Table 5-1: Aspects of Effectiveness [5.1]

Aspects of Effectiveness

Structural Independence

•  Is the regulator a separate legal entity from the other government ministries and entities?

•  Is the regulator separate from those entities which it regulates?

Financial Independence

•  Is the budget for the regulator established in the law?

•  Does the regulator have sole authority over its budget?

•  How is the regulator financed?

Functionality

Well-Defined Functions and Responsibilities:

•  Are the functions of the regulator clearly specified in the law or regulation?

Decision-making Authority:

•  Does the regulator have autonomy in making decisions?

•  Does another government entity have authority to overturn regulatory decisions?

•  What is the mechanism for appeals of decisions made by the regulator?

Appointment, Removal and Mandate:

•  Who appoints the head of the regulator, the members of the board or the commission?

•  What qualifications are necessary to be the head of a regulator, members of the board or the commission?

•  What are the grounds for removal of the head of the regulator, the members of the board or the commission?

•  Is the term of the head of the regulator set forth in the law?

•  Can the head of the regulator be reappointed?

Staff:

•  Are there any qualification requirements for staff?

•  Does the regulator have discretion over its own internal organization?

•  Is the regulator in charge of personnel policy and compensation?

•  How do salaries for the regulator and the staff members compare with those in other agencies and private industry?

Ethics:

•  Does the regulator have ethics and conflict of interest rules that apply to the board members, staff and their family members?

•  Are there post-employment restrictions for the regulator regarding lobbying the agency?

Consistency:

•  Is the regulator consistent and predictable in its decisions?

•  Does the regulator publish written decisions along with reasons for its decisions?

Accountability:

•  Is the regulator required to publish annual reports or be subject to external audits?

•  Is the regulator required to report to the legislature or other bodies on its activities?

Timeliness:

•  Is the regulator subject to timeframes within which it must make decisions?

Transparency and Public Participation:

•  Are regulatory decisions and comments and filings made by third parties published and accessible to the public?

•  Are sector participants subject to ex parte rules?

•  Is there a mechanism by which the regulator seeks and receives input from the public regarding sector issues?

•  Is public participation sought before issuing regulations or making decisions?

•  Is there a complaint mechanism for the public?

•  Does the regulator have published criteria for dealing with claims for confidentiality relating to evidence filed, and other information and comments provided to the body?

Enforcement and Dispute

Resolution:

•  Are the regulator's enforcement powers specified by statute?

•  Does the regulator have authority to issue sanctions and impose fines?

•  Is there a mechanism established for the resolution of conflicts between the regulator and the sector participants and/or between sector participants?