evaluation of regulations and beyond -- christiane arndt, oecd secretariat

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EVALUATION OF REGULATIONS AND BEYOND Annual meeting of the OECD Senior Budget Officials Performance and Results Network 27 November 2015 Christiane Arndt, Head of Programme Measuring Regulatory Performance, OECD Regulatory Policy Division

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EVALUATION OF REGULATIONS

AND BEYOND

Annual meeting of the OECD Senior Budget Officials Performance and Results Network 27 November 2015 Christiane Arndt, Head of Programme Measuring Regulatory Performance, OECD Regulatory Policy Division

Policy cycle –

Is regulation the right policy instrument?

How does RIA work?

• Commitment of political leaders

• Support from stakeholders

• Raising awareness among civil servants for the benefits of better regulation; Guidance/ Training of civil servants

• Oversight and quality control of the RIA process

How to ensure that RIA does not

become a tick box exercise?

Types of ex post reviews

Programmed reviews Ad hoc reviews Ongoing ‘management’

•Sunsetting

•Embedded in statute

•Post implementation reviews

– process failure

– catch-all

•Public stocktakes – economy-wide – sectoral

•‘Principles-based’ reviews

•Benchmarking

•‘In-depth’ reviews

•Regulator strategies

•Stock-flow linkages – Budgets – ‘In-Out’ / ‘Offsets’ – RIA based

consideration

•Red tape reduction targets

Source: Banks, Gary (2013). Reviewing the Regulatory ‘Stock’: reflections from Australia. 5th Expert workshop on Measuring Regulatory Performance, OECD. http://www.oecd.org/gov/regulatory-policy/stockholm-workshop.htm

Definition: In-depth reviews are comprehensive reviews, focusing on the nature and extent of regulation in specific industries, policy areas or sectors and its effects.

• 10 OECD countries have conducted in-depth reviews of policy areas or sectors in the last 12 years

• 9 OECD countries have a standing body that conducted such reviews in the last 3 years

In-depth Reviews

Assessing countries‘ evaluation

systems

All countries have taken measures to

make RIA part of their policy process

0

0.5

1

1.5

2

2.5

3

3.5

4

2015 Indicators of Regulatory Policy and Governance (iREG): Regulatory Impact Assessment for developing primary laws

Methodology Systematic adoption Transparency

Oversight and quality control OECD average

Note: The results apply exclusively to processes for developing primary laws initiated by the executive. The vertical axis represents the total aggregate score across the four

separate categories of the composite indicators. The maximum score for each category is one, and the maximum aggregate score for the composite indicator is four. This figure

excludes the United States where all primary laws are initiated by Congress. In the majority of countries, most primary laws are initiated by the executive, except for Mexico and

Korea, where a higher share of primary laws are initiated by parliament/congress (respectively 90.6% and 84%).

Source: OECD (2015), OECD Regulatory Policy Outlook 2015,

http://www.oecd.org/gov/regulatory-policy/indicators-regulatory-policy-and-governance.htm.

Few countries systematically evaluate

regulations ex-post

0

0.5

1

1.5

2

2.5

3

3.5

4

2015 Indicators of Regulatory Policy and Governance (iREG): Ex post evaluation for primary laws

Methodology Systematic adoption Transparency

Oversight and quality control OECD average

Note: The vertical axis represents the total aggregate score across the four separate categories of the composite indicators. The

maximum score for each category is one, and the maximum aggregate score for the composite indicator is four.

Source: OECD (2015), OECD Regulatory Policy Outlook 2015,

http://www.oecd.org/gov/regulatory-policy/indicators-regulatory-policy-and-governance.htm.

In less than one third of countries all ex post evaluations

contain an assessment of the achievement of goals

9

0

5

10

15

20

25

30

35

Primary laws

Nu

mb

er o

f ju

risd

icti

on

s

Do ex post evaluations contain an assessment of whether the underlying policy goals of regulation have been achieved?

All ex-post evaluations

Source: OECD (2015), OECD Indicators of Regulatory Policy and Governance (iREG),

http://www.oecd.org/gov/regulatory-policy/indicators-regulatory-policy-and-governance.htm

Most OECD countries have systematically adopted

stakeholder engagement practices, yet often late in

the process

Note: The results apply exclusively to processes for developing primary laws initiated by the executive. The vertical axis represents the total aggregate score across the four

separate categories of the composite indicators. The maximum score for each category is one, and the maximum aggregate score for the composite indicator is four. This figure

excludes the United States where all primary laws are initiated by Congress. In the majority of countries, most primary laws are initiated by the executive, except for Mexico and

Korea, where a higher share of primary laws are initiated by parliament/congress (respectively 90.6% and 84%).

Source: OECD (2015), OECD Regulatory Policy Outlook 2015,

http://www.oecd.org/gov/regulatory-policy/indicators-regulatory-policy-and-governance.htm.

The weakest category is oversight and

quality control

Sum of category scores over the three composite indicators

0.00

0.50

1.00

1.50

2.00

2.50

3.00

Systematic Adoption Methodology Transparency Oversight and Quality Control

Note: Scores represent the average of primary laws and subordinate regulations, except for the scores of Regulatory Impact Assessment and

Stakeholder Engagement for the United States, for which only the results for subordinate regulations are used.

Source: OECD (2015), OECD Indicators of Regulatory Policy and Governance (iREG),

http://www.oecd.org/gov/regulatory-policy/indicators-regulatory-policy-and-governance.htm

1. Should there be a more holistic approach to evaluation?

2. What institutional setting is necessary to ensure high-quality and unbiased information?

3. How to ensure evaluation feeds into real-life policy-making?

Questions for Discussion

Contact details

• Christiane Arndt, Head of Programme, Measuring Regulatory Performance: [email protected]

• Rebecca Schultz, Junior Policy Analyst, Measuring Regulatory Performance: [email protected]

Further information

• Regulatory Policy Outlook 2015 Website:

http://www.oecd.org/publications/oecd-regulatory-policy-outlook-2015-9789264238770-en.htm

• OECD Regulatory Policy http://www.oecd.org/gov/regulatory-policy/

• Measuring Regulatory Performance Website: http://www.oecd.org/gov/regulatory-policy/measuring-regulatory-performance.htm

• Recommendation of the Council on Regulatory Policy and Governance

http://www.oecd.org/governance/regulatory-policy/2012-recommendation.htm

Contact details and further information