1. The Commission's Impact Assessment system 18 September 2014 María Dolores Montesinos Impact Assessment unit Secretariat General 1

2. Structure of the presentation 1. Why do we do impacts assessments (IAs)? 2. What is an IA? 3. How do we carry out an IA? 4. How can stakeholders contribute? 5. How do we control the quality of IAs? 6. Challenges and latest developments

3. 1. Why do we do impacts assessments (IAs)? 2. What is an IA? 3. How do we carry out an IA? 4. How can stakeholders contribute? 5. How do we control the quality of IAs? 6. Challenges and latest developments

4. EU legislation is of high quality if it … Respects the principles of subsidiarity and proportionality Results in a simple, clear, stable and predictable regulatory framework Delivers most effectively on EU policy objectives at minimum costs Smart Regulation is about ensuring high quality EU legislation See Commission Communications on EU Regulatory Fitness and Smart Regulation

5. Smart Regulation concerns the whole policy cycle

6. 1. Why do we do impacts assessments (IAs)? 2. What is an IA? 3. How do we carry out an IA? 4. How can stakeholders contribute? 5. How do we control the quality of IAs? 6. Challenges and latest developments

7. A set of logical steps to help Commission services structure preparation of a proposal Provide a balanced evidence base to support, not replace, political decision-making Integrated approach: all benefits and costs; economic, social and environmental impacts Independent centralised quality control: the IA Board Transparency: consultations, publication of IAs and IAB opinions

8. An IA needs to be carried out for all initiatives expected to have significant direct impacts. These can be: Legislative proposals Non-legislative proposals (eg policy defining white papers, action plans) Implementing measures and delegated acts Identification by Commission SG, after consulting services 8

9. IA planning process 9

10. 1. Why do we do impacts assessments (IAs)? 2. What is an IA? 3. How do we carry out an IA? 4. How can stakeholders contribute? 5. How do we control the quality of IAs? 6. Challenges and latest developments

11. What are the key analytical steps of IA? 1. Identify the problem 2. Assess need for EU-level intervention 3. Define the objectives 4. Develop policy options 5. Analyse the impacts of the options 6. Compare the options 7. Outline policy monitoring and evaluation

12. How deep should the analysis be? Proportionate analysis, which depends on:  Significance of impacts  Type of initiative Refers to whole IA process: depth and scope of analysis, data collection efforts, types of impacts covered, etc. 12

13. 1. Why do we do impacts assessments (IAs)? 2. What is an IA? 3. How do we carry out an IA? 4. How can stakeholders contribute? 5. How do we control the quality of IAs? 6. Challenges and latest developments

14. Roadmaps Possibility for early reaction on Commission's plans Stakeholder consultations Opportunity to provide views on policy ideas and input to impact assessment work; May also take place in context of other Commission analytical work (e.g. REFIT/ex-post evaluations, cumulative cost studies) Continuously Continuous exchanges on policy impacts on a sector; sharing studies/analysis/methodology etc. with Commission During legislative process Reactions on Commission's proposal once adopted

15. 1. Why do we do impacts assessments (IAs)? 2. What is an IA? 3. How do we carry out an IA? 4. How can stakeholders contribute? 5. How do we control the quality of IAs? 6. Challenges and latest developments

16. The Impact Assessment Board Independent body, members nominated on their personal capacity Established by President Barroso in 2006 A 'positive' opinion in principle necessary to table proposal before College Assesses draft IAs against the IA guidelines Gives opinion on their quality and recommendations for improvement

17. The IAB's work in figures 2007200820092010201120122013 Total impact assessments examined 102135796610497 Number of meetings22262123252019 Number of opinions issued 11218210683138144142 Opinions requesting resubmission (first submissions) 9442827374640 Resubmission rate9 %33 %37 %42 %36 %47%41%

18. IAB's recommendations main focus (I)

19. IAB's recommendations main focus (II)

20. 1. Why do we do impacts assessments (IAs)? 2. What is an IA? 3. When do we conduct an IA? 4. How do we carry out an IA? 5. How do we control the quality of IAs? 6. Challenges and latest developments

21. Stepwise upgrade of the system Creation of IAB (2006) and more demanding IA guidelines in 2009 Since 2010, improved guidance for a number of specific impacts (e.g. competitiveness, micro- enterprises, social, territorial impacts…) From March 2013 on, two-page IA summary sheet On-going review of the IA guidelines 21

22. Key inputs  Evaluation  Commission is strengthening its evaluation system and applying ‘evaluate first’ principle (REFIT); o n-going review of evaluation guidelines  Consultation  Early warning on consultation plans provided in roadmaps and rolling calendar of planned consultations (http://ec.europa.eu/yourvoice/consultations/docs/planned-consultations_en.pdf)http://ec.europa.eu/yourvoice/consultations/docs/planned-consultations_en.pdf  Contributions published and feedback provided in summary reports, IA reports and explanatory memorandum  12-week consultation period to facilitate stakeholders input  Consultation documents and feedback in more languages  On-going review of general principles and minimum standards 22

23. IAs after Commission's proposal adoption European Parliament and Council responsible for assessing their own amendments (IIA on IA 2005) European Parliament has put in place a Directorate for IA and European Added Value Council increasing use of Commission's IA in WP discussions

24. Useful information sources Commission work programme http://ec.europa.eu/atwork/programmes/index_en.htm http://ec.europa.eu/atwork/programmes/index_en.htm Detailed information about forthcoming initiatives - roadmaps http://ec.europa.eu/governance/impact/planned_ia/planned_ia_en.htm http://ec.europa.eu/governance/impact/planned_ia/planned_ia_en.htm IA reports and IAB opinions http://ec.europa.eu/smart- regulation/impact/ia_carried_out/cia_2014_en.htm Impact Assessment guidelines http://ec.europa.eu/smart- regulation/impact/commission_guidelines/commission_guidelines_en.htm EC Smart Regulation website http://ec.europa.eu/smart-regulation/index_en.htm IAB 2013 annual report http://ec.europa.eu/smart- regulation/impact/key_docs/docs/iab_report_2013_en.pdf