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Session 3 - Plenary on implementing Principle 1 on
an Explicit Policy on Regulatory Quality, Principle 3
on Regulatory Oversight, and Principle 6 on
Reviewing Performance of Regulatory Reform
Programmes and Regulatory Policy .
Gregory Bounds,
Deputy Head, Regulatory Policy Division
Stockholm 2 June 2013
[email protected]
Improving the quality of Regulations
For all Governments, improvements to the efficiency and
effectiveness of regulation can deliver significant benefits
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Increase social welfare through more effective social
and economic policies
Boost economic development by encouraging market
entry and competitiveness
Control regulatory costs and improve productive
efficiency, particularly for small to medium sized
enterprises
Improve the rule of law, transparency and
participative democracy
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Challenges to Delivering High Quality Regulation
All Governments find it difficult to control the quality and
quantity of regulation, this can be due to:
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Lack of coordination and planning capacities to promote
coherent reform across government
Vested interests may block reform, particularly where
decision processes are not transparent and accountable
Political incentives favour short term interests over long term
social policy goals
Regulation becomes outdated in changing environments
Regulation is exercised by many levels of government and
may be duplicative or excessive
Regulators may not be equipped, or have incentives, to
assess the cost of regulation and whether regulation is a
practical solution
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OECD Policy Recommendations on Regulatory
Reform have evolved over two decades
1995 Recommendation of the Council on improving the quality of
Government regulation - Commitment to core regulatory
principles.
1997 Report to Ministers on Regulatory Reform – incorporates market
openness, competition policy, regulatory policy and micro
economic reform principles.
2005 Guiding Principles for Regulatory Quality and Performance –
basis for Regulatory Reform Reviews of 25 OECD countries and
Russia, China, Brazil, Indonesia.
2005 APEC/OECD Integrated Checklist for Regulatory Reform - Self
Assessment of US, Australia
2009 Recommendation on Competition Assessment
2009 Establishment of the Regulatory Policy Committee
2012 Recommendation of the Council on Regulatory Policy and
Governance – 12 principles addressing the policy cycle of
regulatory design, enforcement, review and evaluation.
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The Regulatory Governance Cycle
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Regulatory costs can arise anywhere in the
Regulatory Governance Cycle
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Recommendation of the Council on Regulatory Policy
and Governance.
1.
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5.
6.
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9.
10.
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12.
Apply an Explicit Policy for Regulatory Quality
Develop Regulations through Communication, Consultation and
Engagement
Empower Institutions for Regulatory Oversight
Integrate Regulatory Impact Assessment
Review and Reform the Regulatory Stock
Assess Regulatory Reform Programmes
Co-ordinate the activities of Regulatory Agencies
Establish effective Review Processes
Apply Risk Regulation
Promote Regulatory Coherence across levels of government
Foster regulatory management capacity at sub-national government
Pursue International Regulatory Cooperation
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Recommendation of the Council on Regulatory Policy
and Governance.
• A government-wide policy on regulatory quality,
the institutional setting to support its
implementation and regular review of its
functioning in practice.
– What practices reflect a systematic implementation of
the Recommendation?
– Which of these practices merit a more systematic
adoption in OECD countries in the next five years?
– What obstacles are you facing in implementing
practices like this, and how can these obstacles be
overcome?
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Regulatory Policies are Necessary for Progress
(Principle 1)
Effective reform requires organised procedures with
sustained political backing and adequate resources
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Policies have two main elements: systematically improving rule
making and keeping regulations up to date
The main objectives of regulatory policies tend to be:
o Increasing social welfare through more effective social and
economic policy – net benefit principle
o Controlling regulatory costs for business development
o Improving public sector efficiency and performance
o Reducing regulatory discretion and opportunities for
corruption, and improving access to regulation
o Should have a preference for competition, the promotion
of trade and innovation through efficient markets.
Ministerial accountability for regulatory policy (specific and
general roles)
Endorsed at a high political level.
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Regulatory Policy (Principle 1)
What are key measures to identify and evaluate?
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Existence of a whole of government policy
The elements in the policy – correspondence with the
Recommendation
• Ex ante - ex post
• Competition policy and efficient markets
• Performance based regulation
Political endorsement.
Ministerial accountability
Communication strategy
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Institutions to drive Regulatory Policies
(Principle 3)
The right set of institutions are required to ensure
implementation of regulatory policy:
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Regulatory oversight bodies with whole of
government responsibility
• Advocate benefits of reform
• Perform a gatekeeper role on quality of RIA
• Provide training and clear guidance to regulators
• Promote regulatory review and reform
• Coordinate ex-post evaluation
• Improve the effectiveness of regulation
Independence with respect to technical assessment
Located close to the centre of government
Possibility of shared roles
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Regulatory Oversight (Principle 3)
What are key measures to identify and evaluate?
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Existence of a body
Independence technical expertise
Role and functions
• Location near the centre
• Review and return of RIA
• Training and guidance
Coordinating ex post review
Periodic assessment
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Evaluate if regulatory policy is being
implemented effectively (Principle 6)
Regular performance reviews of how regulatory policy is
being implemented in practice.
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Clear criteria for polices and programmes to evaluate
effectiveness
Data collection strategies (while minimizing internal red tape)
External review function – such as by the national Audit Office
Focus on social and economic outcomes – not just the
achievement of targets.
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Reviewing Regulatory Policy and Programmes
(Principle 6)
What are key measures to identify and evaluate?
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Systematic external allocation of review responsibilities
Covering all program elements
• RIA
• Ex post
• Admin burden reduction
• Performance of regulators
Transparency and inclusiveness
Public reporting
Data collection strategies
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