Effectiveness of regulatory oversight, central guidance and support for RIA

An institution/unit is formally assigned to check quality of impact assessments before the package is finalised

Review of rules of procedure of government, rulebooks and other relevant regulations to check whether there is a central institution or a unit which is formally assigned to review the quality of all impact assessments before they are finalised and submitted to the government for approval. Depending on the RIA model that exists in an administration, one or more type of impact assessment reports may be required during the policy-development process (e.g. a separate RIA and budget/fiscal impact assessment report). In those situations, checks are carried out on the availability of an oversight /quality-control body for all types of impact assessments. The quality-assurance functions of the relevant bod(ies)/unit(s) include setting the minimum standards and requirements for the quality of analysis and ensuring compliance with the minimum standards and requirements for impact assessments and their development process (including the right to return impact assessment reports for revision to the originating body when the quality of the report is inadequate, if relevant).

The relevant quality-control body(ies) consistently review the quality of all RIA reports

The full list of draft laws for which RIAs were prepared during the last full calendar year are reviewed to check if the RIA reports were reviewed by the relevant quality-control body before the package was finalised and submitted to the government for approval. The administration is asked to provide the full list of draft laws and RIAs, confirming whether checks were carried out on the impact assessment reports by the relevant quality-control body(ies). Further checks are carried out based on the review of the actual documents prepared for a sample of five RIAs which were prepared on the most significant regulatory proposals (draft laws) of the previous year. Formal or informal opinions on those five sample cases are requested and checked to confirm the practice (including during interviews with the relevant ministries and the RIA bodies). Points are allocated if there is no inconsistency found.

RIA guideline(s) provide clear and comprehensive guidance and methodology on planning and conducting RIA for all types of regulatory policy measures and impacts

Relevant regulations and RIA guidance documents as well as official government websites are reviewed to assess whether there is guidance and methodology available to carry out a comprehensive/broad RIA for different types of policies and/or different impacts. The guidance documents should contain sections which provide guidance on: 1) the RIA process and steps; 2) the RIA template/form and how to use it; 3) how to analyse the policy problem and define objectives; 4) how to identify, analyse and compare different options; 5) how to use evidence gathered through public consultation; (6) the methodology, criteria and analytical tools for quantifying and/or monetising the complex policies and impacts proportionately; 7) a checklist with basic guidance how to identify and analyse major types of impacts that should be considered when analysing policies (at least impacts on budget, economy, social, environment, green, gender); 8) monitoring and enforcement issues. The guidance are considered comprehensive if there is at least a section in the relevant document and/or official website that provides information on how to use and apply those in practice.

All final RIA reports are publicly available through a central government website

Review of the government websites to check the availability and accessibility of the final RIA reports prepared on all draft laws approved by the government during the last full calendar year. All final RIA reports and related draft laws are published and available from a single government website in order for the criterion to be considered met. The criterion is considered to be met if the RIA reports and draft laws are published on parliament’s website. Random checks are carried out on selected RIA reports prepared during the last full calendar year to verify the accuracy and completeness of information and the actual availability of the RIA reports.

Perceived quality and availability of central guidance and support for RIA by policy officials of ministries (%)

Analysis of survey responses from a sample of public servants to the following question or statement: “To what extent do you agree with the following statement: Guidance, advice and support are available for analysing the policy and its impacts when preparing draft legislation.” Officials from ministries are asked to confirm if they consider the guidance and support provided by the relevant centre-of-government body during preparation of RIA is adequate. Answer options are: Strongly disagree, Tend to disagree, Neither disagree nor agree, Tend to agree, Strongly agree, Do not know, Prefer not to answer. Points are allocated based on the percentage of respondents who replied “Tend to agree” and “Strongly agree” to the survey question (x): • x < 10% = 0 points. • 10% ≤ x < 90% = linear function. • x ≥ 90% = 2 points.