introducing regulatory impact analysis into the turkish legal framework information, consultation...
TRANSCRIPT
Introducing Regulatory Impact Analysis into the Turkish Legal Framework
Information, Consultation and Communication of RIAs16-17 March 2009
Session 6A
Planning and Undertaking a successful RIA consultation
Practical Steps for Better Consultation
• Plan the consultation in advance• Identify stakeholders • Prepare consultation document • Consult• Analyze responses and incorporate
suggestions• Integrate analysis into the RIA• Provide feedback
A semi-targeted active consultation• Launch a targeted consultation to gather data on impact• Using the many resources in the web
– UK Code http://www.berr.gov.uk/bre/consultation%20guidance/page44420.html
– Canadian guideline• http://www.regulation.gc.ca/documents/gl-ld/erc-cer/erc-cer00-e
ng.asp
• Prepare the consultation document– Revision by minister– Posting on Internet– Use active consultation (meetings and focus groups)
Step 1: Plan the consultation
• The effort should be proportionate
• Set clear objectives
• Manage the timing and the timeliness
• Budget the consultation process
• Adapt and mix consultation mechanisms according to the RIA process
Step 2: Identify the stakeholders
• Regulated entities – Businesses (local, foreigners, large & small)– Workers– Consumers
• Stakeholders– NGOs– Academics, think tanks– Other users
• Public administration (supra & subnational)• Political representatives
Stakeholder MappingInfluence-Interest
Low Influence High Influence
Low Stake Least Priority Stakeholder Group
useful for decision and opinion formulation, brokering
High Stake important stakeholder group perhaps in need of empowerment
most critical stakeholder group
Do consulted parties represent everyone?
• ‘Insiders’ Vs ‘Outsiders’– Consulting consumers– Future regulated entities
• Capture through consultation– Lobbying and consultation– Manage vocal groups
Step 3: Prepare Consultation Document
Document 5 to 10 pages Outline
1. Foreword signed by Minister2. Executive summary3. How to respond4. Why is the reform needed? (problem definition)5. Options considered
1. Description of the options2. Type of impacts
Submission form– Open questions– Table of impacts
Step 4: Consult Stakeholders
• Broad Vs Target consultation
• Active Vs Passive consultation
• e-consultation– Internet publication and feedback
Broad Vs Targeted ConsultationTargeted
• Stakeholder and Representative groups
• Focus groups/Test Panels • Public meetings and
Conference events• Practitioner Panels and
Industry-Government Forums
• Surveys / questionnaires
Broad (often mandatory)
• Written consultation• Notice and Comments
(pre-publication).• Hearings• Mandatory advice
Passive Vs Active Consultation Active
• Advisory groups, committees, public hearings,
• Informal consultation
• Panel & focus tests• Peer reviews• Surveys
Passive• Circulation for
comment, notice and comment,
• Notice and Comments (Prepublication)
Common data collection techniques (1)
Technique Pros ConsModel enterprises that “represent” the affected population
Fast and cheap way to collect cost data.
Simplistic and vulnerable to errors in assumptions. Must be widely consulted.
Modeling: Econometric modeling (input-output, general equilibrium models, environmental impact assessment models, Microsimulation models).
Best approach for estimating welfare changes for particular groups, and for estimating second-order effects through the economy. IA on reform of Common Market for Sugar used modelling analysis to determine macroeconomic effects of different reform scenarios, as well as qualitative multi-criteria evaluation of broader impacts and stakeholder views.
Costly and vulnerable to assumptions. Macro models lack detail on micro interventions. Unless existing model is available, analysts have limited access to the tools and resources needed to adopt a modeling approach. Difficult to use economic models to collect benefits data.
Passive consultation (publication for comments)
Fast and cheap for collection of wide variety of data and ideas about better regulation.
Vulnerable to bias and poor data. Not conducive to dialogue. Data gaps.
Common data collection techniques (2)
Technique Pros ConsBusiness surveys Fast data collection, can be carried out for
targeted groups, can collect information otherwise unavailable.
Limited in the range of information (cost data but little benefits data), reliability is suspect, costs can be high. Difficult to explore options.
Focus groups Business Test Panels can be fast and provide a wider range of cost and benefits data. Can explore alternatives and options easily.
Data quality can be a problem. Requires upfront preparation and good relations with stakeholders.
Consultation Tactics
• Targeted consultation– Structured to link information needs with particular
stakeholders.
• Multilayered consultation strategies – Minimum and consistent standards – But allow flexible adaptation for more detailed
information– Mix consultation methods
Consultation Meetings• Prepare Agenda
– purpose of the meeting – purpose of consultation– Issues being discussed – Possible options / solutions available
• List of participants• Record and report expressed views
– Suggestions, facts, reference– Straw polls (votes) on specific questions– Disseminate questionnaires, ask for written comment
• Explain the follow up – How their views will be recorded and taken into account – How far they are able to influence the policy making process – How you will keep them informed about developments to the policy after the
meeting
Establish the limits of the consultation
• Define key impacts to investigate• Set a 30 day consultation period
– Decision to abide with the 2006 Decree• Build credibility
– Get the signature of the Secretary General of the Government
Comparing options by regulatory impacts
23 Impacts, such as Option 1: No action
Option 2: New
Law
Option 3: Code of Conduct &
Coordination mechanisms
Operating costs and conduct of business (e.g. higher exports)
Quality of labs services (conformity with international standards)
Trade and international relationship (WTO, EU commitments)
Attracting foreign investment to economy
Boosting innovation, technological change
Capability to respond to health emergencies
Health Effects on Turkish Consumers & households
Regional and municipal development
Cleaner environment
Employment in labs (number and quality)
Public budget (less tax, more efficient use of public funds)
Limits to Consultation Mechanisms• Consultation excesses
– Proliferation of advisory bodies
• Consultation “fatigue”– Fine-tuning the consultation– Asking, focusing, questioning, challenging
• Predictability of results– Opponents of reform abusing consultation– Consultation and the political debate
Step 5: Analyze Responses & Incorporate Suggestions
• Analysis – Differentiate positive and negative impacts– Follow up questions, in case– Double check– Investigate ‘outstanding’ responses– But consultation is not a public vote
• Monitoring results for representativity – 'Response Analysis Grid'.
Monitoring answers
22
Opinions from Public Organizations and
Enterprises
Opinions from Non-Governmental Organizations
Opinions from Specialists
Individual (Personal) opinions
TOTAL
OPTIONS IMPACTS
++ + 0 - -- ++ + 0 - -- ++ + 0 - -- ++ + 0 - -- ++ + 0 - -- Economic 1 10 36 40 21 0 0 11 13 2 0 0 6 10 2 0 1 15 13 25 1 11 68 76 50 Social 1 9 29 19 2 0 2 5 8 0 0 1 3 5 1 0 4 4 7 15 1 16 41 39 18 Environmental 0 3 23 21 1 0 0 4 4 0 0 1 0 5 0 0 0 3 7 14 0 4 30 37 15 Public Administration 0 11 41 72 45 0 0 2 20 4 0 0 25 0 1 0 0 6 17 53 0 11 74 109 103
Option A
Sub-total 2 33 129 152 69 0 2 22 45 6 0 2 34 20 4 0 5 28 44 107 2 42 213 261 186 Economic 15 32 35 22 13 17 0 15 3 0 0 11 5 2 0 24 11 9 3 7 56 54 64 30 20 Social 9 19 27 10 0 10 6 3 1 0 1 4 4 1 0 9 12 2 2 5 29 41 36 14 5 Environmental 10 16 25 1 0 8 0 4 0 0 1 4 2 1 0 8 13 3 0 0 27 33 34 2 0 Public Administration 41 57 29 37 5 26 13 0 0 0 0 10 14 2 0 34 31 1 9 2 101 111 44 48 7
Option B
Sub-total 75 124 116 70 18 61 19 22 4 0 2 29 25 6 0 75 67 15 14 14 213 239 178 94 32 Economic 14 67 38 7 0 6 3 17 0 0 6 10 1 1 0 0 8 33 13 0 26 88 89 21 0 Social 8 31 29 2 0 4 3 8 0 0 1 5 3 1 0 0 9 18 3 0 13 48 58 6 0 Environmental 3 26 27 0 0 0 0 8 0 0 1 7 0 0 0 0 4 18 2 0 4 37 53 2 0 Public Administration 46 89 47 0 0 0 2 24 0 0 6 18 1 1 0 8 30 35 4 0 60 139 107 5 0
Option C
Sub-total 71 213 141 9 0 10 8 57 0 0 14 40 5 3 0 8 51 104 22 0 103 312 307 34 0 Economic 38 44 20 10 5 15 18 11 0 0 10 8 0 0 0 9 28 23 3 0 72 98 54 13 5 Social 15 27 17 6 0 9 12 4 0 0 6 0 4 0 0 7 16 10 1 1 37 55 35 7 1 Environmental 13 20 19 0 0 5 7 4 0 0 6 2 0 0 0 7 10 11 0 0 31 39 34 0 0 Public Administration 65 69 15 20 0 20 26 6 0 0 24 0 1 1 0 35 32 21 2 0 144 127 43 23 0
Option D
Sub-total 131 160 71 36 5 49 63 25 0 0 46 10 5 1 0 58 86 65 6 1 284 319 166 43 6
GRAND TOTAL 279 530 457 267 92 120 92 126 49 6 62 81 69 30 4 141 209 212 86 122 602 912 864 432 224
Step 6. Integrate responses in the RIA
• Bilateral meetings
• Analysis of key cells, uncertainty assessment
• Drafting of the analysis for the new law– Impact 1
• The issue
• Option A
• Option B
• Option C
• Option D
• In sum
– Impact 2– Etc.
Summary table of resultsA B C D
Economical Impactsmarket, trade and investment flow - + + ++
costs on business world - + + ++
exporters and importers - ++ + ++
competitiveness in economic sectors - ++ 0 ++
innovativeness, research and development studies -- + + ++
labor force market and employment 0 + 0 +
consumers and households - + + +
regional income differentials - + + +
SMEs 0 + + ++
Social Impactshealth, security, consumer rights (including crime and terrorism) - ++ + ++
training, education, culture etc. 0 ++ 0 ++
employment levels or work quality, equality of sex - + 0 +
social marginalization and poverty 0 0 0 0
Environmental Impactsweather, water and soil pollution - ++ + ++
land usage alteration - ++ + ++
bio-diversity losses - + + +
climate change 0 + + +
Public administration impacts budget -- + + ++
efficiency of public laboratories - ++ + ++
retention of qualified laboratory personnel -- ++ 0 +
regular inspections and monitoring of public laboratories - ++ + ++
intervene unexpected and emergency cases - + + ++