurisprudence, as well as the European Court of Human Rights' rulings. The deductive method, based on the analysis of universally applicable laws and principles, was primarily employed. In conclusion, it is expected that this doctoral thesis can contribute to legal science as it seeks to explore the application of Nudge and Compliance in public administration, from an administrative law perspective. The interrelated areas of behavioral compliance, behavioral law, behavioral public administration, and Nudge have been identified, with Nudge being highlighted for its potential in combating corruption and promoting compliance in Spain. Furthermore, the doctoral thesis aimed to offer a comprehensive and analytical view of corruption prevention in public administration through the combination of Nudge and Compliance techniques. Additionally, the main innovations of this research lie in proposing comprehensive strategies based on Nudge and Compliance, as well as calling for more empirical studies and practical applications in public administration on a global level. The importance of training public employees and the role of ethics in building an organization have been emphasized. The significance of having a solid normative framework, promoting ethics and transparency, implementing control and evaluation mechanisms, and fostering an organizational culture oriented towards normative compliance has been evidenced. These strategies, based on nudging and voluntary compliance, can contribute to improving the effectiveness of corruption prevention and strengthening citizens' trust in public institutions. However, it was highlighted that the challenges need to be overcome, and further research is required to refine and adapt the strategies to the ever-changing administrative and social context. In recent years, Spain has implemented various measures to improve the fight against corruption and promote transparency and integrity in public administration. These measures include creating new institutions and approving new laws and regulations, aiming to prevent corruption and ensure the efficient and transparent use of public resources. A recommendation to the Spanish government is to invest in Nudge and the creation of Nudge Units in public administrations, as Rivero recalled, which will achieve more efficiency in governance and good administration, facing challenges with interventions based on the Nudge methodology, as successfully implemented in Britain with the case of BIT, the United States, and Australia. Despite Spain having created other offices through imitation of comparable solutions, small interdisciplinary offices of behavioral analysis have not yet been experimented with. For future studies, it is recommended to carry out correlated research in the four mentioned areas (behavioral compliance, behavioral law, behavioral public administration, and Nudge) to delve deeper into the fight against corruption in public administration. Furthermore, collaboration with other disciplines such as psychology and economics is suggested to enhance the integrity and quality of services provided.