Training Workshop for the laboration and Analysis of ... · Training Workshop for the laboration and Analysis of Regulatory Impact Assessments (RIA ... officials to prepare a Regulatory

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Training Workshop for the Elaboration and Analysis of Regulatory Impact Assessments (RIA)

September 26, 27 and 28, 2016 Lima Chamber of Commerce

Av. Giuseppe Garibaldi 396, Jesus Maria Lima, Peru

1. Objective

The workshop aims to develop the necessary skills for public officials to prepare a Regulatory Impact Assessment (RIA), or to be able to make a quality assessment of a RIA. This workshop is aimed at the learning experience through the assessment and discussion of real case studies, and from a constant dialogue with the course facilitators. As a final exercise, participants will assess the quality of real RIAs.

2. Background

Regulatory Impact Assessment

Regulatory Impact Assessments, or RIA, are applied in several OECD Member and non-Member countries as a key tool to enhance the regulatory environment and quality for businesses and citizens. RIA represents a fundamental tool to guarantee the quality of new regulations through an evidence-based process for decision-making. A RIA system that works well can be helpful in the promotion of consistency in public policies by making transparent the intrinsic advantages and disadvantages of regulatory proposals. RIA improves the use of evidence in policy drafting and reduces the occurrence of regulatory failure, which may be a result of regulating when there is no sense in doing so, or not regulating when there is a clear need of it.

The use of RIA by OECD Member countries has expanded during the last 30 years. 34 OECD Member countries currently have a RIA system implemented in some way. The 2012 Recommendation of the OECD Council on Regulatory Policy and Governance provides the principles for the integration of RIA in the first stages of the public policy process for the elaboration of new regulatory proposals.

Likewise, the 2012 Recommendation provides that the RIA should be supported by clear policies, training programs, guidelines and quality control mechanisms for the collection and use of data. Along with that, independent economic regulators have the challenge of implementing RIA in the elaboration of regulations of their competence, with the purpose of ensuring that their regulatory framework has the same quality level than the rest of the government, or even improving it.

3. Workshop's structure and facilitators

The OECD has vast experience and knowledge in RIA systems of Member and non-Member countries that may serve as a foundation in order to satisfy the demand and provide high-quality capacities strengthening. OECD’s RIA training program has the purpose of providing practical information and facilitating learning through case studies, group exercises and presentations from public officers with extended and relevant expertise in applying RIA systems. The OECD gathers the experience of leader Member countries in order to assist trainees in the implementation of RIA for the creation of policies with the purpose of improving regulatory results of central and subnational governments.

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OECD logo

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The course is designed for medium and high-level officers who are starting with the implementation of RIA or who are in the first stages of implementation. The workshop contains 20 sessions distributed in three days, and has a total of 20 hours. The workshop is taught by three officials from the Regulatory Policy Division of the OECD and three experts from OECD countries with experience in the design and analysis of RIAs The workshop facilitators are:

Manuel Gerardo Flores, Senior Economist, Regulatory Policy Division, OECD

Delia Maria Vazquez, Policy Analyst, Regulatory Policy Division, OECD

Andres Blancas, Economist, Regulatory Policy Division, OECD

Fabiola Perales, Consultant and regulatory policy specialist and former Director in the Federal

Regulatory Improvement Commission of Mexico

Luis Fernando Rosas, General Coordinator of Regulatory Improvement, Federal Telecommunications

Institute of Mexico

Sergio Dominguez, Director of Regulation of Transmission and Distribution of Electricity, Energy

Regulatory Commission of Mexico

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4. Workshop’s Summarized Agenda

September 26 September 27 September 28

8:30 Registration

8:45

9:00 Welcome

Impact Evaluation - Methodology

Case Study 8: Monitoring and evaluation

9:30 Protocolary photo

9:35 RIA in the context of regulatory policy and governance, and the experience of OECD member

countries Principles on the Governance of Regulators

10:15 Break

10:30

Case Study 1: RIA Evaluation Committee

Case Study 5: Impact of Regulation

10:45 Break

11:10

Competition assessment 11:15 Break

11:30

Definition of the problem and public policy objective

Importance of Consultation 11:45

12:00

Case Study 9: Competition 12:15

12:30

Case Study 6: Consultation 12:45

Case Study 2: Definition of the problem

Case Study 3: Objectives

Elements and strategies for the implementation of RIA

13:00

13:15

Compliance Strategies 13:30

13:45

Lunch

14:00

14:15

Lunch Lunch

14:30

14:45

15:00

15:15 Osinergmin RIA progress and next steps


15:35

15:45

Alternatives to regulation Case Study 7: Compliance 16:00

16:15

Osinergmin Case Study 16:30

Monitoring and evaluation 16:45

Case Study 4: Alternatives to regulation

17:00

17:15 Discussion panel and final remarks 17:30

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17:45

18:00

18:15

18:30

19:00 Closing ceremony

19:15

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5. Workshop’s Detailed Agenda

Day 1: September 26, 2016

Session / Time

Title / Content

Material

Registration of participants 08:30 to 09:00 30 minutes

Session 1 09:00 to 09:35 35 minutes

Welcome speech

Master of ceremonies Jesus Tamayo Pacheco, Chairman of the Board Osinergmin Manuel Gerardo Flores, Senior Economist, Regulatory Policy Division, OECD Eric Anderson Machado, Secretary General of the Ministry of Foreign Affairs Gonzalo Tamayo Pacheco Flores, Minister of Energy and Mines

Protocolary Photo

Key learning points

Course agenda and expectations Speakers of the workshop Relevant information

Workshop Agenda Speakers résumé

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RIA in the context of regulatory policy and governance, and experience of OECD member countries

Manuel Gerardo Flores, Senior Economist, Regulatory Policy Division, OECD (20 minutes) Fabiola Perales, Consultant (20 minutes)

5 minutes for questions and answers

Key Learning Points OECD’s theory framework of Regulatory Policy

and Governance Institutional establishment, procedures,

capacity, impact, challenges and successful stories.

RIA in OECD countries OECD Case: RIA in Mexico

12 Recommendations of the OECD Council OECD Guide: RIA Framework Slides of each speaker

Break 10:15 to 10:30 15 minutes



Key learning points

First part of the evaluation exercise of RIA

Case study 1


Definition of the problem and public policy objective

Delia Vazquez, Policy Analyst, Regulatory Policy Division, OECD (15 minutes) Sergio Dominguez, Director of Regulation of Transmission and Distribution of Electricity, CRE (20 minutes) Luis Fernando Rosas, General Coordinator of Regulatory Improvement, IFT (20 minutes)


Key Learning Points

Identifying methodologies to define the relevant public problem Set the result of government intervention to be

OECD Guide: Problem Definition OECD Guide: Public Policy Objective Slides of each speaker

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SMART i , importance of the objectives for performance, screening and accountability


Case Study 2: Problem definition Case Study 3: Objectives

Key Learning Points Understanding how to identify the policy

problem

Methods for risk assessment

Problems and symptoms

Understanding what is the purpose of

government intervention

Case Study 2

Case Study 3

Lunch 14:00 to 15:30 90 minutes


Alternatives to regulation

Andres Blancas, Economist, Regulatory Policy Division, OECD (15 minutes) Fabiola Perales, Consultant (20 minutes) Sergio Dominguez, Director of Regulation of Transmission and Distribution of Electricity, CRE (20 minutes)


Key Learning Points

Identifying the regulatory and non-regulatory options to address the public policy problem, including no intervention

OECD Guide: Alternatives to regulation Slides of each speaker


Case Study 4: Alternatives to regulation

Key learning points Alternatives to legislation and options to achieve

the desired result

Case Study 4

End of day 1

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Session / Time

Title / Content

Material


Impact Assessment - Methodology

Andres Blancas, Economist, Regulatory Policy Division, OECD (15 minutes) Fabiola Perales, Consultant (30 minutes) Sergio Dominguez, Director of Regulation of Transmission and Distribution of Electricity, CRE (30 minutes)


Key learning points

Discussion on how to make an impact

assessment, limitations and challenges in

data, cost benefit analysis, etc.

Mexico's experience in evaluating and

calculating the impact of regulations

OECD Guide: Assessing impacts Slides of each speaker


Case Study 5: Impact of Regulation

Key Learning Points

Understanding methodologies of

demonstration and calculation of impacts, i.e.

social, environmental and economic, direct

and indirect, negative and positive.

Understanding how to collect different types of data to help in the analysis

Case Study 5

Break 11:15 to 11:30 15 minutes

Session 10 11:30 to 12:30

Importance of Consultation

Delia Maria Vazquez, Policy Analyst, Regulatory

OECD Guide:

Consultation

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60 minutes

Policy Division, OECD (15 minutes)

Fabiola Perales, Consultant (20 minutes) Luis Fernando Rosas, General Coordinator of

Regulatory Improvement, IFT (20 minutes)


Key learning points

Discussions on the benefits, strategies

and problems of consultation

Experience in consultation processes, as

well as the its results in the quality of

regulations

Slides of each

speaker


Case Study 6: Consultation

Key learning points Understanding the rationale and benefits of

consultation Appreciating the most effective ways of

consultation and adoption of comments

Case Study 6

Session 12 13:15 to 14:15 60minutes

Compliance Strategies Manuel Gerardo Flores, Senior Economist,

Regulatory Policy Division, OECD (15 minutes)

Sergio Dominguez, Director of Regulation of

Transmission and Distribution of Electricity, CRE

(20 minutes)

Luis Fernando Rosas, General Coordinator of

Regulatory Improvement, IFT (20 minutes)


Key Learning Points The experience of an OECD member country

regarding the consideration of goals and compliance arrangements, including the application of risk assessments.

Discussion on how to turn policies into results

OECD Guide: Compliance and monitoring Slides of each speaker

Lunch time 14:15 to 15:45 90 minutes

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Case Study 7: Compliance

Key learning points Implementation and penalty methods Methods to obtain compliance Importance of planning for compliance in

regulatory design

Case Study 7

Session 14 16:30 to 17:30 60minutes

Monitoring and evaluation

Delia Maria Vazquez, Policy Analyst, Regulatory Policy Division, OECD (15 minutes) Fabiola Perales, Consultant (20 minutes) Luis Fernando Rosas, General Coordinator of Regulatory Improvement, IFT (20 minutes)


Key Learning Points Measuring regulatory performance Establishing indicators Ex-post evaluation in the regulatory policy

process

OECD Guide: Compliance and monitoring Slides of each speaker

End of Day 2

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Session / Time

Title / Content

Material


Case Study 8: Monitoring and evaluation

Key learning points

Developing performance indicators Ex-post evaluation Challenges

Case Study 8


Principles on the Governance of Regulators Manuel Gerardo Flores, Senior Economist, Regulatory Policy Division, OECD (25 minutes) Andres Blancas, Economist, Regulatory Policy Division, OECD (25 minutes)


Key Learning Points

Importance of the Principles on the Governance

of Regulators

Contents and usefulness of each principle

OECD Principles on the

Governance of

Regulators

Slides of each speaker

Coffee break 10:45 - 11:00hrs 15 minutes


Competition assessment Andres Blancas, Economist, Regulatory Policy

Division, OECD(25 minutes)

Sergio Dominguez, Director of Regulation of

Transmission and Distribution of Electricity, CRE

(25 minutes)


Key Learning Points Knowing the methodologies to evaluate

competence risks due to the implementation of

OECD Guide: Competition


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regulation.


Case Study 9: Competition

Key Learning Points

Application of competence principles in impact assessment.

Case Study 9


Elements and strategies for the implementation of RIA Manuel Gerardo Flores, Senior Economist, Regulatory

Policy Division, OECD (25 minutes) Fabiola Perales, Consultant (25 minutes) 10 minutes for questions and answers Key Learning Points Identifying the elements that contribute to a

successful implementation of RIA Knowing the strategies that governments can

follow to implement a RIA system

OECD Guide: Elements

and strategies for the

implementation of RIA


Lunch time 13:45 - 15:15 90 minutes


Osinergmin RIA progress and next steps

Arturo Vasquez Cordano, Manager of the Office of

Policies and Economic Analysis



Key Learning Points

Using the necessary tools to evaluate a RIA.

Case study 1

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Discussion of the Osinergmin case studies Manuel Gerardo Flores, Senior Economist, Regulatory Policy Division, OECD Andres Blancas, Economist, Regulatory Policy Division, OECD

Arturo Vasquez Cordano, Manager of the Office of

Policies and Economic Analysis

Osinergmin Case Study


Discussion panel and final remarks

All speakers

Key Learning Points

Q&A Lessons learnt Satisfaction survey


Closing ceremony VIP official. (TBC)

Transmission of attendance certificates

Certificates of

attendance

End of day 3 and of the course

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i SMART is an acronym for Specific (specific), Measurable (Measurable), Attainable (Achievable) Relevant (Relevant), and Time-bound (specific time period)

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Training Workshop for the laboration and Analysis of ... · Training Workshop for the laboration and Analysis of Regulatory Impact Assessments (RIA ... officials to prepare a Regulatory