Questionnaire for Horizontal Assessment (Part 2)

Questionnaire for Horizontal Assessment (part 2)

Governance framework

Institutional Setting / 1. Mandate / 1.1. Has the agency the mandate and necessary authority to: / ☐ Set tariffs for regulated entities
☐ Establish, modify, and monitor market and service quality rules
☐ Address market power and market design problems adequately
☐ Carry out normal administrative powers
☐ Investigate, adjudicate and mediate on consumer complaints
☐ Provide dispute resolution services and facilities for regulated entities, and between entities and consumers.
☐ Compel the provision of needed information
☐ Monitor and enforce its decision.
1.2. Is there an organization chart for the agency? / ☐ Yes ☐ No / Please attach
1.3. Does the institutional framework provide clear guidelines for the mandates and functions of each governmental unit / agency? / ☐ Yes ☐ No
1.4. Is the regulatory authority legally and financially independent of the government? / ☐ Yes ☐ No
1.5. Is the regulatory authority separate from, and not accountable to, the entities it regulates? / ☐ Yes ☐ No
1.6. Are the functions and responsibilities of the regulator well defined? / ☐ Yes ☐ No
1.7. Are the decisions and procedures of the regulator impartial with respect to all market participants? / ☐ Yes ☐ No
1.8. To whom is the regulator accountable for? / Please specify:
2. Human resources / 2.1. What is the staffing of the agency, relative to its mandate? / ☐ Agency is overstaffed
☐ Agency is adequately staffed
☐ Agency is understaffed
☐ Agency is severely understaffed
2.2. What is the staff’s technical capacity of the agency? / ☐ Staff is highly knowledgeable
☐ Staff is knowledgeable
☐ Staff lacks adequate technical knowledge
2.3. Please roughly indicate the numbers the agency’s managerial and professional personnel with the following education background / Doctoral studies %
Masters studies or equivalent %
University %
Tertiary education (excluding secretarial studies) % %
High school education %
2.4. What is the professional background of the personnel with tertiary or higher education? Please indicate the rough percentage of the different professions in the total of professional staff. / Lawyers %
Economists %
Sectoral experts (engineers, etc) %
Public administration professionals %
Other % / Please specify
2.5. Where is the staff normally recruited from? / ☐ Private sector directly related to regulatory sector
☐ Private sector in general
☐ Other governmental institutions
☐ Academia
☐ Fresh out of school
☐ Other: / Please specify
2.6. What is the salary difference between agency employees and their equivalent in the private sector? / ☐ Private sector salaries and benefits are much higher
☐ Private sector salaries and benefits are somewhat higher
☐ Private and public sector salaries and benefits are about the same
☐ Public sector salaries and benefits are somewhat higher
☐ Public sector salaries are and benefits are much higher
2.7. What is the turnover rate of the agency compared to other governmental institutions? / ☐ Staff stays much longer in the agency than in normal government institutions
☐ Turnover rate is about the average for any governmental institutions in the country
☐ Staff stays much shorter in the agency than in normal government institutions
2.8. Please indicate an estimate of how long professional staff works at the agency before moving elsewhere / Please specify
2.9. After working for the agency, staff commonly continues his/her career (please rank from 1 to 6, being 1 the most likely) / In another agency within the government:
In the private sector related to the agency’s mandate:
In the private sector, in a different field:
In academia
Work or studies abroad
Other
3. Financial resources / 3.1. What is the agency’s budget sufficient to carry out its regular operations? / ☐ Budget is sufficient
☐ Budget is insufficient (e.g. 50 to 80% of “sufficient” budget)
☐ Budget is grossly insufficient (e.g. 30 to 50% of “sufficient” budget)
☐ Budget is negligible (e.g. less than 30 % of “sufficient”)
3.2. Please indicate roughly what percentage of the regulatory agency’s budget comes from the following sources: / Regular government budget %
Identified payment by regulated entities (e.g., license fees) %
Identified payment by consumers (e.g., specific fees or taxes) %
Other %
Regulatory Procedures / 4. General regulatory procedures / 4.1. Is there a law or regulation that governs the regulatory process as a whole? / ☐ Yes ☐ No
4.2. Does the law describe accurately the procedures being applied in practice, or practice differs from the standard process described in the laws? / ☐ the law describes accurately the current practices
☐ actual practices differ from the legal standard
☐ What other major laws and regulations are relevant for the regulatory process?
4.3. Does each governmental unit / agency establish its own regulatory procedures? / ☐ Yes ☐ No
4.4. Are these regulations known and publicly available? / ☐ Yes ☐ No
4.5. Is there a “map” of the regulatory process publicly available? / ☐ Yes ☐ No / Please attach
5. Standards and Regulatory Impact Assessment / 5.1. Are agencies required to consider international standards during the regulatory process? / ☐ Yes ☐ No
5.2. Are they required to provide justification for deviating from international standards when warranted? / ☐ Yes ☐ No
5.3. Are the legal basis and the economic and social impacts of drafts of new regulation reviewed? By whom? / ☐ Regulating agency
☐ Horizontal specialized agency
☐ Not formally reviewed.
5.4. What law or regulation establishes such a requirement? / Please specify
5.5. How are alternatives to regulation assessed? Are agencies required to formally state the alternatives considered in the proposal for regulation? / Please explain
5.6. What happens if such regulatory procedure is not followed? / ☐ Regulation cannot be considered for adoption
☐ Regulation can be enacted, and regulatory flaw amended post facto
☐ Depends on the flaw
6. Interagency coordination / 6.1. Are other governmental units and agencies required to participate in the regulatory process? / Please specify
6.2. If yes, the requirement stems from / ☐ A law
☐ A decree or other form of government-wide regulation
☐ Political guidance
☐ Usual government-wide practice
☐ Usual practice by some agencies
☐ Public pressure
☐ Other
6.3. Please explain what the other ministries and agencies whom are usually consulted / informed of the regulatory activity in your agency. / Please explain
6.4. Please explain which other ministries and agencies who commonly consult / inform your agency of their regulatory activity. / Please explain
6.5. What type of measures developed by your agency are usually informed to other agencies for coordination purposes? / ☐ All laws
☐ All regulation
☐ Only selected laws
☐ Only selected regulation
6.6. If only selected laws and regulations are informed, who decides which ones? / ☐ There is government-wide guidance on what laws and regulations are to be informed
☐ The regulating agency, based on internal written procedures
☐ the regulation agency, based on usual practice or informal guidance
☐ Other:
6.7. At what point of the regulatory process are other agencies informed of the regulatory activity? (check all that applies) / ☐ When considering whether an issue needs to be regulated or re-regulated)
☐ When the decision to regulate a certain issue has been taken
☐ When a specific regulatory proposal (draft or similar) is being circulated
☐ When a draft of a regulation is being submitted for approval
☐ When a regulation has been approved
☐ When a regulation is entering into force
☐ A periodical notification informs of the regulatory activity of the agency
6.8. What information is included in the notifications to other agencies? (check all that applies) / ☐ Explanation of the perceived problem to be regulated
☐ General goal of the regulation
☐ Specific objective of the main measures foreseen in the regulation
☐ Draft text of the regulation
☐ Estimated economic or social impact of the regulation
☐ When a regulation is entering into force
☐ Other
7. Publicity / 7.1. Are agencies required to publicly inform of their regulatory activity? / ☐ Yes, by law,
☐ Yes, by political guidance
☐ No, but they all do it regularly.
☐ No, but some agencies do it regularly
☐ No, and no agency does it regularly.
7.2. When does your agency publicly inform of the regulatory activity? (check all that applies) / ☐ When considering whether an issue needs to be regulated or re-regulated)
☐ When the decision to regulate a certain issue has been taken
☐ When a specific regulatory proposal (draft or similar) is being circulated
☐ When a draft of a regulation is being submitted for approval
☐ When a regulation has been approved
☐ When a regulation is entering into force
☐ When the regulation has entered into force
☐ A periodical notification informs of the regulatory activity of the agency
7.3. How is that information publicly available? (check all that applies) / ☐ It is available at the agency to anyone interested
☐ It is available at some other agency’s front-desk
☐ It is published in a legal gazette or similar publication
☐ It is published online on the agency’s website
☐ It is published online on a specific website of the government
7.4. How are enacted law or regulations made publicly available ? (check all that applies) / ☐ They are available at the agency to anyone interested
☐ They are available at some other agency’s front-desk
☐ They are published in a legal gazette or similar publication
☐ They are published online on the agency’s website
☐ They are published online on a specific website of the government
☐ Other:
7.5. Are those laws or regulations translated into a foreign language / ☐ No
☐ Yes
☐ Yes, but only a few selected laws or regulations / Which language?
8. Stakeholder consultations / 8.1. Is there formal public consultation mechanisms and procedures, including prior notification to regulated parties and other stakeholders? / ☐ Yes ☐ No
8.1.1. If Yes, is does the process apply to / ☐ All laws
☐ Some laws
☐ All regulations
☐ Some regulations
8.1.2. If “some” laws or regulation, are there specific criteria to establish which laws and regulation are subject to public consultations? / ☐ Yes ☐ No / Please explain
8.2. How do consultations with stakeholders take place? (check all that applies) / ☐ Through an open invitation to the public to comment on the regulatory issues
☐ Through communications with specific stakeholders
☐ Through regular public-private events
☐ Through occasional events
☐ Other
8.3. How do private entities and the general public participate in the regulatory process? / ☐ Communicating informally their policy position and interests
☐ Proving written documentation to support their position
☐ Providing technical comments on proposed regulation
☐ Other
8.4. Who are the parties normally involved in the consultation process? (check all that applies) / ☐ Private parties directly governed by the regulation under discussion
☐ Major companies and business associations, even if not directly affected by the regulation under discussion
☐ Civil society at large (NGOs, labour unions, etc)
☐ Foreign companies
☐ Other
8.5. Regarding the consultation with stakeholders, please check the statement(s) that best describe the process
8.5.1. Information flow / ☐ Information mostly goes from the governmental agency to the stakeholders
☐ Information flows back and forth between agency and stakeholders
☐ Information mostly goes from stakeholders to agency
8.5.2. Nature of the discussions: / ☐ Exchanges are mostly political in nature
☐ Exchanges are both political and technical
☐ Exchanges are mostly technical in nature
8.5.3. Mechanisms for consultations / ☐ Exchanges occur through formal mechanisms (written presentations, public / private workshops devoted to the topic, etc)
☐ Exchanges occur through formal and informal mechanisms
☐ Exchanges occur through informal mechanisms (informal meetings, casual encounters, etc)
8.6. Is there a mechanism for answering everyday questions on the regulatory process? / ☐ No
☐ Yes, there a central contact point for the entire government
☐ Yes, each agency has a contact point
8.7. Does the agency officially address the submissions received from the stakeholders in the regulatory process? / Please explain
Additional Questionnaire for Trade Ministry
9. Implementation of trade agreements / 9.1. Are there specific formal mechanisms in the regulatory decision making process to promote compliance with international trade agreements? / ☐ Yes ☐ No / If yes, Through (check all that applies)
☐ Inter-agency coordination
☐ Review by devoted department / agency
☐ Public consultations
☐ Post-facto judicial review
☐ Other
9.2. Is there a specific government unit or agency charged with dealing with the ensuring compliance with and implementation of international trade commitments? / ☐ Yes ☐ No / If yes: Please name:
If no, which is the governmental department that works more closely with these issues?
9.3. The agency is set within which government unit? / ☐ President / Prime Minister
☐ Ministry of Commerce
☐ Ministry of Finance
☐ Ministry of Foreign Affairs
☐ Independent
☐ Other. Please specify
1.1. Is it the same agency as the one charged with the negotiation of trade agreements? / ☐ Develop foreign trade policies
☐ Prompt implementation by other agencies
☐ Prompt development of laws and regulations necessary for compliance
☐ Monitor implementation by other agencies
☐ Disseminate information about trade agreements to the public
☐ Ensure coordinate between other agencies
☐ Negotiate trade agreements
☐ Provide input for trade negotiations
☐ Other. Please specify
9.5. How do agencies ensure non-discrimination in the regulatory process? / ☐ Review by specific agency
☐ Self-assessment by regulating agency
☐ Post-facto judicial review
☐ Other:
9.6. If elements of discrimination do exist in the regulation, are agencies required to provide adequate justification vis-à-vis trade agreements? / ☐ No
☐ Yes, qeneral justification
☐ Yes, Specific justification with reference to disciplines, exceptions, or commitments in trade agreements.
9.7. Does the agency initiative the procedures for the adoption, amendment or repeal of measures when it identifies such needs for compliance? / ☐ No. It is not within its mandate
☐ No. It is entitled to do so, but not normally does.
Why? ………
☐ Yes.
9.7.1. If yes, how so? / ☐ The agency pushes for action by other sector-specific institutions
☐ It initiates the legislative and regulatory procedures.
☐ Other.
9.8. Does the agency review proposed legislation or regulation? / ☐ No. It is not within its mandate
☐ No. It is entitled to do so, but not normally does.
☐ Yes. / Why?

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