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This training program, "Training the Trainers," held on November 18-20, 2008, introduces Regulatory Impact Analysis (RIA) into the Turkish legal framework. It covers topics such as data gathering, consultation, and the importance of transparency in conducting RIA.
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Introducing Regulatory Impact Analysis into the Turkish Legal Framework“Training the Trainers”18-20 November 2008Cesar CordovaDirector, Jacobs and Associates
Data Gathering Data collection quality is the main indicator of a good RIA You will usually need much highly specific data that is tailored to the questions raised by the specific regulation
Plan ahead for data collection Plan in advance and develop an inventory of data sources Much data needed is held by the regulated community. Data collection is a public-private task. You must develop working relations with private sector partners IN ADVANCE Define standards of data acceptability IN ADVANCE, as well as the quality control process for data use
How can you compensate if you cannot find enough data? In the absence of adequate valid data: clearly identified assumptions are necessary for conducting the RIA. Transparency is even more essential to test the assumptions. Analysis of the risks, benefits, and costs associated with regulation must be guided by the principles of full disclosure and transparency. Shift data costs to the stakeholders by asking questions in the consultation period (see next). Those affected by regulations have the incentives to provide the data necessary to complete RIA.
Risk of “data capture” Some stakeholders will provide needed data ‘according to them’ => Risk is high that the RIA will be biased. This risk can be managed by diversifying data sources, a check and balance approach. Data biases can also be detected by being completely transparent. When data are weak, the more external review and validation through consultation the better it is likely to be.
In sum: Key aspects of data gathering Plan ahead and create public-private relationships Map out data needs and collect data throughout the RIA process in an iterative process Consider a variety of methods to collect scarce data, and shift data costs through structured stakeholder consultation Use good data quality techniques. Carefully document data. Leave a trail in the RIA that a careful reader can follow to connect the input data with the outputs (i.e., the estimated effects) Make weaknesses transparent and deal with uncertainties openly Use diverse sources to guard against “data capture”
Why consult? Supplement and/or complement data gathering Gather data effectively Measure actual consequences and assess impacts Public interest and involvement Highlight potential problems and oppositions Raise awareness of future regulation Increase legitimacy of final proposals Build trust Create ownership and boost compliance
Dialogue: A two sided coin Government Firms
Consultation principles and standards Australia Targeted Timeliness Accessible Transparent Consistent and flexible Evaluated and reviewed European Commission • Clear content • Target groups • Publication • Time limits for participation • Acknowledgement and feedback
What is Regulatory Consultation? Information: a one-way relationship in which government provides information to citizens & firms Consultation: a two-way relationship in which citizens & firms provide feedback on issues defined by government Participation: a partnership in which regulatees actively shape policy options
Practical Steps for Better Consultation Plan the consultation in advance Identify stakeholders Prepare consultation document Consult Analyze and validate responses Integrate analysis into the RIA Provide feedback
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: Stakeholder Analysis Stakeholder Analysis can be seen in terms of five generally sequential stages of activity Specifying issue(s) to be addressed Long Listing Stakeholder Mapping “origin”: Private/Public/NGO “stake”: Informed/implicated/concerned Validate availability and commitment Strategies for mobilising and sustaining participation
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 a Consultation Document (similar to a Preliminary RIA) Document 5 to 10 pages Outline Foreword signed by Sec General Executive summary How to respond Why is the proposal needed? (problem definition) Options considered Description of the options Type of impacts Questionnaire
Step 4: Consult “Garbage in, garbage out” Partial consultation reduces credibility Broad Vs Target consultation Active Vs Passive consultation e-consultation Internet publication and feedback
Broad Vs Targeted Consultation Targeted 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)
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
Step 5: Analyze & Validate Responses Analysis Differentiate positive and negative impacts Follow up questions, in case Double check ‘irritants’, opinions and facts Investigate ‘outstanding’ responses Validate with experts Consultation is not a public vote Avoid ‘data’ capture Monitoring results for representativity 'Response Analysis Grid'.
Balance irritants Vs facts Opinions &Self-interest Data and evidence of impacts
Step 7: Provide Feedback Accountability element Crucial for credibility, building trust and sustainability of future consultation Use information technology
