Principles for the Governance of Regulators Public Consultation draft


Annex 1 Call for information for country examples of arrangements for the governance of regulators



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Annex 1

Call for information for country examples of arrangements for the governance of regulators


The OECD is seeking input in the form of case studies and examples outlining the diversity of governance arrangements for regulators in many of the areas covered in the paper (see example of AGCOM in Box 4). The following tables are provided to facilitate input on key points of variation in arrangements that will be presented in the final paper to illustrate the principles as applied in countries. An example or ideas for answers have been provided for each table to indicate the sort of information sought from readers.

However the OECD will also welcome submissions of information and examples other than the ones below on the implementation and application

Table 1.1 will highlight the diversity of the range of non-regulatory functions that regulators may have and their powers to cooperate with other bodies and whether formal agreements with other regulators are published.

Table 1.1. Functions of regulators and co-operation



Regulator

Any non-regulatory functions

Is the regulator explicitly empowered to cooperate with other bodies?

Are formal agreements with other regulators published?

X regulator

Provides grants to consumer advisory body of the sum of [XXX] on an annual basis.

Yes, through authorising legislation called [XXXX] which was enacted on [dd/mm/yyyy].

Yes, on agency website the agreements with [regulator γ] and [regulator α]

Y regulator










Table 2.1 will highlight the diversity of the structural characteristics in place to prevent undue influence of decision making by regulators, and any legal requirements that any directions or influence are made public.

Table 2.1. Preventing undue influence



Regulator

What structural characteristics are in place to prevent undue influence ?

Is there a legal requirement that any directions or influence are made public ?

X regulator

Restrictions on appointment and termination of appointment of agency head;

Independence of regulator stated in legislation;

Other?


No, not all correspondences between the regulator and Ministers or industry representatives are made public. However relevant minutes of meetings and responses to public consultations are made public on the agency website.

Y regulator







Table 3.1 will highlight the diversity of decision-making models of regulators, and whether policies and procedures for appointments are document and published, and if any board members are representing other interests.

Table 3.1. Decision-making models and board membership



Regulator

What is the decision-making model?

Are policies and procedures for appointments document and published?

Are any board members representing other interests?

X regulator

Governance board model;

Or

Commission;



Or

Single member regulator

Or

Other.......
Yes;

Or

No




Yes – Ministry Secretary on board;

Or

Yes – industry body representative on board;



Or

No

Or



Other.......

Y regulator










Table 4.1 will highlight the diversity of approaches to documenting the expectations for regulators in the, public reporting arrangements, and the nature of any decision review processes.

Table 4.1. Mechanisms to ensure accountability



Regulator

Are the expectations formally stated? If so where? And by whom?

Does the regulator report regularly to the legislature?

What decision review processes are available for regulated entities?

X regulator







Internal review;

AND / OR


External review by judiciary or parliamentary process;

OR;


None

Or other....

Y regulator









Regulators use a range of engagement tools, reflecting their sectors and the specific issues. Options currently in use will be outlined in Table 5.1.

Table 5.1. Forms of engagement

Regulator

Does the regulator have standing consultation/ engagement mechanisms?

Does the regulator use consultation that is ad-hoc and targeted at specific issues?

Does the regulator use consultation that is general and widespread?

X regulator

e.g. Stakeholder advisory groups;

Annual General meetings;

Regular meetings with each of the stakeholder bodies such as ....;


e.g. Public meetings;

Calls for submissions

Consultations on policy or implementation decisions


e.g. Annual client surveys;

Newsletters

Y regulator










Table 6.1 highlights the diversity of funding arrangements for regulators in the Economic Regulators Network.

Table 6.1. Regulator funding arrangements



Regulator

What is the funding arrangement for the regulator?

How long is the term of the regulator’s funding agreement?

X regulator

General government revenue;

AND/OR


Fees and charges on regulated industry.

X years

Y regulator







Table 7.1 will provide examples of the types of performance reporting that regulators undertake and the types of measurement indicators that are used.

Table 7.1. Regulator performance evaluation



Regulator

How is performances reported and recorded?

How is performance measured?

X regulator

Internally monitor regulatory decisions on individual level through post evaluation studies;

Conduct periodic performance assessment by independent body on value-added of regulator, such as by audit office. Report to Minister.

Internally monitor against objectives and report to Board of agency.


Measure the following:

No. of inspections

No. of non-compliance cases

Amount of investment p.a.



No. of fatalities

Y regulator








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