Published online by Cambridge University Press: 20 January 2017
With the Communication on Smart Regulation issued in October 2010, the European Commissiontried to foster a better management of the whole policy cycle. According to thatCommunication, amending policy proposals must be preceded by an ex-post assessmentof the current situation, allowing “closing the policy cycle”. This paper tries to answer thequestion whether the EU Impact Assessments System is fit to steer and close the policy cycle,and what is the relation between ex-ante IA and ex-post evaluation “on the ground” so far. This is done via a macro and micro analysis, based on scorecard approach and three casestudies, comparing the EU IA system performance with a theoretical benchmark derived from the EU policy document and process. The paper concludes that the EU Impact Assessmentsystem, as it is currently designed and implemented, is not yet fi t to steer and closethe policy cycle. To achieve this goal, all the analytical and empirical layers of the policycycle should be fully dealt with since the ex-ante phase.
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5 Transposition refers to the incorporation of a EU norm in the national/local acquis. Implementation refers to the application of the EU norm, or the national/local norm transposing it, by national/local public administrations.
6 Enforcement refers to prosecution of violations of EU norms, or national/local transposition norms, both vis-à-vis the Member States and third parties.
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9 European Commission Impact Assessment Guidelines, SEC(2009)92, at p.6. The Commission Legislative Working Programme (CLWP) is a document providing an overview of the most important legislative initiatives which the European Commission plans to put forward in the following year(s). In practice, the CLWP is not a compulsory reference anymore. The decision whether non-CLWP proposals should undergo an IA is taken upon agreement between the SG and the competent DG.
10 The Evaluation Partnership, “Evaluation of the Commission's Impact Assessment System Final Report”, 2007, available on the Internet at <http://ec.europa.eu/governance/impact/key_docs/docs/tep_eias_fi nal_report_executive_summary_en.pdf> (last accessed on 29 October 2012), at p. 60.
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12 Communication on Smart Regulation, supra note 1, at p. 6.
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14 Source: CEPS EU IA Database. Infra note 19.
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19 The database was created by the Centre for European Policy Studies, under the supervision of Dr. Andrea Renda. The database is currently unpublished, on file with the author. Data are partly reported in Renda, Andrea, Law and Economics in the RIA World, (Cambridge: Intersentia, 2011)Google Scholar. The methodology is similar to that described in Cecot, Caroline, Hahn, Robert, Renda, Andrea and Schrefler, Lorna, “An evaluation of the quality of impact assessment in the European Union with lessons for the US and the EU”, 2 Regulatory Governance (2008), pp. 405 et sqq. Google Scholar
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35 Jacobs, Current Trends in RIA, supra note 34.
36 See supra note 19.
37 Claire Dunlop Claudio Radaelli and Duncan Russell ‘What's an Impact Assessment to do? Ideas, Instruments and the Capabilities- Expectations Gap’ Paper presented and the ECPR Joint Sessions of Workshop Munster, Germany, 2010.
38 In this section, aspects of case studies have been reported only when relevant to support specific points of the analysis. In a longer version, on file with the author, the whole policy cycle of the case studies was analysed.
39 Decision No 1982/2006/EC of the European Parliament and of the Council concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007–2013), OJ 2006 L412/1.
40 Communication from the Commission: Halting the Loss of Biodiversity by 2010 – and Beyond. Sustaining ecosystem services for human well-being. COM(2006)216.
41 Regulation (EC) No 717/2007 of the European Parliament and of the Council on roaming on public mobile communications networks within the Community, OJ 2007 L171/32; Regulation (EC) No 544/2009 of the European Parliament and of the Council amending Regulation (EC) No 717/2007 on roaming on public mobile telephone networks within the Community and Directive 2002/21/ EC on a common regulatory framework for electronic communications networks and services, OJ 2009 L167/12.
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49 IA Guidelines, supra note 9, pp. 26–28.
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51 Commission staff working paper – Communication from the Commission: Halting the Loss of Biodiversity by 2010 – and Beyond. Sustaining ecosystem services for human well-being, Impact Assessment, SEC(2006)607/2, at p. 44.
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53 Cf. Section IV.2 supra.
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59 IA Guidelines, supra note 9, pp. 45–48; for a critical assessment, cf. Renda, Law and Economics in the RIA World, supra note 19, at p. 228.
60 Communication from the Commission. Action plan “Simplifying and improving the regulatory environment” COM(2002)278, at p. 8.
61 Commission staff working paper – Annex to the Proposal for the Council and European Parliament decisions on the 7th Framework Programme (EC and Euratom) Main Report: Overall summary – Impact Assessment and Ex Ante Evaluation, SEC(2005)430, at pp. 7–8.
62 Expert Group on FP7, “Interim Evaluation of the Seventh Framework Programme”, Brussels, 12/11/2010, at p.9.
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67 In force of art 4(3) of the Treaty on the European Union.
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69 Supra note 8, at p. 41.
70 Impact Assessment on the Communication on Biodiversity, supra note 50, at p. 61.
71 Directorate General for Information Society and Media of the European Commission, “Evaluating Legislation and non-spending Interventions in the Area of Information Society and Media”, 2011, available on the Internet at <http://ec.europa.eu/dgs/information_society/evaluation/studies/2009/manual_evaluating_legislation.pdf> (last accessed on 29 October 2012).
72 Action plan “Simplifying and improving the regulatory environment”, supra note 58, at p. 2.
73 Communication on Smart Regulation, supra note 1, at p. 4; EU IA Guidelines, supra note 9, at p. 49.
74 Ibid., at pp. 3–4; Renda, Law and Economics in the RIA World, supra note 19.
75 Council Regulation No 1605/2002 on the Financial Regulation applicable to the general budget of the European Communities, OJ 2002 L248/1.
76 ECA, Impact Assessment in the EU Institutions, supra note 9, at p. 49.
77 DG INFSOC Evaluation Manual, supra note 69; Directorate General for Internal Market and Services of the European Commission, “Guide to Evaluating Legislation”, 2008, available on the Internet at http://ec.europa.eu/dgs/internal_market/docs/evaluation/evaluation_guide.pdf (last accessed on 29 October 2012).
78 IUCN, IEEP, MRAG, UNEP-WCMC External Evaluation study, supra note 49, at p. 18.
79 Article 11 of Regulation 717/2007, supra note 41.
80 Article 11 of Regulation 717/2007 as amended by Reg. 544/2009, supra note 41.
81 IA Guidelines, supra note 9, at p. 18.
82 ECA Impact Assessment in the EU Institutions, supra note 8, at pp. 39–40.
83 The Evaluation Partnership, “Evaluation of the Commission Impact Assessment System”, supra note 10, pp. 79–80.
84 Jacobs, Current Trends in RIA, supra note 34, at p. 32.
85 IUCN, IEEP, MRAG, UNEP-WCMC External Evaluation study, supra note 49.
86 DG INFSOC Evaluation Manual, supra note 69.
87 Renda, Law and Economics in the RIA World, supra note 19.