The European Commission
Impact Assessment System
Presentation by Stephen Banable
European Commission
Secretariat General
C.2 - Regulatory Policy and Impact Assessment
Context: Smart Regulation
SMART
Achieves goals
No unnecessary cost
Subsidiarity and proportionality
Evidence-based policy-making
Political decision
Proportionality
Impacts
Options
Objectives
Subsidiarity
Problem
Why?
How?
Evidence Base
Consultations
Evaluations
Implementation
The Policy Cycle
An IA supports the Commission
decision-making
1. Identify the problem
2. Assess need for EU-level intervention
3. Define the objectives
4. Develop policy options
5. Analyze the impacts of the options
6. Compare the options
7. Outline policy monitoring and evaluation
Characteristics of Commission IA system
Integrated approach
• All benefits and costs. Economic, social and environmental impacts.
Wide scope
• All initiatives with significant impacts, from policy defining proposals
to implementing measures
Transparency
• Publication of Roadmaps, IAs and IAB opinions
• Comprehensive stakeholder consultation
Independent quality control – Impact Assessment Board
Initiate stage: the process inside the Commission
The IA process: sequence
Idea
Screening:
proceed?
is IA
needed?
IA process:
consult,
get data,
analyse, draft
report
Impact
Assessment
Board
Revise IA
and
proposal
Internal
interservice
consultation
Legislate
stage
College
(political
approval)
Publish
Proposal development
Roadmap
Consultation
request
Consultation:
report on
findings
Initiate stage: outputs seen by outside stakeholders
Proposal,
Impact
Assessment
reports,
Board
Opinion
Outputs
• The IA report:
• Summarizes the results of the process
• Simple, easy to read and non-technical
• Short: around 30 pages
• The executive summary of the IA report:
• < 10 pages, following IA report structure
• Translated to all languages
• Aims to give a fair and complete overview of the
analysis
• The two-page summary sheet
IA guidelines set the reference framework
I. Procedural Standards
• When to do an IA
• IA Planning
• IA Steering Groups
• IA Report requirements
• IAB procedure
• ISC / Adoption
• IA use in Council / EP
• Consultation / Expertise
II. Analytical Standards
• Problem Definition / Subsidiarity
• Policy Objectives
• Policy Options
• Analysis of Impacts
• Comparison of Options
• Monitoring & Evaluation
III. Annexes
(f.ex. Specific guidance on quantitative models, risk analysis, applicaton
of the standard cost model etc)
Complementary operational guidance
(f.ex. on social impacts, fundamental rights, competitiveness, SME‘s…)
How to ensure quality
• Comprehensiveness.
All relevant services involved + extensive stakeholder
consultations.
• Accountability and transparency.
All IAs and IAB opinions are published once COM has adopted
the relevant proposal.
Roadmap are published as early as possible.
• Methodological support
Extensive training and guidance (including on specific impacts)
Strong central quality control
The Impact Assessment Board
• Established at end-2007, the IAB:
 Examines all the Commission's IA.
 Issues opinions asking for improvements or
resubmission
 In principle a positive opinion is required for a
proposal to be tabled to the Commission
The Impact Assessment Board
• The IAB is independent of policy-making departments:
Members are high-level officials appointed in a personal
capacity
On the basis of their expert knowledge in the three pillars
of the integrated approach (economic, social and
environmental impacts).
Chair: Deputy Secretary General for Smart Regulation.
Nine members share the work on a rotating basis to ensure
a sustainable work burden and avoid conflict of interests
while preserving the required expertise in all three areas.
The author DG sends draft IA
report to the IAB (8 weeks
before launch inter-service
consultation)
DG answers to the comments
either in writing or orally
during an IAB meeting
The proposal is tabled for
interservice consultation and
then Commission approval
together with the revised IA
report and the Board opinion
How does IAB scrutiny work?
The IAB sends detailed
comments to the DG (Impact
Assessment Quality Checklist)
•The IAB issues the opinion
•Critical opinion may lead to
resubmission
Opinion (and final IA) is
published externally (on
Europa website) once the
policy initiative is adopted by
the Commission
Board quality control activities
2007 2008 2009 2010 2011
2011
- MFF
2012
IAs
102
135
79
66
104
43
97
Opinions
112
182
106
83
138
37
144
Resubm.
rate
9%
33 %
37 %
42 %
36 %
n/a
47%
Trends in Board recommendations (1)
Trends in Board recommendations (2)
Drivers behind the culture change
Strong political commitment
Transparency
 Direct responsibility of the President
 Roadmaps
 Part of Commissioner mission letter
 Consultation
 Positive IAB opinion needed to table
proposal
 Publication of IA
reports / IAB opinons
Operational ownership
Central support
 IA integral part of policy process
 Guidance
 Engagement in IA Steering Groups
 IAB
 DG „signs off“ IA reports for IAB submission
 IA working group
 IA support functions/ help desks
 Training
Results so far …
• More than 600 IAs, over 500 IAB opinions since 2007
• 2010 ECA audit found that:
• Commission IA system is effective in supporting EU
decision making
• No other system has a similar comprehensive approach
• Consultations with stakeholders are widely used
• IAB is contributing to quality of proposals
• IA reports comply with the IA guidelines
• Findings confirmed by more recent studies (EP „Matrix“
study, CEPS study, OECD)
• Only little IA work during the legislative phase despite
commitment to have IA for "substantial amendments"
• But EP has setup an IA unit
Information sources
•
Communication on EU Regulatory Fitness
http://ec.europa.eu/governance/better_regulation/documents/1_EN_ACT_part
1_v8.pdf
•
Court of Auditors report
http://eca.europa.eu/portal/pls/portal/docs/1/5372733.PDF
•
Detailed information about forthcoming initiatives - roadmaps
http://ec.europa.eu/governance/impact/planned_ia/planned_ia_en.htm
•
IA reports and IAB opinions
http://ec.europa.eu/governance/impact/practice_en.htm
•
Impact Assessment guidelines
http://ec.europa.eu/governance/impact/docs_en.htm
•
EC Better Regulation website
http://ec.europa.eu/governance/better_regulation/index_en.htm
Thank you