The Cabinet Directive on Streamlining Regulation

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The Cabinet Directive on Streamlining Regulation
Regulatory Affairs Sector Treasury Board of
Canada Secretariat

• Environmental Evaluators Network
• September 30, 2010
• Ottawa Conference Centre

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Cabinet Directive on Streamlining Regulation
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• 2000 Auditor General Review of health/safety reg.
  programs
• Regulatory Policy should better explain
  government priorities
• Ensure that reliable information is available on
  risk
• 2002 OECD Review of regulatory system
• Move towards a lifecycle approach that includes
  evaluation
• Improve coordination within Canada
• Pay greater attention to market openness and
  competition
• 2004 EACSR Final report
• Review and update the Regulatory Policy
• Measure performance and ensure systematic review
  of regulation
• Greater focus on instrument choice throughout the
  policy cycle
• Improve international regulatory cooperation
• 2005 Smart Regulation initiative
• Undertook broad, national consultation
• Cabinet Directive on Streamlining Regulation

History and Context
Guiding principles Effectiveness,
Cost-Efficiency, Predictability, Transparency,
Accountability and Performance
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Cabinet Directive on Streamlining Regulation
Key Elements of the Lifecycle Approach
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Cabinet Directive on Streamlining Regulation
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• Evaluation of high impact regulatory activities
  to be conducted in accordance with the Policy on
  Evaluation and Directive on the Evaluation
  Function
• Same evaluation issues
• Relevance
• Continued Need for program
• Alignment with Government Priorities
• Alignment with Federal Roles and Responsibilities
• Performance (effectiveness, efficiency and
  economy)
• Achievement of Expected Outcomes
• Demonstration of Efficiency and Economy
• Same standards
• Timing, approach up to Head of Evaluation

Approach to Evaluation
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Cabinet Directive on Streamlining Regulation
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• Based on information generated from performance
  measurement and evaluation
• A review of the regulation may be warranted
• Regulatory review is not mandatory, and is not
  intended as a deregulation exercise
• When warranted, reviews will focus on
• Effectiveness in meeting the policy objective(s)
• Instrument selection, level of intervention and
  degree of prescriptiveness
• Clarity and accessibility of the regulation to
  users
• Overall impact on competitiveness, including
  trade, investment and innovation

Requirement to Review of a Regulation
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Cabinet Directive on Streamlining Regulation
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• Handbook for Regulatory Proposals Performance
  Measurement and Evaluation Plan, in effect July
  2009, to be finalized in 2010
• (http//www.tbs-sct.gc.ca/ri-qr/documents/pmep-pmr
  e/pmep-pmre00-eng.asp)
• As of September 2010
• Number of PMEPs approved 7
• Earliest anticipated date of evaluation 2011-12
• Role of the Centre of Regulatory Expertise
• Janet.King_at_tbs-sct.gc.ca
• Chi.Nguyen_at_tbs-sct.gca
• Role of the Centre of Excellence for Evaluation
• Courses offered by the Canada School of Public
  Service
• Regulatory Performance Measurement and Evaluation
  (http//www.csps-efpc.gc.ca/cat/det-eng.asp?course
  noR003)
• Communities of Practice the Community of Federal
  Regulators (http//www.cfr-crf.gc.ca/index-eng.htm
  l)

Implementation Status
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Cabinet Directive on Streamlining Regulation
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• Evaluation of regulatory activities is a new
  domain
• Micro level of regulatory evaluations versus
  macro level of program evaluations
• Horizontal nature of regulations
• Timing of conduct of evaluations
• Capacity and engagement
• Availability of performance information

Key Issues and Challenges
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Sections of the PMEP template
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• The template consists of nine sections.
• Description and Overview
• problems and risks to address
• objectives of the regulatory proposal
• 2. Key Components of a Logic Model
• Activities or actions to produce outputs or
  products / services to implement the regulations
• After implementation, immediate outcomes or
  results capture what could be attributable to the
  products / services
• Intermediate and ultimate outcomes are often
  linked to the impact on target groups
• Target groups are individuals or groups that the
  regulatory initiative is intended to reach and
  influence.

Appendices
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Sections PMEP (cont)
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• 3. Indicators
• From the logic model indicators are developed
• Indicators are used to gauge the progress made
  toward its expected results
• Indicators should be
• Relevant and valid
• Prioritized and limited in number
• Balanced and comprehensive
• Meaningful and understandable
• Timely and actionable
• Cost-effective to measure
• 4. Measurement and Reporting
• Data sources, data collection frequencies
• Areas responsible for collecting data
• Performance targets and projected timeline to
  meet performance targets

Appendices
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Sections of the PMEP Template (cont)
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• 5. Evaluation Strategy
• With the Head of the Evaluation, establish
  appropriate timeframe to conduct an evaluation
• 6. Linkage to the TBS - PAA
• Outline how the regulatory initiative is
  situated within the TBS Program Activity
  Architecture (PAA)
• 7, 8 and 9. Approval process and departmental
  contact
• TBS Regulatory Affairs Sector Sign-off
• ADM (or equivalent level) Sign-off
• Departmental Contact

Appendices
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Step-by-Step Summary of the PMEP Process
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• Step 1
• Complete the Triage Statement to determine if a
  PMEP is needed.
• Step 2
• Send a draft copy of the PMEP to TBS-RAS for
  review before seeking approval.
• Step 3
• The Head of Evaluation reviews the PMEP, then
  PMEP is signed by the ADM and TBS-RAS .
• Step 4
• A summary of the PMEP is to be included in the
  RIAS, but the PMEP is not part of the regulatory
  package that goes to TB.
• Step 5
• Evaluate regulatory activities according the
  Evaluation Policy and referenced in the annual
  departmental evaluation plan.
• Step 6
• Report on the performance of regulatory
  initiative.

Appendices
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Example of a regulation-based logic model
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• Required PNW and investment amounts have remained
  unchanged under the IIP since 1999 and are
  outdated
• Raising these amounts will attract applicants of
  a higher net worth and more low-cost investment
  capital for Canadian economic development and job
  creation
• Increasing the thresholds will result in a
  reduction of the number of applications from less
  qualified individuals, leading to improved
  processing times for more highly qualified
  applicants

Problems/ Risks/ Needs
Ministerial authority resources dedicated to
regulatory changes such as research, policy, and
regulatory analysis Establish regulations as a
means by which policy objectives are pursued
Inputs
Policy Development and Design
Program Delivery
Target Groups Immigrant Investors, Facilitators
such as Banks, Provinces and Territories,
Canadians
Activities
Fact finding, information gathering,
consultations with stakeholders / partners,
analysis policy development
Development and Implementation of Communications
Plan
Processing of applications under new regulations
and according to Ministerial Instructions
Appendices
Regulatory change support material such as the
new definition of PNW and investment amounts
- Press release, Media lines - Updated kits,
forms Operational Instructions / Guidance.
- Visa decisions based on new requirements
Outputs
- Better alignment between intake and processing
resources - Program criteria comparable to
international programs
- Selection of individuals with higher PNW -
Greater availability of low-cost investment
capital to PTs.
Immediate outcomes
- A more strategic and competitive Investor
program. - Improved client service through
better balance of processing against intake.
- Increased investment in P/T economic
development. - Job opportunities for all
Canadians.
Intermediate outcomes
Final outcome of the Reg.
- Investor class immigrants are economically
established and contribute to economic activity
in Canada
- Immigration policy and program development
Linkage to the SSA of PAA
Acknowledgement Citizenship and Immigration
Canada.
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Example of measurement and reporting
Expected Results Performance Indicator Data Source Frequency of Data Collection Target Date to Achieve Target
FINAL REGULATORY OUTCOMES FINAL REGULATORY OUTCOMES FINAL REGULATORY OUTCOMES FINAL REGULATORY OUTCOMES FINAL REGULATORY OUTCOMES FINAL REGULATORY OUTCOMES
Investor class immigrants are economically established and undertake economic activity in Canada 1 -Number and percentage of immigrant investors becoming economically established, as evidenced by -Tax Data -Non-dependence on social assistance -Consumption Patterns -Business ownership/activity -Job creation 2- Number and percentage of immigrant investors maintaining permanent resident status and transitioning to citizenship Longitudinal Immigrant Database (IMDB) Surveys CIC internal data (FOSS, GCMS) 5-year program evaluation cycle 5-year program evaluation cycle Improved economic outcomes versus cohort of Investors selected under old regulations (baseline outcomes will be determined during program evaluation in 2012-13) Consistency with other immigration categories Fiscal year 2017-18 (Program Evaluation) FY 2017-18 (Program Evaluation)
Appendices
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Example of measurement and reporting (cont)
Expected Results Performance Indicator Data Source Frequency of Data Collection Target Date to Achieve Target
INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES
A more strategic and competitive Investor program Jobs created for Canadians/residents resulting from IIP investment. Survey Annual Consultations with Facilitators and PTs (IIP Conference) International Programs Data/CIC internal data (CAIPS/GCMS) Annually Annually Increased provincial participation and stakeholder engagement Decrease in processing times from 2010 baseline (33 months) 2015 2017
Increased investment in P/T economic development Increase in value of investment activity undertaken by PTs PT reports and CIC internal data (IMIS) Quarterly/ Annually Increase in the total value of investment activity equal to or greater than the increase in incoming investment (our immediate outcome) FY 2017-18 Program Evaluation)
Appendices
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Example of measurement and reporting (cont)
Expected Results Performance Indicator Data Source Frequency of Data Collection Target Date to Achieve Target
INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES INTERMEDIATE OUTCOMES
Job opportunities for all Canadians 1 - Continued program Jobs created for Canadians/residents resulting from IIP investment. PT Consultations PT Reports Annually Increase in job creation comparable to the expected increase in incoming investment (baseline data will be determined through PT Reports beginning in 2011-12E1 ) 2017-18 (Program Evaluation)
Improved client service through better balance of processing against intake. Decreased withdrawal rate for new applicants CIC Internal data (FOSS,CAIPS) Annually Decreased withdrawal rate from 2009 baseline (25) 2015
Appendices
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Example of measurement and reporting (cont)
Expected Results Performance Indicator Data Source Frequency of Data Collection Target Date to Achieve Target
IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES
Program criteria are comparable to international programs Threshold requirements for investment and PNW (where applicable) are closer to the international program average International Programs Data/Research Immediately after regulatory change N/A Coming into force of the regulations
Better alignment between intake and processing resources 1-Decrease in incoming applications 2- Decrease in total inventory size 3 -Decreased processing times for new applicants CIC Internal data (CAIPS) Annually Annually Quarterly 1000 new applications per year Year-end inventories decreasing year over year 12-24 months for applicants applying under new regulations 2011 2012 2012
Appendices
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Example of measurement and reporting (cont)
Expected Results Performance Indicator Data Source Frequency of Data Collection Target Date to Achieve Target
IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES IMMEDIATE OUTCOMES
Selection of individuals with higher average PNW 1- Increase in average declared PNW 2- Annual processing target for new applicants met CIC Internal data (CAIPS) CIC Internal data (CAIPS) Annually Annually Average PNW equal to or greater than 1.6M for Investors selected under the new regulations Estimated case processing target for new applications expected to be 1,000 cases annually in years 1-9 2012-13
Greater availability of low-cost investment capital to PTs. Increase in incoming investment (gross) CIC internal data on gross investments received Annually The increase in gross incoming investment expected to be 200M in years 1-9 Annual, beginning in calendar 2012
Appendices
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Additional information and in-depth courses
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• 1. Your TBS analyst and the Centre for Regulatory
  Expertise is also available to help2. Please
  visit www.regulation.gc.ca3. For in-depth
  courses with the Canada School for the Public
  Service
• Introduction to Regulating (R001)
• October 18 19, French, 700
• November 29 30, English, 700
• January 13 14 , French, 700
• February 14 -15, English, 700
• Your Liability as a Regulator (Duty of Care)
  (R002)
• September 30, English, 350
• November 19, English, 350
• February 25, English, 250
• Regulatory Performance Measurement and Evaluation
  (R003)
• November 18 19, English, 700
• December 12 13 , English, 700
• February 24 - 25, English, 700
• Developing Effective Regulatory Impact Analysis
  Statements (R005)
• October 21, English, 550
• November 16 , French, 550
• December 1, English, 550
• March 13, English, 550

Appendices