Assessing the Impacts of Regulation/Legislation法规 /立法影响评估

John GiraldezRegulatory Affairs SectorTreasury Board of Canada Secretariat, OttawaTelephone: (613) 996-0065John.Giraldez@tbs-sct.gc.cawww.regulation.gc.ca

约翰 .吉拉德滋先生，加拿大财务委员会秘书处法规局， 渥太华 National People's Congress, Beijing June 19-20, 2008 全国人大，北京， 2008年 6 月 19-20 日

Overview of the Canadian regulatory process加拿大法规立法程序综述

1. Regulatory Planning – Triage 法规规划阶段 - 筛选

2. Development and Drafting Regulations & RIAS法规形成和起草以及法案影响分析

3. Approval for Pre-publication by Treasury Board 财务委员会批准提前公布文本

4. Pre-publication in the Canada Gazette, Part I 　在加拿大官方公报第１部分提前公布

5. Updating the Proposal (After Pre-publication)更新补充提案（提前公布后）

6. Final Approval by the Governor in Council 　院督最后批准

7. Registration and Publication 登记和公布

8. Parliamentary Review by the Standing Joint Committee for Scrutiny of Regulations议会常设法规审查委员会审议

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What is Cost-Benefit Analysis? 什么是成本效益分析 • Analytical tool to aid decision-makers by quantifying the

cost and benefits 量化成本和效益，向决策者提供帮助的分析工具

Does the cost of a regulation provide a net benefit to Canadians, considering that resources could be applied to alternative uses? 考虑到资源也可用在其他途径，那么用于制定法规的成本会给加拿大人带来净利益吗？

• A well established framework for analysing data in a logical and consistent way 一个完善的，逻辑性的和一致的数据分析框架

“Gold Standard” in regulatory analysis 法规分析的黄金准则

• Depth and scope 深度和广度

• Literature, OECD 文献， 世界经合组织

• Tried and tested in Canada (1978), US, EC, Australia…在加拿大（ 1978 ）， 美国，欧盟，澳大利亚实验测试过

• Integrates quantitative and qualitative impacts包含法案在质化和量化方面产生的影响

Why do Cost-Benefit Analysis? 为何开展成本 - 效

益分析 • Foster a performance-base regulatory system 营造一个以绩效为基础的

法律体系， 增强其公开和透明 Enhances transparency and accountability

• Better analysis will translate into better regulations Added rigour and discipline to the analysis will promote more

effective and efficient regulations 好的分析将转化为高质量法规，严格的分析将提高法规的效果和效力

• Assists policy-makers in making informed decisions 帮助决策者制定全面定决定 Regulations based on sound science and economic analysis 法

规建立在严密科学和经济分析基础上 Robust information on the full range of impacts on all

Canadians (health, safety and security, environment and social and economic well-being) 影响加拿大人的全方位的完善，强有力的信息系统（医疗卫生，安全保障，环境，社会和经济状况）

By expressing the impacts in dollars, it provides ministers with a common measure to compare alternative regulatory options 通过换算成货币现金来分析法规影响，为部长们提供直观通用的方法，从而帮助他们比较其他法规选择

Triage Statement 筛选• Triaging early in the regulatory process – 在立法程序早期进行筛选

– proposals are treated according to the importance of their impacts (Low, Medium and High) 提案依照其产生影响的重要性进行筛选（低，中，高）

• 13 Questions – early assessment based on expert opinion, available data, consultations - not in-depth analysis 13 个问题—初期评估建立在专家意见，现存数据，和咨询的基础之上，不是一个深入的分析1. Health and Safety 卫生和安全2. Environment 环境3. Total costs or savings 总体成本或节余4. Businesses 商业5. Employment 就业6. Competitiveness 竞争力7. International trade agreements or obligations, or foreign relations

国际贸易协定 / 义务或国际关系8. Social impacts 社会影响9. Distributional - region of Canada 分布—加拿大各地10. Public security 公共安全11. Controversy and support 争议和支持12. Consistency with other federal departments or other governments

与其他联邦部门或其他政府的一致性13. Novel legal/policy issues, new area of activity, or set a precedent

新的法律 / 政策问题，新活动领域，或设立先例

Canadian Cost-Benefit Analysis Guide Regulatory Proposals 加拿大成本 - 效益分析指南：法律提案

网址http://www.regulation.gc.ca/documents/gl-ld/analys/analys-eng.pdf

• STEP 1 Identifying Issues, Risks, and the Baseline • 第一步：确定问题，风险和基线

• STEP 2 Setting Objectives 　第二步：设立目标

• STEP 3 Developing Alternative Regulatory and Non- Regulatory Options 　第三步：制定其他法律选择和非法律选择

• STEP 4 Assessing Benefits and Costs 　第四步：评估成本和效益

• STEP 5 Preparing an Accounting Statement 　第五步：准备会计报表

STEP 1 Identifying Issues 　第一步：确定问题

• Establishing the Baseline Scenario- Risk Assessment • Benefits is the gap between the baseline and the regulation 　

建立基线背景－风险评估；效益是基线和法规之间的距离

Baseline 基线 (Issue)

Now现在

2025

Time 　时间

Issue问题

With Regulation (Objective)　有法规（目标）

Historical 历史

Projected 预计

Government Intervention 政府

干预

Gap = Benefit之间的距离＝效益

STEP 2 Setting Objectives 　第二步：设立目标　

• Determine whether government interventions are needed and, if so, to what extent the government will intervene 决定是否需要政府干预，如果是，以何种程度政府进行干预；

• State the objectives of the proposed regulatory action

• The objectives can be economic, environmental, or social 　阐述法规提案目标。目标可以是有关经济的，环境的或社会的；

• The objectives should be precise and concrete 　目标应具体和简练。

STEP 3 Regulatory and Non-Regulatory Options 第三步：法规和非法规选择

Informal,Flexible/

Voluntary 　非正式／灵活／自愿

Formal “Command& Control”

正式命令和控制

Laws 法律

FiscalInstruments 财政手段

MOUs 　谅解备忘录

CodesStandards 　准则和规范

VoluntaryInitiatives 　自发提议　

Promotion / Information 　

提高／信息

Letters ofCommitment /

Intent 承诺书 / 意向　

Consultation 　咨询

LegalAgreements;

Contracts 法律协议，合同

Moral Suasion / Persuasion 道德劝告 /说服

Time 　时间

STEP 4 Assessing Benefits and Costs 第四步：评估效益和成本

• Identification of significant impacts 确定将法规产生的至关重要要的影响• Measurement of benefits 效益衡量尺度

– Market price 市场价格– Revealed preference methods 实绩偏好评估法 – Stated preference methods 　条件价值评估法– Benefit transfer methods 效益转移法

• Measurement of costs 成本衡量尺度– Government 政府– Industry 工业– Canadians 加拿大人民

• Net present value of the incremental benefits using discount rate – Preferred option- largest net present value 首选方法：使

用折扣率计算递增效益的现净值 - 最大现值• Cost-effectiveness analysis 成本效率分析

Net Present Value & Annualized 现净值和按年计算价值

• Net present value of benefits and costs 成本和效益的现净值

– NPV= V0+(Vi)/(1+r)t+…+(Vn)/(1+r)n

– V = benefits – costs 价值 = 效益 - 成本

– r=discount rate 折扣率• r private = 8% r • Social 社会 = 3% n= 20 year • final period in the future based on USDA 未来的最终阶段依照美

国农业部

• Annualized present value 　按年计算现值

– A(B or C)= PV(B or C)* [r*(1+r)n]/(1+r)n-1

STEP 5 Preparing an Accounting Statement第五步：准备会计报表

Costs, Benefits & Distribution 成本，效益和分布

Base Year 基础年

…Final Year 截止年

Total总计

Annual Average

年平均

A. QUANTIFIED IMPACTS IN $ 以货币值量化影响

Benefits 效益 Stakeholders 权益人

Costs 成本 Stakeholders权益人

Net Benefits 净效益 B. QUANTIFIED IMPACTS IN NON-$ – RISK ASSESSMENT, e.g. mortality,

morbidity 以非货币值量化影响 - 风险分析， 如患病率， 死亡率

Positive Impacts 积极影响

Stakeholders权益人

Negative Impacts消极影响

Stakeholders权益人

C. QUALITATIVE IMPACTS 质化影响

Short List of Qualitative Impacts (Positive and Negative) by Stakeholders 权益人列举质化影响（积极和消极）

Case Study 1: Sulphur in Gasoline 410pmm to 30ppm

个案分析：汽油中的硫含量４１０ pmm 到 30 ppm

Costs, Benefits & Distribution成本，效益和分布

Base Year2000 　基础年 2001

Final Year2010

截止年Total 总计

Annual Average

年平均

A. QUANTIFIED IMPACTS IN $ (Millions in 2000 prices) 以货币值量化影响（百万，２０００年价格）

Benefits 效益 Canadians 　加拿大人 0 484 … 5,641 564

Costs 成本 Refiners 　炼油厂 (1,940) (143) … (3,227) 322

Net Benefits 净效益 2,414 241

B. QUANTIFIED IMPACTS IN NON-$ – RISK ASSESSMENT, e.g. mortality, morbidity 以非货币量化影响 - 风险分析， 如患病率， 死亡率

Positive Impacts on Canadians 　对加拿大人的积极影响

Premature Mortality 夭亡 0 84 … 932 93

Asthma Symptoms Day　

哮喘症状0

131,402

…1,460,76

3146,076

Emergency Room Visits 急诊 0 270 … 3,008 301

C. QUALITATIVE IMPACTS 质化影响•Sulphuate has been used as the index pollutant for quantifying the above health effects. The impacts of other pollutants such as sulphur dioxides, carbon dioxides, and nitrogen dioxides on air quality are not accounted for. 　硫化物是用于量化衡量上述健康状况的污染指数，其他污染物的影响，如二氧化硫，二氧化碳，二氧化氮对空气质量的影响未计算在内；•The total net benefits do not capture the impacts caused by the long range transport of air pollution.　总净效益未计算长期空气污染流动造成的影响•No quantification has been made to the impact of sulphur reduction in gasoline on crop productivity and acidic deposition to roots that may cause reproduction or generation. 　目前尚无有关减少汽油中硫含量对作物产量和根部酸沉积影响的量化标准•No quantification is made to the impact on potential visibility changes regarding the value of residential properties, national parks, wilderness areas, etc. 目前尚无对住宅，自然公园和野生区域潜在价值变化的量化标准。

Case Study 2: Food Safety (hypothetical) STEP 1 Identifying Issues, Risks, and the Baseline 　个案分析２：食品安全（假设）第一步：确定问题，风险和基线

•Major pathogens: 主要病毒Salmonella, E. coli, Listeriosis, Staphylococcus, Campylobacter, Clostridium 　沙门氏菌，大肠杆菌，李氏杆菌，葡萄状球菌，弯曲杆菌，梭菌•Annual cases of foodborne illness 　每年因食物传播致病病例　

Total cases 总计病

例　

Hospitalization　住院

Death 　死亡

Bacterial 　细菌 730,000 6,500 150

Parasitic 　寄生虫 39,000 750 70

Viral 　病毒 1,100,000

2,400 12

Acute gastroenteritis (unknown pathogens) 　急性肠炎（未知病毒）

7,000,000

30,000 400

Grand Total 总计

8,869,000

39,650 632

STEP 2 Setting Objectives 　第二步：设立目标

• Justification for Government intervention 政府干预的理由– Lack of consumer food safety information 消费者缺少食品安

全信息– Lack of incentives for producers to provide food safety

information 　缺少鼓励生产者提供食品安全信息的激励措施– Non-regulated market may yield greater than optimal

levels of pathogens 　未经规范的市场会产生较理想水平更多的病菌– Market failure requiring government intervention

(“asymmetric information” and inadequate information) 市场机制失败要求政府进行干预（信息不对称，信息不充分）

• Objective: Reduced pathogens and foodborne illness by 25% by 2020 目标：到２０２０年减少病菌和食物传播致病２５％　

STEP 3 Regulatory and Non-Regulatory Options第三步：法律选择和非法律选择

• R&D 　研发

• Education 　教育

– Industry 　工业

– Consumers 　消费者

• Regulatory 法规

– Implementation/enforcement 　执行／强制• Timelines 　时间期限• Enforcement/inspection 　强制／检查• Penalties 　惩罚• Level of compliance 　遵守程度• Human and financial resources 　人力和财力资源

• Financial and government support 　财政和政府支持

• Consolations 　安慰

STEP 4 Assessing Benefits and Costs 第四步：评估效益和成本

• Benefits 效益– Lower medical Costs 　医疗成本降低– Fewer premature Deaths 　减少夭亡

• VSL $6 Million 统计生命价值 $6 百万　– Reduced productivity Losses 　生产损耗降低– Other benefits: reduces pain and suffering, costs

taken to avoid the illness by individuals, lost leisure time and lost altruistic benefits 　其他效益：减轻痛苦和疼痛，减低个人预防疾成本，减轻休闲时间和公益性损失

– Industry 　工业• Trade 　贸易• Sales and marketing 　销售和市场• Prevention is probably more cost-effective than

testing a product and then destroying it or reworking it 　比较测试一个产品，如不合适，毁坏或重造而言，预防更为节约成本

• Fewer recalls 　召回减少

STEP 4 Assessing Benefits and Costs第四步：评估效益和成本

• Costs 　成本

– Industry - Business Impact Test 　工业－商业影响测试• Plan development 　发展制定计划• Annual plan reassessment 　重新评估年度计划• Initial and recurring training 　初步和重复培训• Recordkeeping (recording, reviewing and storing

data) 　• 数据记录（记录，审查和数据分类）• Testing (ex. E. coli, Salmonella) 　测试（如：大肠杆菌，沙门氏菌）　

– Consumers 　消费者• Increase in unit price 增加单位价格

– Government 　政府• Implementation 　执行• Enforcement 　强制

STEP 5 Preparing an Accounting Statement Case Study 2: Food Safety 第五步：准备财务报表，案例分析研究：食品安全

Costs, Benefits & Distribution 　

成本，效益和分布

Base Year

2009 基础年

2010Final

Year2020　截止年

Total

PV总现值

Annual

Average 年平

均

A. QUANTIFIED IMPACTS IN $ (Millions in 2010 prices) 　以货币值量化影响（百万，２０１０年价格）

Benefits　效益

Canadians (Health, productivity) 　

加拿大人（卫生，生产力）

0 1,200 … 8,600 910

Industry (Trade) 　工业（贸易） 0 600 5,400 620

Costs 成本Government 　政府 (10) (2.5) (22) (3)

Industry 　工业 (70) (55) … (400) (450)

Net Benefits 净效益 13,578 1,077

B. QUANTIFIED IMPACTS IN NON-$ – RISK ASSESSMENT, e.g. mortality, morbidity

以非货币值量化影响 - 风险分析， 如患病率， 死亡率

Positive Impacts on Canadians 对加拿大人的积极影响　

Premature Mortality 夭亡 0 158 … 1,580 158

Hospitalization 住院 0 9,912 … 99,125 9,912

Foodborne cases 食物传播病例 0

2,217,250

…22,172,50

02,217,2

50

C. QUALITATIVE IMPACTS 　质化影响

– Other benefits: reduces pain and suffering, costs taken to avoid the illness by individuals, lost leisure time, lost altruistic benefits, business and government 　其他效益：减轻疼痛和痛苦，减低个人防病成本，减轻休闲时间和公益性损失，减低商业和政府损失

Assessing the Impacts of Regulation/Legislation法规 /立法影响评估

John GiraldezRegulatory Affairs SectorTreasury Board of Canada Secretariat, OttawaTelephone: (613) 996-0065John.Giraldez@tbs-sct.gc.cawww.regulation.gc.ca约翰 .吉拉德滋先生，加拿大财务委员会秘书处法规局

National People's Congress, Beijing June 19-20, 2008