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3 Policy areas covered by the survey P1. Adoption of explicit policy for regulatory reform P2. Policy coherence integrating competition and market openness P3. Clarity & due process in rule-making procedures P4. Communication of regulations P5. Provision of justification for regulatory actions, alternatives P6. Compliance and enforcement P7. Transparency and consultation processes P8. Assessing the quality of new regulation through RIA P9. Facilitating licenses, permits and administrative requirements P10. Reducing and controlling administrative and regulatory burdens P11. Training in regulatory quality skills P12. Institutional capacity for managing regulatory reform P13. Parliamentary oversight of regulatory policy P14. The contribution of the judiciary to regulatory management P15. Multi-level co-ordination mechanisms for regulatory policy P16. Dynamic process of evaluation and update of regulations P17. Assessing Performance
Citation preview
1
Quality Indicators of Regulatory Management Systems
Stéphane Jacobzone, Chang Won Choi, Claire Miguet
The views are the author’s responsibility
OECD
Seminaire « Mesure du Droit15-16 Décembre 2006, Conseil d’EtatParis
2
Conceptual framework Regulatory management: processes for generating new
regulations and for reengineering existing regulations Focus on Institutions, Tools and Policies OECD 1997 and 2005 principles for regulatory quality and
performance: – Adopt at the political level broad programmes of regulatory reform
that establish clear objectives and frameworks for implementation – Review regulations systematically to ensure that they continue to
meet their intended objectives efficiently and effectively– Ensure that regulations, regulatory institutions charged with
implementation and regulatory processes are transparent, non discriminatory and efficiently applied
Normative choice derived from OECD work (in depth reviews of 22 countries)
3
Policy areas covered by the survey P1. Adoption of explicit policy for regulatory reform P2. Policy coherence integrating competition and market openness P3. Clarity & due process in rule-making procedures P4. Communication of regulations P5. Provision of justification for regulatory actions , alternatives P6. Compliance and enforcement P7. Transparency and consultation processes P8. Assessing the quality of new regulation through RIA P9. Facilitating licenses, permits and administrative requirements P10. Reducing and controlling administrative and regulatory burdens P11. Training in regulatory quality skills P12. Institutional capacity for managing regulatory reform P13. Parliamentary oversight of regulatory policy P14. The contribution of the judiciary to regulatory management P15. Multi-level co-ordination mechanisms for regulatory policy P16. Dynamic process of evaluation and update of regulations P17. Assessing Performance
4
Institutional context
OECD work on Regulatory Reform started in 1998 Horizontal and multidisciplinary approach: link to
product market indicators by the Economics Department
Need to focus on “objective” indicators and to take advantage of the official network
Cautious approach: first descriptive results
5
Regulatory Quality Indicators
First wave of the results from the 2005 survey Follows prior surveys in 1998 and 2000 Submissions received from 30 OECD
countries as well as the EU Commission Thorough check of older data from the prior
surveys
6
The results
Descriptive stage: reflects the submissions with a policy oriented approach– Aggregated information on trends– Detailed comparative information on the recent results– Some preliminary composite indicators
Progress with institutional settings, RIA, rule making procedures, communication access to regulations, regulatory review and update
Complete comparative description of RIA processes and institutions
Preliminary data on trends in new laws and regulations
Institutional setting to promote regulatory policyRecent Trends
0 5 10 15 20 25
Specific minister accountable for promoting government-wide progress on regulatory reform
Body analyses regulatory impacts
Body reports on progress by individual ministries
Regulatory policy body consulted when developing newregulation
Dedicated body responsible for promoting regulatorypolicy and monitoring on regulatory reform
number of countries2005 1998
27
Forms of Public Consultation
26
23
1416
21
25
22
26
20
13 13
18
22
19
0
5
10
15
20
25
30
Informalconsultationwith selected
groups
Broadcirculation for
comment
Public noticeand comment
Publicmeeting
Internet Advisorygroup
Preparatorypublic
committee
num
ber o
f cou
ntrie
s
Primary Laws Subordinate Regulations
Minimum period for allowing consultation comments
0
2
4
6
8
10
12
14
Country
num
ber o
f wee
ks
Minimum period for allowing consultation comments inside government
Minimum period for allowing consultation comments by the public, including citizens and business
Communication of regulations
0 5 10 15 20 25
Guidance on plain language drafting available
General policy requiring “plain language” drafting
Laws publicly accessible via the Internet
Only subordinate regulations in the registry are enforceable
Publication of consolidated register of all subordinate regulations currentlyin force
Mechanism for regular updating of the codes
Codification of primary laws
Systematic procedures for making regulations known and accessible toaffected parties
number of countries2005 199827
Trends in adoption of Regulatory Impact Analysis
0
5
10
15
20
25
30
Number of countries
RIA adoption
Regulatory Impact Analysis: requirements Recent Trends
0 5 10 15 20 25
Requirement to demonstrate that benefits of regulationjustify the costs
Requirement to identify the benefits of new regulation
Requirement to identify the costs of new regulation
Requirement for draft subordinate regulations
Requirement for draft primary laws
Formal requirement by law
number of countries2005 1998
27
Regulatory Impact Analysis: Specific Poliy Impacts
0
5
10
15
20
25
30
Always Only for major regulationIn other selected cases No
Reducing Administrative Burdens
0 5 10 15 20 25
There is an explicit government programme to reduce theadministrative burdens imposed by government on enterprises /
citizens
It includes quantitative targets?
It uses Information and communication technologies
It streamlines government administrative procedures
It reallocates powers and responsibilities between governmentdepartments / levels of government
number of countries2005 199827
Trends in the number of new laws and regulations
-100
-50
0
50
100
150
-150 -120 -90 -60 -30 0 30 60 90
Trends in number of new laws
Tren
ds in
num
ber o
f new
regu
latio
ns
ESP
CAN
NLD
UK
DEU
POL
USA
FIN
BEL
TUR
ICE
HUN
NZL
AUT
16
What is next?
– A reference point for monitoring regulatory frameworks
– Links between tools and regulatory institutions
– Areas of convergence– Further analytical steps
• Factor analysis to determine country profiles • Analytical work to assess the relevance of the
results and the link with other existing indicators and relevant economic variables