Turkey : crucial support for economic recovery : 2002.

188 Pages·2002·3.108 MB·English

by  OECD

«
OECD Reviews of Regulatory Reform OECD Reviews of Regulatory Reform
Regulatory Policies in OECD Countries
R
e Regulatory Policies
FROM INTERVENTIONISM TO REGULATORY GOVERNANCE g
u
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a in OECD Countries
In the past 20 years, few reforms of the public sector have received more attention, and stimulated to
r
more controversy, than the reforms made to regulation making and regulatory management. The rise y

of regulatory policies – explicit policies aimed at continuously improving the quality of the regulatory P
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environment – shows how early notions of "deregulation" or "cutting red tape" quickly gave way to l FROM INTERVENTIONISM
i
c
a central "good governance" notion. This notion is based on an understanding of how regulatory i
e TO REGULATORY GOVERNANCE
practices can substantially improve market performance, public sector effectiveness and citizens’ s

i
satisfaction, through a mix or deregulation, re-regulation and better quality regulation, backed up by n

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new or improved institutions.
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C
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Regulatory Policies in OECD Countries documents the development and emergence of that

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understanding. It describes the "state of play" in the regulatory policy agenda in OECD countries,
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and identifies the key challenges facing regulatory practitioners in the future. u
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OECD Reviews of Regulatory Reform
Regulatory Policies
in OECD Countries
From Interventionism to Regulatory Governance
2002
ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT
ORGANISATION FOR ECONOMIC CO-OPERATION
AND DEVELOPMENT
Pursuant to Article 1 of the Convention signed in Paris on 14th December 1960, and which came
into force on 30th September 1961, the Organisation for Economic Co-operation and Development
(OECD) shall promote policies designed:
– To achieve the highest sustainable economic growth and employment and a rising standard of
living in Member countries, while maintaining financial stability, and thus to contribute to the
development of the world economy.
– To contribute to sound economic expansion in Member as well as non-member countries in the
process of economic development.
– To contribute to the expansion of world trade on a multilateral, non-discriminatory basis in
accordance with international obligations.
The original Member countries of the OECD are Austria, Belgium, Canada, Denmark, France,
Germany, Greece, Iceland, Ireland, Italy, Luxembourg, the Netherlands, Norway, Portugal, Spain,
Sweden, Switzerland, Turkey, the United Kingdom and the United States. The following countries
became Members subsequently through accession at the dates indicated hereafter: Japan
(28thApril1964), Finland (28th January 1969), Australia (7th June 1971), New Zealand (29th May 1973),
Mexico (18th May 1994), the Czech Republic (21st December 1995), Hungary (7th May 1996), Poland
(22nd November 1996), Korea (12th December 1996) and the Slovak Republic (14th December 2000).
TheCommission of the European Communities takes part in the work of the OECD (Article 13 of the
OECD Convention).
Publié en français sous le titre :
Examens de l’OCDE de la réforme de la réglementation
Politiques de régulation dans les pays de l’OCDE
De l’interventionnisme à la gouvernance de la régulation
© OECD 2002
Permission to reproduce a portion of this work for non-commercial purposes or classroom use should be obtained through the Centre français
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FOREWORD
Foreword
T
he quality of government regulations concerns all who are working to establish the conditions
for sustainable global economic growth. As the OECD’s Public Management Committee has noted,
regulatory quality is crucial for economic performance and government effectiveness in improving
the quality of life of citizens. The quality of regulations is becoming even more important as rules are
internationalised, and national regulations affect the world trading system.
Yet Member countries are experiencing similar and troublesome problems with their use of
regulation. Recognising these problems, as well as the substantial work being carried out by Member
countries to improve regulatory quality, the Council of the OECD adopted on 9March 1995 the
Recommendation on improving the Quality of Government Regulation.
The Recommendation, the first international standard on regulatory quality, was developed by
a network of regulatory policy officials from OECD countries who carry out the work programme of
the Public Management Committee on Regulatory Management and Reform. At a meeting in
May1993, these officials agreed that the Secretariat should develop, on the basis of existing
practices in OECD countries (see “The Design and Use of Regulatory Checklists in OECD Countries”,
OECD Occasional Paper in Public Management [OCDE/GD(93)181]), a guiding checklist of good
decision-making principles. A draft “OECD Reference Checklist for Regulatory Decision-Making” was
reviewed in mid-November1994 and forwarded to the Council for adoption as a Recommendation.
The Public Management Service (PUMA) offers managerial expertise and comparative analysis
to support OECD countries in improving public sector efficiency, responsiveness, and effectiveness.
Working under the direction of the Public Management Committee, PUMA surveys, analyses, and
reports on innovations in public sector management, and offers a forum for Member countries to
exchange ideas.
The Recommendation was produced within the PUMA work programme on Regulatory
Management and Reform established by Member countries to improve comparative information in
this area. The regulatory work has several objectives:
● Improving the quality of regulation by examining institutional and procedural
strategies for upgrading regulatory decision-making.
● Supporting the development of more effective management of the regulatory system
to increase regulatory effectiveness and reduce costs, support structural adjustment of
economies in the OECD area, improve regulatory flexibility and responsiveness, and
increase openness and transparency.
● Promoting alternative instruments by increasing understanding of the ways in which
innovative regulatory and non-regulatory instruments can be used to advance policy
objectives.
● Strengthening the effectiveness and legitimacy of the international regulatory system
in solving common problems.
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OECD REVIEWS OF REGULATORY REFORM: REGULATORY POLICIES IN OECD COUNTRIES – ISBN 92-64-19893-8 – © OECD 2002
FOREWORD
Acknowledgements
The report has been carried out by the Working Group on Regulatory Management and
Reform as part of the work programme of the OECD’s Public Management Committee. It was
prepared by Cesar Córdova-Novion, Rex Deighton-Smith and Scott Jacobs under the direction
of Rolf Alter. Chiara Goretti, Jefferson Hill and Martin Stokie provided valuable inputs.
Sandrine Duchesne was responsible for the statistical analysis of the country survey and
Maggie Sidbon and Jennifer Stein for the secretarial assistance.
The report is published under the responsibility of the Secretary-General of the OECD.
The background reports of all country reviews on regulatory reform have been posted on the
OECD Web site: www.oecd.org/regreform/backgroundreports
4
OECD REVIEWS OF REGULATORY REFORM: REGULATORY POLICIES IN OECD COUNTRIES – ISBN 92-64-19893-8 – © OECD 2002
TABLE OF CONTENTS
Table of Contents
Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Chapter 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Chapter 2. The Regulatory Role of Government: History and Development . . . . . . 19
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Chapter 3. Regulatory Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Objectives of regulatory policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Main elements of regulatory policy . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
The two basic dimensions of a regulatory policy. . . . . . . . . . . . . . . . . . . . 32
Conclusions on regulatory policies. . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Chapter 4. Tools to Improve Regulatory Design . . . . . . . . . . . . . . . . . . . . . . 43
Fostering efficiency: the use of Regulatory Impact Analysis . . . . . . . . . . . . . 44
Regulatory and non-regulatory alternatives . . . . . . . . . . . . . . . . . . . . . . 51
Administrative simplification and license and permit reduction. . . . . . . . . . . 57
Regulatory Transparency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Chapter 5. Tools to Improve Implementation of Regulations . . . . . . . . . . . . . . 73
Administrative justice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Judicial review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Regulatory compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Other mechanisms promoting regulatory implementation. . . . . . . . . . . . . . 80
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
Chapter 6. Institutions to Drive Regulatory Policies. . . . . . . . . . . . . . . . . . . . 83
Regulatory oversight bodies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Emerging role of independent regulators . . . . . . . . . . . . . . . . . . . . . . . . 91
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Chapter 7. The “State of Play” for Regulatory Policy. . . . . . . . . . . . . . . . . . . . 99
Government policies and rule-making tools . . . . . . . . . . . . . . . . . . . . . . 101
Dynamic aspects of regulatory quality . . . . . . . . . . . . . . . . . . . . . . . . . 103
Regulatory institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Policy successes and failures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Evaluating regulatory policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
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TABLE OF CONTENTS
Communication of the impacts of reform. . . . . . . . . . . . . . . . . . . . . . . . 106
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
Chapter 8. An Agenda for the Future – Emerging Issues for Regulatory Policy . . . . 111
Regulatory policies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
Evaluating regulatory policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Regulatory institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
Regulatory practices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
Integrating the elements of regulatory policy. . . . . . . . . . . . . . . . . . . . . . 118
Chapter 9. Conclusion: Updating the 1995Recommendation on Regulatory Quality . . 121
Annex 1. The Use of Regulatory Impact Analysis. . . . . . . . . . . . . . . . . . . . . 126
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
Annex 2. Regulatory Alternatives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
Annex 3. Administrative Simplification and the Use of E-government Tools . . . . . 143
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
Annex 4. Regulatory Transparency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174
Annex 5. Regulatory Accountability –Improving Due Process and Administrative Cer-
tainty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .175
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
Annex 6. Strategies for Review of Existing Regulation . . . . . . . . . . . . . . . . . . 183
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
List of Boxes
1. The roots of regulatory inflation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2. The OECD reference checklist for regulatory decision-making . . . . . . . . . . . . 24
3. The Australian generalised review. . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
4. Year of adoption of government-wide regulatory quality policies
in selected countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
5. Getting maximum benefit from RIA: best practices . . . . . . . . . . . . . . . . . . 48
6. License reduction programme in Mexico and in Belgium . . . . . . . . . . . . . . . 63
7. The Netherlands Table of Eleven (T11) key determinants of compliance . . . . . . 79
Annexes
8. Environmental covenants in the Netherlands . . . . . . . . . . . . . . . . . . . . . 141
9. Best practices in consultation: notice-and-comment in the United States . . . . . 156
10. The shift in the Netherlands to more transparent consultation . . . . . . . . . . . 159
11. Using information technologies to strengthen public consultation . . . . . . . . . 161
12. Regulatory registers: Some country practices. . . . . . . . . . . . . . . . . . . . . . 168
13. The growing use of quasi legal measures . . . . . . . . . . . . . . . . . . . . . . . . 171
14. Use of ICT in regulatory communication . . . . . . . . . . . . . . . . . . . . . . . . 176
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OECD REVIEWS OF REGULATORY REFORM: REGULATORY POLICIES IN OECD COUNTRIES – ISBN 92-64-19893-8 – © OECD 2002
TABLE OF CONTENTS
15. Some elements of administrative procedure laws in OECD countries . . . . . . . . 179
16. Successful generalised reviews in Hungary and Korea . . . . . . . . . . . . . . . . 186
List of Tables
1. Inventories of permits and licenses required at national level
in selected OECD countries (Notifications not included) . . . . . . . . . . . . . . . 61
2. Regulatory transparency problems in 12OECD countries. . . . . . . . . . . . . . . 68
3. A selection of sectoral regulatory and competition authorities in OECD countries . . 92
4. Conclusions on regulatory tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
Annexes
5. Summary of selected GATS requirements pertaining to transparency
in domestic trade-related regulation . . . . . . . . . . . . . . . . . . . . . . . . . . 149
List of Figures
1. Selected regulatory quality tools contained in regulatory reform policies
in 28OECD countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2. Aspects of regulatory impact assessments in 28OECD countries . . . . . . . . . . 46
3. The spectrum of regulatory and non-regulatory policy instruments. . . . . . . . . 52
4. Policy alternatives increasingly used in 28OECD countries in major policy areas . . . 54
5. Strategies for administrative burdens reducing programmes
in 28OECD countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
6. Responses to the question: Is a specific minister accountable for promoting
government wide progress on regulatory reform? . . . . . . . . . . . . . . . . . . . 85
7. Responses to the question: Is there a dedicated body responsible for encouraging
and monitoring regulatory reform and regulatory quality
in the national administration? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Annexes
8. Analysis of potential costs and benefits in RIA. . . . . . . . . . . . . . . . . . . . . 129
9. Use of quantitative risk assessment in the development of regulations. . . . . . . 130
10. Use of public consultation for primary and subordinate regulations
in 28OECD countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
11. Forms of public consultation used in OECD countries. . . . . . . . . . . . . . . . . 152
12. Accessibility of public consultation mechanisms, October 2000 . . . . . . . . . . . 162
13. Quality of regulations –average for all countries Percentage of businesses
saying they agree fully or mostly minus % disagreeing mostly or fully . . . . . . . 166
7
OECD REVIEWS OF REGULATORY REFORM: REGULATORY POLICIES IN OECD COUNTRIES – ISBN 92-64-19893-8 – © OECD 2002
ISBN 92-64-19893-8
OECD Reviews of Regulatory Reform:
Regulatory Policies in OECD Countries
From Interventionism to Regulatory Governance
© OECD 2002
Executive Summary
OECD REVIEWS OF REGULATORY REFORM: REGULATORY POLICIES IN OECD COUNTRIES – ISBN 92-64-19893-8 – © OECD 2002