Roinn an Taoisigh
Department of the Taoiseach

Regulating Better - A Governement White Paper setting out six principles of Better Regulation

Action Programme for Better Regulation

Table of Contents

Taoiseach's Foreword

Executive Summary

Chart of Principles

Effectiveness

Proportionality

Transparency

Accountability

Consistency

Action Programme for Better Regulation

Appendices

Appendix I - Regulatory Impact Analysis (RIA)

Appendix II - RIA and the Legislative Process

1. Actions relating to legislative process and Statute Law Revision
		ACTION	PRINCIPLE	BY WHOM	BY DATE
1.1 Pre-1922 legislation	1.1.1	A programme (under the remit of the Statute Law Revision Unit) will be put in place to analyse pre-1922 legislation with a view to: Identifying moribund legislation and repealing it through the introduction of a Bill; Re-enacting legislation that is still useful, removing anomalies in the process; and Streamlining/simplifying the Statute Book as necessary.	Necessity	Office of the Attorney General	Spring 2004
1.2 Statutory Instruments	1.2.1	RIA will be used for Statutory Instruments that contain proposals with a significant impact.	Transparency	All Departments/ Offices	2005
1.2 Statutory Instruments	1.2.2	The Office of the Attorney General will work with Departments to promote the Guidelines on drafting Statutory Instruments. As best practice, Departments/Offices will encouraged to simplify/codify, e.g. to consolidate Statutory Instruments that have been amended more than three times.	Transparency Consitency	Office of the Attorney General All Departments /Offices	Ongoing Ongoing
	1.2.3	Statutory Instruments containing significant proposals will be accompanied by an improved explanatory statement /guide. (see also 1.4.1)	Effectiveness Transparency	All Departments /Offices	Immediate
	1.2.4	Consideration will be given to opportunities for more effective scrutiny of Statutory Instruments by the Houses of the Oireachtas.	Transparency	Office of the Government Chief Whip	Ongoing
1.3 Drafting new legislation	1.3.1	There will be greater training and awareness-raising in Government Departments and Offices on the process of legislative drafting, including issues such as: The need to ensure that the gains made by reducing regulations in a particular sector/industry are not offset by re-regulating in another guise. The advantages and disadvantages of mechanisms such as "sunsetting" clauses as a means of ensuring review at a future date. The need for closer scrutiny of new regulations to ensure their consistency with the existing body of regulation in that area (RIA will be of use in this regard).	Consistency	CMOD, Department of Finance All Departments/Offices	Ongoing
1.4 Better information on new legislation	1.4.1	Departments and Offices will adopt best practices regarding providing better quality information on legislation, including: Draft Heads of a Bill to be published where feasible and appropriate. RIAs, where conducted, to be published alongside a Bill, where appropriate, taking into account Cabinet confidentiality, security and commercial sensitivity issues. An explanatory guide to be published alongside all new Acts with significant impacts, particularly those with major implications for consumers/citizens and/or SMEs. This guide will be akin to the Explanatory Memorandum that currently accompanies most Bills and will be written with the general public in mind. A similar guide will be produced in respect of Statutory Instruments that contain major proposals.	Transparency Proportionality Effectiveness	All Departments/ Offices	a) Immediate b) On introduction of RIA c) Immediate
1.5 Amendment of existing legislation	1.5.1	As a matter of good practice, Departments/Offices will be encouraged to amend legislation by textual amendments and avoid the use of non-textual amendments as far as possible.	Transparency	All Departments/ Offices	Immediate
1.6 Improved access to legislation	1.6.1	Current e-Government (including e-Cabinet) and Quality Customer Service initiatives will be utilised more fully to improve the quality and accessibility of legislation, including: Greater accessibility of Acts, Statutory Instruments, the Chronological Tables (the Tables that provide information about amendments to Acts) and related materials such as Dáil and Seanad Debates. Further development of a web-based service to allow citizens full electronic access to legislation, debates of the Houses of the Oireachtas and other related materials. Using customer charters to reduce the burden of compliance on the citizen.	Necessity Transparency	a) and b) Office of the Attorney General in co-operation with Departments/Offices c) All Departments/ Offices	2004
1.7 Use of Statute Law Revision tools	1.7.1	The Government's Legislative Committee will include a rolling programme of Statute Law Revision as a part of the legislative programme. This will outline specific targets and priorities for the use of the principal Statute Law Revision tools of repeal, consolidation and restatement.	Necessity Transparency Consistency	Office of the Attorney General, Office of the Government Chief Whip	Ongoing
1.7 Use of Statute Law Revision tools	1.7.2	The Statute Law Revision Unit will maintain a prioritised list of legislation to be: (a) consolidated; (b) repealed; (c) restated; (d) otherwise revised. This list will be compiled in conjunction with Departments/Offices and will be submitted to the Better Regulation Group for consideration.	Necessity Consistency	Office of the Attorney General, Departments/Offices	Ongoing
1.8 Scrutiny of EU legislation	1.8.1	RIA will be used as a tool for greater scrutiny of EU legislation, including use by Departments and Offices in the reports that they make to the Oireachtas Committee on EU Affairs and for analysing impact assessments produced by the European Commission.	Proportionality	All Departments / Offices	On introduction of RIA
1.9 Improving service delivery	1.9.1	In the context of further improvements to customer service, Departments and Offices will be asked to review their current regulatory and administrative systems and identify opportunities to simplify and streamline how they interact with their customers, including: Simplifying forms and using more accessible language Reviewing requirements for the provision of information Redesigning services around customer needs Using alternative delivery channels (e.g. phone and internet) Ensuring information is only collected from customers once Integrating services across organisations This work will be taken forward as part of the wider Civil Service modernisation programme including the Quality Customer Service initiative and e-Government (including Public Services Broker)	Effectiveness	All Departments /Offices	Immediate

2. Actions on RIA and evidence-based policy-making
		ACTION	PRINCIPLE	BY WHOM	BY DATE
2.1 Regulatory Impact Analysis	2.1.1	RIA will be piloted in a number of Government Departments and Offices with a view to gaining further insights into its use and the practical issues arising from its use, e.g. appropriate thresholds and other criteria to ensure that RIAs are only required for important and relevant proposals. Following the pilot phase, the RIA model will be refined and mainstreamed across all Departments and Offices.	Necessity Effectiveness Proportionality	Department of the Taoiseach in co-operation with piloting Departments	2004 2005
	2.1.2	Detailed guidelines will be prepared and issued prior to the mainstreaming of RIA within the Civil Service to ensure quality and consistency of approach.	Proportionality Effectiveness	Department of the Taoiseach and Better Regulation Group	End 2004
	2.1.3	RIAs will pay particular attention to business impact assessment, especially in respect of SMEs. However, this will complement, not replace, existing business impact assessment tools and procedures promoted/undertaken by the Department of Enterprise, Trade & Employment.	Effectiveness Proportionality	Department of Enterprise, Trade and Employment and Departments/Offices	On introduction of RIA
	2.1.4	Cabinet procedures will be amended as appropriate to take account of the RIA process. This will include changes to procedures being made under the e-Cabinet initiative.	Effectiveness Proportionality	Department of the Taoiseach	2005
	2.1.5	RIAs will be scrutinised by the Departments of the Taoiseach and Finance (Public Expenditure Division) from a quality perspective. RIAs will also be examined by relevant Departments/Offices in respect of particular policy impacts, e.g. by the Department of Enterprise, Trade and Employment in respect of business and consumer impacts or by the Department of Social and Family Affairs in respect of impacts on poverty.	Proportionality	Departments of Finance and the Taoiseach, Relevant Departments	On introduction of RIA
	2.1.6	RIAs will be used in assessing the introduction or variation of Public Service Obligations with a significant impact.	Effectiveness Transparency	Department of Transport, Department of Communications, Marine and Natural Resources and other Departments as appropriate. Sectoral Regulators	On introduction of RIA
2.2 Capacity building to support evidence-based policy-making	2.2.1	The capacity for evidence-based policy-making in the public service will be strengthened through greater awareness-raising and training, including specific courses on RIA techniques, as well as modular inputs to wider policy analysis and legislative process training courses.	Necessity Proportionality	CMOD, Department of Finance	Ongoing
	2.2.2	Data management, including the quality and range of statistical enquiries, will be improved.	Necessity	All Departments & Offices, National Statistics Board and the Central Statistics Office	Ongoing
	2.2.3	The requisite competencies to support evidence-based policy analysis will be actively promoted in the Civil Service through the Performance Management and Development System (PMDS).	Necessity	Department of Finance All Departments/ Offices	Ongoing
	2.2.4	These policy competencies will be given special attention for the purposes of promotion and recruitment, including through mechanisms established in 'Sustaining Progress' which allow for the direct recruitment of staff with specialist skills in certain circumstances.	Necessity	Department of Finance	2004

3. Actions on institutional change and review
		ACTION	PRINCIPLE	BY WHOM	BY DATE
3.1 Sectoral regulatory reviews	3.1.1	Regulatory reviews of sectors of the economy will be undertaken in order to establish the viability of existing regulatory approaches. This will involve reviewing the regulatory institutions in place, as well as the body of regulation governing particular areas.	Necessity Effectiveness Accountability	Departments & Offices, Better Regulation Group.	From 2004
	3.1.2	Such reviews could be initiated by the Government, by the relevant Minister, or on the recommendation of the Better Regulation Group. It may be open to the Better Regulation Group to organise reviews itself.	Necessity Effectiveness Accountability	Departments & Offices, Better Regulation Group.	From 2004
	3.1.3	The reviews will include assessing the roles of sectoral regulators and the range of functions that have been transferred from central Government Departments to independent regulatory bodies. This will include considering whether there is scope for partial integration of regulatory bodies.	Necessity Effectiveness Accountability	Departments & Offices, Better Regulation Group	From 2004
3.2 Building on existing capacity	3.2.1	The question of the capacity of the Houses of the Oireachtas and its committees to review new regulatory structures will be examined in the context of resources.	Accountability	Office of the Government Chief Whip	Immediate
	3.2.2	The role and resources of the Competition Authority will be reviewed periodically to ensure its ongoing effectiveness in reviewing mergers and acquisitions, in advocating and policing competition policy and studying anti-competitive aspects of particular markets including regulations.	Necessity	Department of Enterprise, Trade and Employment	Ongoing
	3.2.3	The Competition Authority will conduct further reviews of sectors and markets across a range of areas including sheltered sectors. These reviews could be conducted on a stand-alone basis, for example at the request of the Government, or could form a part of a sectoral regulatory review.	Necessity	Competition Authority	Ongoing
3.3 New structures	3.3.1	A new Better Regulation Group will be established to monitor implementation of the actions arising from this White Paper and will report to the Government on an annual basis. In addition, it will make recommendations to Government on relevant areas for external review. It will also be open to the Group to arrange such reviews.	Necessity Effectiveness	Department of the Taoiseach	2004
3.3 New structures	3.3.2	New measures will be examined to strengthen the role of the consumer in the process of sectoral regulation. In this context, consideration will be given to the establishment of sectoral consumer councils to bring together the concerns of individual citizens. The Government will also consider the case for using resources generated by existing industry levies to support consumer councils. The role and resources of the Office of Director of Consumer Affairs will be reviewed periodically to ensure its ongoing effectiveness.	Accountability	Relevant Departments	2004
3.4 Review at national level.	3.4.1	Opportunities will be sought to benchmark Ireland's regulatory regime and progress on regulatory reform at international level, including through the OECD, which undertook a major national review of Ireland's regulatory structures and processes in 2001.	Necessity	Departments of the Taoiseach and Finance	2005
3.4 Review at national level.	3.4.2	An audit of the regulatory framework in Ireland will be undertaken which will map the various bodies and reporting arrangements. It will also provide information on the range and type of bodies in Ireland with regulatory powers - whether "rule-makers" or "rule-enforcers".	Necessity	Better Regulation Group	2004

4. Actions on sectoral regulators/sectoral issues
		ACTION	PRINCIPLE	BY WHOM	BY DATE
4.1 Accountability	4.1.1	The Government will promote a systematic approach to the overview of sectoral regulators by Government Departments and Oireachtas Committees.	Accountability	Office of the Government Chief Whip and relevant Departments	Ongoing
4.2 Structures	4.2.1	Where new sectoral regulators are proposed, they will be established only if the requirement for a regulator can be clearly demonstrated and if responsibility for the sector in question cannot be assigned to an existing regulator.	Consistency	All Departments/Offices	Ongoing
	4.2.2	The Government will assess, on an ongoing basis, the possibilities for rationalisation of sectoral regulators including through the merger of existing regulators and/or through the sharing of common services.	Consistency	Departments of Finance, Transport, and Communications, Marine and Natural Resources	Ongoing
	4.2.3	Strengthened contacts between the sectoral regulators, the Office of the Director of Consumer Affairs and the Competition Authority will be promoted.	Consistency	Relevant Departments, Competition Authority, Office of the Director of Consumer Affairs and regulatory agencies	Ongoing
4.3 Appeals	4.3.1	Proposals for an improved approach to appeals of decisions by sectoral regulators, which will be put forward for consultation with interested parties, will be developed. This could involve, for example: an appeals body composed of members drawn from a panel of experts with a judicial/legal chair. The same panel and approach could be used for each sector; appeals would be on the merit of the regulator's decision. A number of different options would be available to the appeals body (change decision, refer back to regulator); legislation would clarify that, given the availability of an appeals process, recourse to the courts would be limited to points of law; to prevent use of the appeals structure in a vexatious or delaying manner, there could be disincentives, perhaps in the form of a requirement to lodge a sum of money as well as liability for costs, which might include any wider economic costs arising; and the decision of the regulator could stand for the duration of the appeals process.	Accountability	Better Regulation Group and relevant Departments/ Offices.	End 2004

5. Actions on Regulatory Procedures and Processes
		ACTION	PRINCIPLE	BY WHOM	BY DATE
5.1 Consultation	5.1.1	Wider and more consistent consultation is a key element of the new Regulatory Impact Analysis approach. Procedures and guidelines will be developed to promote better quality public consultation and to outline a full range of consultation options including "notice and comment" procedures, "calls for comment", and "silence is consent" rules, where appropriate.	Effectiveness Transparency	Department of the Taoiseach, Department of Finance (CMOD/CPMR)	2004
	5.1.2	While the duration of consultation processes may vary from sector to sector or across different branches of Government, norms and standards of consultation will be established within particular areas. Bypassing consultation will be possible, but the exceptions will be set out so that it will be clearer to the end users of regulation what can be normally expected in terms of consultation on routine regulation. Commitments in this regard could be included in customer charters, where appropriate.	Effectiveness Transparency	All Departments / Offices,regulatory agencies	2004
	5.1.3	Better use will be made of web-based technologies as a pro-active measure to increase coverage of consultation processes.	Effectiveness Transparency	All Departments/ Information Society Commission	Ongoing
	5.1.4	Consideration will be given to the mechanisms for ensuring balanced consultation procedures, taking care to consider the particular requirements of "not-for-profit" groups.	Effectiveness Transparency	All Departments/ Offices	2004
5.2 Alternatives	5.2.1	Alternatives to traditional "command and control" type regulation/legislation will be promoted and developed for wider use by Government Departments and Offices. This could include new approaches to regulation, including co-regulation and performance-based regulation (where the overall goal is stated but maximum flexibility is permitted as to how the goal can be achieved). Detailed guidance on this approach will be prepared and issued.	Effectiveness Proportionality	All Departments/Offices Better Regulation Group	End 2004
5.3 Administrative Procedures	5.3.1	The need for an Administrative Procedures Act, to set out, in one Act, the procedures underpinning the rights and standards of treatment that people can expect in their various dealings with Government Departments and Offices, will be kept under review.	Accountability	Department of Finance	Ongoing
5.3 Administrative Procedures	5.3.2	There will be greater accountability by Government Departments in respect of regulatory management, including reporting on regulations enacted, repealed, revised and restated etc. through the strategy statement/annual report process.	Accountability	All Departments / Offices	Annual Reports 2004
5.4 Penalties	5.4.1	The Government will examine the issue of empowering Courts and regulators to apply effective and economically meaningful penalties for non-compliance with laws or regulations. The Government will examine the extent to which the criminal justice system can appropriately deal with complex regulatory issues in an efficient manner.	Proportionality	Better Regulation Group in conjunction with Departments with sectoral regulatory responsibilities, Department of Justice Equality and Law Reform and the Office of the Attorney General.	End 2004
5.4 Penalties	5.4.2	The Government will provide for the indexation of fines and give greater consideration to the linking of monetary penalties/fines to the income/ability to pay of the non- compliant party/body.	Proportionality	Department of Justice, Equality and Law Reform	End 2004
5.5 Public Service Obligations	5.5.1	The rationale and criteria for Public Service Obligations (PSOs) should be clearly set out by the appropriate regulatory authorities/Government Departments and should be kept under ongoing review.	Transparency	Department of Communications, Marine and Natural Resources, Department of Transport	Ongoing
5.5 Public Service Obligations	5.5.2	The Government will keep under review the opportunities for developing a complementary approach to regulation, and PSOs in particular, on an island of Ireland basis, including enhancing information sharing on a cross-border basis.	Transparency Consistency	Department of Communications, Marine and Natural Resources, Department of Transport	Ongoing
5.6 Case Management	5.6.1	The Courts Service will continue to improve and streamline case management practices in cases relating to sectoral regulation in order to expedite the process. Expert panels of judges will be established within the system to deal with specified cases of competition and sectoral regulation.	Accountability	The Courts Service; Department of Justice, Equality and Law Reform	Ongoing

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