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Institutionalising ex post Evaluation to Feed Back into the Regulatory Process

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Presentation by Céline Kauffmann and Rebecca Schultz, Regulatory Policy Division, OECD, at the 9th Conference on Measuring Regulatory Performance - Closing the Regulatory Cycle: Effective ex post Evaluation for Improved Policy Outcomes which took place in Lisbon on 20-21 June 2017. Further information is available at www.oecd.org/gov/regulatory-policy/measuring-regulatory-performance.htm.

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Institutionalising ex post Evaluation to Feed Back into the Regulatory Process

  1. 1. Breakout session 1 INSTITUTIONALISING EX POST EVALUATION TO FEED BACK INTO THE REGULATORY PROCESS 9th OECD Conference on Measuring Regulatory Performance Lisbon, 20-21 June 2017 Processes and institutions for effective ex post evaluation Céline KAUFFMANN, OECD Regulatory Policy Division Rebecca SCHULTZ, OECD Regulatory Policy Division
  2. 2. Stock management reviews • Regulator-based strategies • Stock-flow rules • Red tape reduction targets Programmed mechanisms • Sun-setting • Ex-post review requirements in new regulation • Post implementation reviews Ad-hoc/special purpose reviews • Stocktakes of burden • Principles-based • Benchmarking • In-depth reviews The heterogeneity in Ex post evaluation approaches Ongoing As neededAt a set time What does it mean in terms of oversight arrangements?
  3. 3. • 20 /35 countries have formal requirements for ex post evaluation • Do regulations include automatic evaluation requirements? – Primary laws: 3 for all; 3 for major; 12 for some. 14 NEVER – Subordinate regulations: 5 for all; 2 for major; 11 for some. • Do regulations include ‘sunsetting’ clauses? – Primary laws: 1 for major; 17 for some 15 NEVER – Subordinate regulations: 2 for all; 1 for major; 14 for some. • When developing regulation, are regulators required to identify a process for assessing progress in achieving a regulation’s goals? – Primary laws: 8 for all; 5 for major; 3 for some. 17 NEVER – Subordinate regulations: 9 for all; 3 for major; 4 for some. Evidence on ex post evaluation requirements
  4. 4. Who conducts ex post evaluation? Source: OECD (2015), OECD Indicators of Regulatory Policy and Governance (iREG), www.oecd.org/gov/regulatory- policy/indicators-regulatory-policy-and-governance.htm. 16 12 6 13 7 6 0 5 10 15 20 25 30 35 Government The body itself Is there a standing body that regularly undertakes reviews of existing regulations? If yes, does it have a degree of independence from government? Who is responsible for deciding what the body reviews? Has this body conducted any "in- depth reviews" of specific regulatory areas in the last 3 years? If yes, did this body report its findings publicly? Numberofjurisdictions
  5. 5. Oversight and quality control mechanisms are weak particularly for ex post evaluation Source: Arndt, C., S. Hermanutz, C. Kauffmann and R. Schultz (2016), “Building regulatory policy systems in OECD countries”, OECD Working Paper on Regulatory Policy, No. 5. 0.0 0.5 1.0 1.5 2.0 2.5 3.0 Systematic adoption Methodology Transparency Oversight and quality control Stakeholder engagement Regulatory impact assessment Ex post evaluation
  6. 6. What do we know of quality control of ex post evaluation? Source: OECD (2015), OECD (2015), OECD Indicators of Regulatory Policy and Governance (iREG), www.oecd.org/gov/regulatory-policy/indicators-regulatory-policy-and-governance.htm. 13 6 1 4 0 5 10 15 20 25 30 35 Is there a quality control system for ex- post evaluations? The ex-post evaluations are reviewed by an independent body who is responsible for ensuring each type of assessment is completed Numberofjurisdictions For some primary laws For major primary laws For all primary laws Yes
  7. 7. • Built-in checks and balances to resist inevitable political pressure while staying connected to political decision-making • Create linkages between ex ante and ex post evaluation • Collect relevant data and build internal capacities for data analysis • Take into account the views of the regulated • Make it a good policy making and not another « procedure » • Promote ownership of regulatory stock within the administration • Transparency about oversight activities Critical elements for an effective evaluation system identified at Sydney conference
  8. 8. Body in charge of regulatory oversight Merits Challenges Line ministry  performs RIA for a particular type of impact  no integrated approach to regulatory oversight  may lack authority/credibility Central government  can take on a bird’s eye view  access to information from different parts of government  may face more pressure for exemptions Independent body  provides an independent view to parliament and the general public  may be too far from decision- making processes Parliament  independent from government  actor that is involved in the development of regulations at a late stage  not all regulations pass through parliament Merits and challenges of different oversight models for ex ante and ex post evaluation
  9. 9. What metrics to assess evaluation bodies? Institutions i) Analytical capability? ii) Linkages? iii) Transparency? iv) Independence? Units within Ministries ✔✔ ✔✔✔ ✔ ✔ Private consultants ✔✔ ✔ ✔ ✔✔ Government research and advisory bodies ✔✔✔ ✔✔ ✔✔✔ ✔✔✔ i) Analytical capability (including quantitative) ii) Direct linkage to regulation-making processes iii) Ability to test work with stakeholders iv) Ability to avoid ‘undue influence’ Source: Gary Banks, Presentation to OECD’s 8th Conference on Measuring Regulatory Performance, 15 June 2016, Sydney, Australia
  10. 10. • What oversight arrangements and allocation of institutional responsibility are needed to support high-quality ex post evaluation? How can the contribution of institutions for evaluation at arm’s length from government be maximised? • How can effective oversight mechanisms support a feedback loop to ensure insights from evaluation lead to better policy outcomes? • How can ex ante and ex post evaluation be linked more effectively to avoid regulation being adopted without a prior analysis of the existing regulatory framework in a given sector? Focus for the breakout session

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