TRAINING WORKSHOP FOR THE ELABORATION AND EVALUATION OF REGULATORY IMPACT ASSESSMENTS

Transcription

1 TRAINING WORKSHOP FOR THE ELABORATION AND EVALUATION OF REGULATORY IMPACT ASSESSMENTS November 11 th and 12 th 2014 Holiday Inn, Blvd Diaz Ordaz 86, Cuernavaca, Morelos, I. Background and Overview Regulatory Impact Assessments Regulatory Impact Assessments or RIA 1 are applied in many OECD member and non-member countries as a key tool in enhancing the regulatory environment and quality for businesses and citizens. RIA represents a core tool for ensuring quality of the new regulations through an evidence-based process for decision making. A wellfunctioning RIA system can assist in promoting policy coherence by making trade-offs inherent in regulatory proposals more evident, identifying who is likely to benefit from the distribution of impacts from regulation, and how risk reduction in one area may create risks for another area of government policy. RIA improves the use of evidence in policy making and reduces the incidence of regulatory failure arising from regulating when there is no case for doing so, or failing to regulate when there is a clear need The use of Regulatory Impacts Assessments by OECD member countries has expanded over the past 30 years. 27 OECD member countries apply a RIA system in some way. The 2012 Recommendation of the Council on Regulatory policy and Governance, establishes the principles to integrate RIA into the early stages of the policy process for the formulation of new regulatory proposals. The Federal Government of Mexico has now been applying RIA for more than a decade and it recently reformed the impact assessment system to align it with OECD best practice. Mexico has included the modalities of RIA with competition assessment and with risk assessment. In both cases, international best practices have been considered and innovation promoted for such analyses. Likewise, the 2012 recommendation establishes that OECD member countries should foster the development of regulatory management capacity and performance at sub-national levels of government. Alongside this, subnational governments face challenges implementing RIA when developing regulations within their jurisdiction have as objective to ensure that their regulatory framework has at least the same quality level as the federal one. In OECD countries, the use of RIA by sub-national governments is still incipient. OECD Training workshop for the elaboration and evaluation of RIA (2 days) The OECD has significant experience and expertise in RIA systems in OECD member and non-member countries that can be drawn upon to meet the demand and provide high quality capacity building. The OECD training course on RIA is intended to provide practical information and learning through case studies, group exercises and presentations from government officials with extensive and relevant experience in applying RIA systems. The OECD brings together leading member country expertise to assist practitioners in the implementation of RIA for enhanced policy making in order to improve the regulatory outcomes of governments. 1 Regulatory Impact Assessments are also called Regulatory Impact Analysis, Regulatory Impact Statements or simply Impact Assessments. 1

2 Workshop Audience and Structure The course is designed for senior to mid-level officials of state government and municipalities who are either at the before implementing RIA or at the early stages of implementation. The course is designed for a maximum attendance of 90 people. To carry out the course, it is indispensable to use a venue that has a big room where meetings with the total audience can be performed (1 st day), and three smaller rooms that can each one have a third of the audience for the purpose of discussions and exercises on case studies (2 nd day). The course will be taught in Spanish and English, with support of interpreters. General indications: During day 1, attendants to the workshop must register for working groups. Registered attendants will be divided into 3 groups, and each one will go to a different room Each group will be led by a staff member of OECD, as well as 1 expert of OECD country (Mexico, UK, country 2) Within each group, the audience will divide in sub-group of 8 to 10 participants for the discussion of the case study. For each case, the following agenda will be followed: o Case presentation and discussion in sub-groups: 20 minutes o Open discussion to answer the questions for each case: 15 minutes II. Programme Day 1: Plenary sessions Day 1: Tuesday November 11 th Registration 8:30 8:55 hrs Session 1 09:00 09:40 hrs 40 min Welcome and introduction (8 minutes per speaker) Nick Malyshev, Chief of the Regulatory Policy Division, OECD Julio Mitre Cendejas, Minister of Economy, State of Morelos Government Salvador Sandoval Palazuelos, Head of the Commission of Regulatory Improvement, State of Morelos Government Rocio Ruíz Chávez, Deputy Minister of Competitiveness and Regulation, Ministry of Economy, Federal Government (To be confirmed) Virgilio Andrade, Head of the Federal Commission for Regulatory Improvement of Mexico (COFEMER) Course agenda and course expectations Who are the participants in the course Important information for the course 2 Workshop Agenda

3 Day 1: Tuesday November 11 th Session 2 09:40 11:00 hrs RIA in the context of regulatory policy and governance, and experiences in RIA implementation in OECD countries 12 recommendations of the OECD council 80 min Manuel Gerardo Flores, Senior Economist, Regulatory Policy OECD Guide: RIA Division, OECD (10 minutes) Framework Hector Salas, Coordinator of Institutional Regulatory Power point slides of each of Improvement, COFEMER. (10 minutos) the presenters Eduardo Bretón Ochoa, Director of the Commission of Regulatory Improvement, State of Morelos Government (20 minutes) Amber Crofts, Regulatory Reform Branch, Province of British Columbia, Canada (30 minutes) Break 11:00 11:15 hrs Session 3 11:15 12:45 hrs 90 min Session 4 12:45 14:00 hrs 75 min OECD framework for Regulatory Policy and Governance RIA in OECD countries OECD Member country s experience on RIA implementation: System s design, institutional implementation, procedures, capacity, impact, challenges and successful stories. Successful strategies in RIA implementation: Problem definition and alternatives to regulation Jacobo Pastor García Villarreal, Specialist in regulatory reform, Regulatory Policy Division, OECD (15 minutes) Francisca Ofelia Amaro Martínez, Deputy Director of Road Transportation, SCT (30 minutos) Mohammad Zayyad, Regulatory Improvement Committee, UK (30 minutes) 15 Minutes for questions and answers Setting the outcome of government intervention to be SMART 2, importance of targets for performance, scrutiny and accountability. Identifying regulatory and non-regulatory alternatives to address the public policy issue, including non-intervention Case study 1: Problem definition Case study 2: Objectives Understand how to identify the policy problem; Methods for assessing the risk; Problems and symptoms OECD Guide: Problem Definition OECD Guide: Objectives and Alternatives to regulation Power point slides of each Case studies 1 and 2 2 SMART is an acronym that stands for Specific, Measurable, Attainable, Relevant, and Time-bound 3

4 Day 1: Tuesday November 11 th Lunch break (courtesy) 14:00 15:45 hrs Session 5 15:45 17:15 hrs 90 min Session 6 17:15 18:30 hrs 75 min Assessing Impacts Methodology (20 minutes per speaker) Eduardo Romero Fong, General Coordinator of RIA, COFEMER Felipe Vázquez Leyva, Deputy General Director of Regulation of Oil-bearing and Petrochemical, Energy Regulatory Commission Roseanne Sovka, Regulatory Reform Branch, Province of British Columbia, Canada Cara Maguire, Regulatory Improvement Committee, UK OECD Member country experience of assessing and calculating the impacts of regulations Discussion on limitations and challenges in data, CBA, etc. Case study 3: Alternatives to regulation Alternatives to legislation and options to achieve the desired result Case study 4: Impact of regulation Understand methodologies for demonstration and calculation of impacts, that is, social, environmental, and economic, direct and indirect, negative and positive. Understand how to collect different types of data to help in the analysis OECD Guide: Assessing Impacts Power point slides of each Case studies 3 and 4 4

5 Day 2 Day 2: Wednesday November 12 th Session 7 Consultation OECD Guide: Consultation 09:00 10:00 hrs Jacobo Pastor García Villarreal, Specialist in regulatory reform, Power point slides of each 60 min Regulatory Policy Division, OECD (10 minutes) Julio Rocha, Coordinator of Institutional Regulatory Improvement, COFEMER (10 minutes) Liliana Marcos Iza, Deputy General Director of Regulation, National Banking and Securities Commission (15 minutes) Roseanne Sovka, Regulatory Reform Branch, Province of British Columbia, Canada (15 minutes) OECD member country experience in consultations processes and how consultation impacts on the quality of regulations. Discussions about benefits, strategies and problems of Session 8 10:00 11:00 hrs 60 min Break 11:00 11:15 hrs Session 9 11:15 12:25 70 min consultation. Ensure compliance of regulation Delia Vázquez Luna, Policy Analyst, Regulatory Policy Division, OECD (10 minutes) Fabiola Perales, Director of Linkage with Health, Labour, Fiscal and Financial Sectors, COFEMER (20 minutes) Cara Maguire, Regulatory Improvement Committee, UK (20 minutes) OECD Member country experience of considering compliance targets and arrangements, including applying risk assessments Discussion on how to turn policies into outcomes. Case study 5: Consultation Understand the rationale and benefits of consulting Appreciate the most effective ways of consulting and absorbing comments. Case study 6: Compliance Enforcement and sanction methods. Methods to obtain compliance Importance of planning for compliance in regulatory designs OECD Guide: Compliance and monitoring Power point slides of each Case studies 5 and 6 5

6 Day 2: Wednesday November 12 th Session 10 Challenges implementing the RIA at subnational level 12:25 13:30 David Samadi Castilla, General Coordinator of Special Projects, 65 min COFEMER (15 minutes) José Anuar González Cianci Pérez, General Director of Legislation at the Legal Bureau, State Government of Morelos government (20 minutes) Session 11 13:30 14:05 hrs 35 min Lunch break (courtesy) 14:05 16:00 hrs Session 12 16:00 17:00 hrs 60 min Amber Crofts, Regulatory Reform Branch, Province of British Columbia, Canada (20 minutes) Challenges and opportunities of the RIA Implementation at Subnational Governments Relevance to implement the RIA at Subnational Level OECD Member experience of the MIR implementation at the Subnational level. Case study 7: RIA Implementation at subnational level Apply the knowledge acquired in the workshop to implement the RIA at the subnational level context. Understand the implementation process of the RIA at subnational level. RIA Evaluation Committee Manuel Gerardo Flores, Senior Economist at OECD (10 minutes) Case study 8: RIA Evaluation (50 minutes) Simulation exercise for participants to understand RIA from the decision maker s view. Understand exercise and complete individual tasks Understand the difference between good and bad sections of RIA Understand how to or how not to complete RIA in practice Practical tips on completing RIA OCDE Guide: Challenges to implement the regulatory reform at subnational Power point slides Session 10 Case study 7 Power point slides of session 12 RIAs to be evaluated RIA evaluation sheet 6

7 Day 2: Wednesday November 12 th Session 13 Panel Discussion with OECD Member Countries Course evaluation forms 17:00 17:30 hrs 30 Minutes for questions and answers 30 min Nick Malyshev, Chief of the Regulatory Policy Division, OECD Eduardo Romero Fong, General Coordinator of RIA, COFEMER Eduardo Bretón Ochoa, Director of the Commission of Regulatory Improvement, State of Morelos Government Amber Crofts and Roseanne Sovka, Regulatory Reform Branch, Province of British Columbia, Canada Cara Maguire and Mohammad Zayyad, Regulatory Improvement Committee, UK Clarify any points from course Understand the importance of RIA and the benefits Provide feedback on the course Session 14 17:30 17:50 20 min Appreciate next steps for implementing RIA Closing day 2 (5 minutes per speaker) Nick Malyshev, Chief of the Regulatory Policy Division, OCDE Flor Hernández, Deputy General Director, Unit of Design and Public Policy for Productivity, Deputy Ministry of Competitiveness and Regulation. Salvador Sandoval Palazuelos, Head of the Commission of Regulatory Improvement, State of Morelos Government Virgilio Andrade, Head of the Federal Commission for Regulatory Improvement of Mexico (COFEMER) 7