National People's Congress, Beijing June 19-20, 2008 全国人大，北京， 2008 年 6 月 19-20 日

1. 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

2. Overview of the Canadian regulatory process加拿大法规立法程序综述 Engage TBS-RAS throughout the Regulatory Process 财务委员会秘书处－法规局贯穿整个立法过程 Annex

3. 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

4. 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

5. 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 • Health and Safety 卫生和安全 • Environment 环境 • Total costs or savings 总体成本或节余 • Businesses 商业 • Employment 就业 • Competitiveness 竞争力 • International trade agreements or obligations, or foreign relations 国际贸易协定/义务或国际关系 • Social impacts 社会影响 • Distributional - region of Canada 分布—加拿大各地 • Public security 公共安全 • Controversy and support 争议和支持 • Consistency with other federal departments or other governments 与其他联邦部门或其他政府的一致性 • 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

6. 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

7. 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 Issue问题 Baseline基线 (Issue) Projected预计 Gap = Benefit 之间的距离＝效益 Historical历史 With Regulation (Objective)　有法规（目标） Government Intervention政府干预 Time　时间 Now 现在 2025

8. 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。

9. STEP 3 Regulatory and Non-Regulatory Options第三步：法规和非法规选择 Time　时间 Laws法律 Formal “Command & Control” 正式命令和控制 Legal Agreements; Contracts法律协议，合同 Fiscal Instruments财政手段 Letters of Commitment / Intent承诺书/意向　 MOUs谅解备忘录 CodesStandards准则和规范 Consultation 咨询 Voluntary Initiatives自发提议 Informal, Flexible/ Voluntary 非正式／灵活／自愿 Moral Suasion / Persuasion 道德劝告/说服 Promotion / Information 提高／信息

10. 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

11. 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

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

13. Case Study 1: Sulphur in Gasoline 410pmm to 30ppm 个案分析：汽油中的硫含量４１０pmm 到30 ppm

14. 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

15. 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％　

16. 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

17. 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

18. 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

19. 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

20. 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