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“Overview of Ireland’s Experiences with RIA” OECD’s Good Governance for Development in Arab Countries Initiative : Working Group IV Tunis, Tunisia, 16.

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Presentation on theme: "“Overview of Ireland’s Experiences with RIA” OECD’s Good Governance for Development in Arab Countries Initiative : Working Group IV Tunis, Tunisia, 16."— Presentation transcript:

1 “Overview of Ireland’s Experiences with RIA” OECD’s Good Governance for Development in Arab Countries Initiative : Working Group IV Tunis, Tunisia, 16 February 2007 Tom Ferris Ireland

2 Contents of Presentation 1. Putting RIA in context 2. Origins of RIA in Ireland 3. Two Types of RIA 4. Structures for RIA 5. First RIA Results 6. RIA Consulatation 7. EU Groundwater Directive 8. Challenges for RIA 9. “Doing RIAs” 10. “RIAs & Cons”

3 (1) RIA used to….  Clarify the justification for Regulation  Assess the alternatives (taxes, grants or fines)  identify all costs and benefits  enhance law-making quality  improve governance systems  improve public service outputs  enhance consultation  inform EU negotiations  try and ensure “no surprises”

4 Regulatory Impact Assessment is……  A framework for assessing the likely effects of a proposed regulation, or of regulatory change  A means of assessing the impacts, side effects and costs of regulation  Includes structured consultation with stakeholders and citizens  A discipline to be applied at early stage in the regulatory cycle – before Government decides to regulate  Not a substitute for decision-making but can help to inform policy decisions

5 RIA is a vetting process…  Before recommending regulations, policy review groups should consider the potential for alternative approaches. This may include preparing a RIA, but it may not be required  When Memoranda brought to Government seeking approval for General Scheme of a Bill, RIA to be attached to such Memoranda  RIA to be applied to draft EU Directives once they have been published by the Commission  RIAs to be published subject to FOI exemptions

6 RIA allows policy-maker to...  Encourage a more structured and explicit examination of expected costs and benefits  Highlight importance of consultation with stakeholders  Encourage earlier focus on enforcement and compliance issues Who will enforce the regulations, what are the compliance targets?  Introduce performance indicators for regulations, so that we can know if regulations are working well (or not working well)  Respond to EU legislative proposals

7 Are There Wider Benefits ?  Can help address cross-cutting issues  Can identify unintended effects as well as alternative solutions  Demonstrates that RIA can help inform Ireland’s negotiating position and transposition of EU Directives

8 (2) Origins of Ireland’s RIA  Influence of OECD and EU on RIA in Ireland  “Delivering Better Government” (Irish Government 1996)  Public Service Modernisation Act 1997  OECD, Regulatory Reform in Ireland, 2001  “Regulating Better” (Irish Government 2004)  Cabinet 2005 Decision – RIA on all new regulations  “Towards 2016”, 10-Year Partnership Agreement

9 National Implementation Milestones in Ireland 2001 OECD Regulatory Review of Ireland 2002 Draft Regulatory Impact Analysis (RIA) model developed 2004 Publication of Government White Paper, Regulating Better RIA Pilot Projects 2005 Publication of RIA Report & Consultation Guidelines 2006 First set of RIAs were published

10 RIA Publications from Department of the Taoiseach  RIA Guidelines : How to conduct a Regulatory Impact Analysis (2005)  A Report on the Introduction of Regulatory Impact Analysis (2005)  Reaching out : Guidelines on Consultation for Public Sector Bodies (2005) 

11 Benefits of Guidelines  Best Practices shared  Provoke ideas on alternative methods of consulting  Increase awareness among groups and individuals who wish to participate in the RIA process  Alerts interested parties on what to expect 

12 (3) Two Types of RIA Two phased approach :  Screening RIA Applied to all primary legislation involving changes to regulatory framework, significant Statutory Instruments and draft EU Directives and EU Regulations  Full RIA Only conducted where Screening RIA suggests significant impacts (six criteria identified above) or significant costs (initial cost of €10 million or cumulative costs of €50 million over 10 years)

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14 How to do Screening RIA ? Screening RIA to be applied to:  All primary legislation involving  Changes to regulatory framework,  Significant Statutory Instruments  Draft EU Directives or Regulations

15 And Screening RIA involves ?  Description of policy context, objectives & policy options/choices  Identification of cost, benefits and other impacts of options  Informal consultation including Government Departments, consumer and other interests  Description of how enforcement and compliance will be achieved  Review – how will performance of regulations be measured?

16 How to do Full RIA ?  Full RIA only conducted where Screening RIA suggests: Significant impacts (six criteria identified) Significant costs (initial cost of €10 million or cumulative costs of €50 million over 10 years)  International experience suggests Full RIA in 10-15% of cases

17 Full RIA where one of Six Criteria applies… 1. National competitiveness 2. Socially excluded/vulnerable groups 3. Impacts on the environment 4. Whether proposals involve a significant policy change in an economic market including impacts on consumers and competition 5. Impacts on the rights of citizens 6. Whether the proposal involves a significant compliance burden

18 And Full RIA involves ?  More detailed analysis of options  More in-depth analysis of impacts including in some cases CBA  Formal consultation  Summary of pros and cons of each option and identification of a recommended option where appropriate

19 (4) Structures for RIA  Government Secretariat  All Ministries  Ministry of Finance’s Training Centre  Ministries of Prime Minister and Finance  RIA check on Memos to Government  RIAs undertaken  Training and technical advice  Reality checks on robustness of RIAs

20 1. In-house expertise of economists; lawyers and analysts 2. Commission research and studies 3. Dedicated RIA Training 4. Networking for RIA 5. International Data and “best practice” Gathering Data / Information o In-house expertise o Commission research o Dedicated RIA Training o Networking for RIA o Data /“best practice” o Other (e.g. Focus groups/questionnaires)

21 Critical Questions for RIA: To Enforce and Comply ?  Are proposals enforceable? e.g. resources  Who will enforce them?  How will consistency and accountability be ensured?  What are compliance targets?  Do benefits justify compliance costs ?

22 Critical success factors  High level administrative and political support  Central Support from Prime Minister’s Department  Awareness-raising and training  Development of RIA network for sharing of experience/best practice  Ongoing liaison with EU colleagues especially EU Directors of Better Regulation  Learning from doing – RIA very much an iterative process

23 (5) First Results -- Pilot Departments/Offices  Health and Children Medical Practitioners Bill  Enterprise, Trade and Employment Export Controls Bill  Office of the Revenue Commissioners Betting Duty Regulations  Justice, Equality and Law Reform Coroners Bill  Environment, Heritage and Local Government Draft EU Groundwater Directive

24 Some Recent RIAs  Report for Forfas, by ERM Environmental Resources Management Ireland Ltd., April 2005 Impact Assessment of the Proposed EU Chemical Policy (REACH)  Company Law Review Group, December 2005 Regulatory Impact Analysis on Directors’ Compliance Statement  Financial Regulator, December 2005 Regulatory Impact Analysis on Consumer Protection Code  Environment, Heritage and Local Government, May 2006 Waste Management (End-of-Life Vehicles) Regulations 2006, S.I. No. 282 of 2006  Enterprise, Trade and Employment, August 2006 Consumer Protection (National Consumer Agency) Bill 2006: Screening Regulatory Impact Analysis  Enterprise, Trade and Employment, September 2006 Safety, Health and Welfare at Work (Construction) Regs., 2006  Environment, Heritage and Local Government, Nov Part G (Hygiene) of the Building Regulations: Proposed requirement for Dual Flush Toilets

25 Are Lessons Being Learned ? Yes - many RIA lessons being learned :  More structured and explicit focus on the objectives behind regulations – with identification of problems being addressed  Identification and analysis of alternative options for achieving policy goals  Recognition of difficulties of analysing and quantifying the costs associated with regulations  Experiences are now being shared

26 (6) RIA Needs to Have Consultation  To assist the decision-making process  To contribute to evidence-based policy making  To help identify possible alternatives to regulation  To strengthen focus of policy makers on the needs of the public and end-consumer

27 Irish Consultation Guidelines  Key Element of Regulatory Impact Assessment (RIA)  Government White Paper ‘Regulating Better’: Action Plan 5.1 Procedures and Guidelines will be developed to promote better quality public consultation and to outline a full range of consultation options. Consideration will be given to the mechanisms for ensuring balanced coordination procedures, taking care to consider the particular requirements for ‘not-for-profit’ groups 

28 Consultation means..  Structured public engagement with those whose views are to be sought  Providing information to the key audience on the purpose and subject of the consultation e.g. a policy initiative, a regulatory change, a legislative proposal or a service delivery  Seeking, receiving, analysing and responding to feedback from the key audience  It is important to differentiate between Ongoing consultative mechanisms (involving standing committees, fora or groups) and Once-off consultation exercises

29 Different Methods of Consultation  Written Consultations  Questionnaire-based survey  Internet and use of IT tools  Face-to-Face Interviews  Use of Focus Groups  Public Meetings

30 Feedback and Review are Critical  Give feedback to key players and those who participate  Publish and acknowledge submissions made (taking account of data protection etc.)  Review the consultation process

31 (7) EU Groundwater Directive  Slide 1 : Overview  Slide 2 : What work was required  Slide 3 : What Benefits  Slide 3 : What Costs

32 Ministry of Environment, Heritage and Local Government Draft EU Groundwater Directive …(1) 1. Framework to protect surface and groundwater 2. EU : Nine Member States were doing this RIA 3. Ireland : Cross-sectoral Team (Ministry and Environmental Protection Agency etc.) 4. Objectıve : “....to protect and control water pollutıon...”

33 Ministry of Environment, Heritage and Local Government Draft EU Groundwater Directive …(2) 1. Compulsory Directive…but with scope to adapt 2. Costs/benefits for economıc, envıronmental and socıal impacts to be included 3. Very technical and very complex matter 4. Team debated overall findings and conclusions- not into deep detail 5. Benefit of “CREATIVE BRAINSTORMING”

34 Ministry of Environment, Heritage and Local Government Draft EU Groundwater Directive …(3) BENEFITS 1. Quality of life – now and into the future 2. Less Water Treatment Plants (and so less costs) 3. Better farm practices (less pollution) 4. Better industry practices

35 Ministry of Environment, Heritage and Local Government Draft EU Groundwater Directive… (4) COSTS 1. More monitoring 2. More reports 3. More enforcement 4. More compliance (farms, mining and roads construction and maintenance)

36 (8) Challenges for RIA  Yes, many elements of RIA already there  But traditional ways will be challenged  Key players will feel some discomfort!  And yet if RIA is well explained there can be real benefits for the main players and in the public interest  Make every effort to share experiences


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