Wfa Principle Regulation Wfa-Gv

Original Language Title: WFA-Grundsatz-Verordnung – WFA-GV

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489 regulation of the German Chancellor on principles of action-oriented assessment in control projects and other projects (WFA principle regulation WFA GM)

On the basis of § 17 para 3 first sentence and § 18 section 4 of the Federal Budget Act 2013 (BHG 2013), Federal Law Gazette I no. 139/2009, last amended by Federal Law Gazette I no. 62/2012, is in agreement with the Minister of finance prescribed:

Table of contents



Paragraph



Subject / title



1 article General provisions



§ 1.



Subject



§ 2.



Objectives



§ 3.



Principles of action-oriented assessment



§ 4.



Definitions



2. cut off the effect-oriented impact assessment



§ 5.



Systematic steps of action-oriented assessment



§ 6.



Impact dimensions



§ 7.



Significance of the effects



§ 8.



Presentation of results



§ 9.



Stage of implementation for draft legislation of the Federal Government and review process



§ 10.



Stage of implementation of other control projects and projects in accordance with section 58 subsection 2 BHG 2013



3. section internal evaluation



§ 11.



Time and implementation



4. section requirements for methodological tools for determining the impact



§ 12.



Principles



§ 13.



Application of methodological tools



5 article final provisions



§ 14.



Entry into force 1 section

General terms and conditions

Subject

1. (1) this regulation lays down the principles of action-oriented assessment and evaluating internal control projects and projects of extraordinary financial importance in accordance with section 58 subsection 2 BHG 2013.

(2) this regulation lays down the fundamental approach to the implementation of an action-oriented impact assessment, further, which are to assess actual impact dimensions and qualify impact as essential in accordance with what criteria.

Objectives

§ 2. This regulation is designed to implement the action orientation, which with the financial management and control budget leading bodies on the basis of the BHG is crossed in 2013 and is intended to ensure improved efficiency details of control projects and projects of extraordinary financial importance in accordance with section 58 subsection 2 2013 BHG.

Principles of action-oriented assessment

§ 3. In the effect-oriented impact assessment and internal evaluation the principles are article 51 paragraph 8 effect-oriented financial management in accordance with in conjunction with article 2, paragraph 1 2013 B-VG BHG, as far as these each come into consideration. The quality criteria referred to in article 23 are furthermore 2013 BHG to paragraph 2 and article 41, paragraph 1. These include the relevance, consistency, comprehensibility, transparency, comparability and verifiability.

Definitions

§ 4. For this regulation, following definitions shall apply: 1 the effect-oriented impact assessment is a procedure in which regulatory or project goals and measures formulated and which is significant impact of a control project or undertaking of extraordinary financial importance in concrete effect dimensions systematically examined, evaluated and processed.

2. the internal evaluation is a rückschauendes process that aims at the analysis of the objectives and the actual effects. Examines whether a running control projects or projects the expected effects or significant unexpected effects has.

3. control projects are a) designs for federal legislation: Federal laws, regulations, over - or intergovernmental agreements, agreements in accordance with article 15a B-VG.

(b) plans for other legislative measures of fundamental kind of considerable financial importance according to § 16 para 2 BHG 2013.

4. other projects BHG 2013 is a project of extraordinary financial importance within the meaning of section 58, paragraph 2, and has a uniform in terms of financial, legal or economic process to the subject.

5. impact is an expected or unexpected change or retention of a State as a result of government action.

6. an effect dimension is one policy area or exactly defined part of a policy area in which may impact occur.

7 Wesentlichkeitskriterium (criteria for the significance of effects) is a threshold or a manifestation of a State in an effect - or sub dimension, from which reached an estimated impact of an in-depth assessment is to undergo. The materiality can be set in the individual dimensions of the effect by qualitative or quantitative criteria.

8 effect target is a setting of intended effects occurred after budgetary provisions in the federal budget at the level of the breakdown.

9 regulatory target or project destination is a State whose achievement of the measures taken in a control projects or other projects are prepared and which may become BHG 2013 with an efficiency target or an action in the Federal Government budget proposal within the meaning of article 41 in conjunction.

10 measures is parent refers to regulations, services and activities that are guaranteed or provided for their projects and projects of the public administration. Individual measures must be especially from each other objectively definable. Measures can be grouped together under the point of view of a common ambition to a regulating complex and discussed together separately.

11 indicators are ratios (Z 12) and milestones (Z 13), making short -, medium - or long-term assessable and verifiable the contribution of measures to achieve the impact, regulatory or project goals or targets to measure success or the effects of measures.

12. a key figure represents a quantitatively and objectively measurable size that gives information about the degree of success of a destination or a measure.

13. a milestone is a separable result in the course of the implementation of the actions.

2. section

Implementation of action-oriented assessment

Systematic steps of action-oriented assessment

Are the steps of the effect-oriented impact assessment § 5 (1): 1. problem analysis, 2. formulation of objectives, 3. formulation of measures, 4. estimation of the impact in the affected effect dimensions and 5. planning of internal evaluation.

(2) the effect-oriented impact assessment is 2013 perform BHG each per Regulation projects, or control complex, or projects of extraordinary financial importance in accordance with section 58 subsection 2. In particular when the target and formulation of measures is to ensure that the quality criteria referred to in paragraph 3 are complied with and an internal evaluation is possible.

(3) in the case of the problem analysis, particularly the cause of action (problem and its causes), the margin of discretion in the implementation of Union law, the extent of the problem, to describe those affected, as well as a scenario without active be (zero scenario) and any alternatives of the problem are.

(4) in the case of the formulation of objectives are the regulatory and project goals to name a few. There is a possible connection with an efficiency goal or measure in the federal budget to represent. Each target one to five indicators to measure the achievement to lead that are to be used at the same time as the basis for the internal evaluation.

(5) in the formulation of measures to take, that measures are reported objectively demarcated and the causal relationships with regulatory or projects target are presented is carefully. Per measure, one to five indicators can be stated that to attract are at the same time as the basis for the internal evaluation.

(6) in the selection of indicators (para. 4 and 5) is in any case to ensure consistency with the indicators of the organ for the implementation of action-oriented assessment budget senior responsible consulted the information orientation effect on Untergliederungs - and global budget level.

(7) If an effect dimension (§ 6) is at least partially affected, is to carry out the assessment of the impact in accordance with the relevant regulation to this effect dimension in the context of this concern: 1. In the framework of the simplified assessment is to consider whether significant effects in the affected effect dimensions are to be expected;

2. such effects are to be expected, they are so in the framework of the in-depth assessment to check and assess.

(8) in the planning of the internal evaluation is to specify how and when the internal evaluation is carried out.

(Assessment 9) a widening in accordance with para 7 can be performed also no. 2, if the Wesentlichkeitskriterien in accordance with Appendix 1 are not met.

Impact dimensions

Section 6 (1) in annex 1 closer-run effect dimensions to in article 17, paragraph 1, BHG are 2013 listed effects: 1 overall economy, 2., 3. environmental, 4. consumer protection policy, 5. administrative costs for citizens and companies, 6 social, 7 children and youth, 8 actual equality of women and men.


(2) the financial impact on the federal budget and other public authorities are in accordance with § 17 par. 4 Z 3 BHG 2013 on the basis of the regulation of the Minister of Finance on the assessment of the financial impact on the public finances in the context of the effect-oriented impact assessment for regulatory projects and other projects (WFA-financial impact regulation, EFC FinAV), BGBl. II Nr 490/2012, to estimate.

Significance of the effects

§ 7 expected impact are in any case essential if draft legislation of the federal financial implications follow 1 or 2 projects of extraordinary financial importance in the sense of § 58 paragraph 2 2013 are BHG or other legislative measures of fundamental kind of considerable financial importance according to § 16 para 2 2013 are BHG or 3. meets the criteria listed in annex 1 to the assessment of materiality in a dimension of action.

Presentation of results

8. (1) aims the presentation of the results of the effect-oriented impact assessment, to make transparent the causal relationships. She has the individual steps of action-oriented assessment in ruffled, standardized form contain, especially 1. problem analysis, formulation of objectives including the indicators and selected measures including the indicators ("how success"), 2. the significant impact in the affected effect dimensions ("impact assessment") in accordance with the regulations to effect dimensions laid down guidelines allowing also methodologically more in-depth presentations, and 3. the information about the planning of the internal evaluation.

(2) the display of the results is the reporting structure in accordance with Annex 2 to reason to lay. This does not preclude a flexible design.

Stage of implementation for draft legislation of the Federal Government and review process

§ 9 (1) in draft legislative provision of the Covenant is the action-oriented assessment in principle as early as possible to start. She has to keep pace with the control project. The presentation of results in accordance with § 8 has on each entry into a new stage (sending for review, bringing in the Council of Ministers) to be.

(2) where data for the effect-oriented impact assessment of regulatory projects are updated only after introduction of the assessment process, the updated action-oriented impact assessment is as far as a contribution in the Council of Ministers to take place has to submit (interdepartmental action controlling body) Chancellor and the Federal Minister of finance in a timely manner before inserting.

(3) the organs of the Federal Government have with regard to the content, scope and urgency of the control project set a reasonable evaluation period. Generally, a review period of at least six weeks should be the agencies invited to the assessment.

(4) If a review process or an insertion in the Council of Ministers is not provided in regulations, the effect-oriented impact assessment within the framework of the understanding manufacture pursuant to article 16, paragraph 1 is BHG 2013 of the Federal Minister of finance and the Federal Chancellor (interdepartmental action controlling body) to submit.

(5) article 5, paragraph 1 shall apply for the quality assurance of the effect-oriented impact assessment Z 1 of effect controlling regulation, Federal Law Gazette II No. 245/2011, or with regard to the financial implications of sections 11, para 2 WFA-FinAV.

Stage of implementation of other control projects and projects in accordance with section 58 subsection 2 BHG 2013

§ 10 (1) in other legislative measures of fundamental kind of considerable financial importance according to § 16 para 2 BHG 2013 and projects in accordance with section 58 subsection 2 BHG 2013 is to start the action-oriented assessment in principle as early as possible and to update to the making of the agreement if necessary.

(2) the presentation of results in accordance with § 8 is to connect the documents of establishing understanding with the Minister of finance. In other legislative measures of fundamental kind of considerable financial importance according to § 16 para 2 BHG 2013 and in projects of extraordinary financial importance in accordance with section 58 subsection 2 BHG 2013 is also the Chancellor the presentation of results in accordance with § 8 (interdepartmental action controlling authority) to transmit.

(3) § 5 para 1 applies for the quality assurance of the effect-oriented impact assessment Nos. 2 and 3 of the effect controlling regulation, Federal Law Gazette II No. 245/2011, or with regard to the financial implications of section 11 subsection 2 WFA-FinAV, Federal Law Gazette II No. 490/2012.

3. section

Internal evaluation

Time and implementation

Control projects and other projects are § 11 (1) to evaluate, to identify possible areas for improvement, and recommendations for the implementation no later than five years from the entry into force or takes effect internally.

(2) that in fact para 2013 are § 58 2 BHG incurred significant legal standards and projects in accordance with in the affected effect dimensions retrospect to analyse on the basis of collected data and to evaluate and to compare with the assumptions and results of the effect-oriented impact assessment.

(3) it is to check whether the former assumptions of action-oriented assessment of causal relationships between the regulatory or project destination and the implementation of measures and the respective indicators are actually true. Hiefür are anyway, at the same time with the objectives and measures set indicators and the specified data sources to be used. In particular to check 1 whether the desired control or project objective and the measures taken to achieve targets continue with in § 2 para 1 BHG are 2013 objectives in line, 2. extent to which the planned measures have been implemented, 3. whether and to what extent the target control or the projects target by the measures taken to achieve targets was reached, the expected 4. whether and to what extent or other effects have occurred and 5. how high the financial impact on the Indeed, there are federal budget.

(4) the internal evaluation that is required for determining the suitability of measures an implemented regulatory or other undertaking to achieve targets, as well as the actual effects a renewed internal evaluation, to justify this and the timing for this purpose within the framework is to set the internal evaluation.

(5) § 6 of the effect controlling regulation applies for the internal evaluation reports.

4 section

Requirements for methodological tools for determining the impact

Principles

§ 12 (1) methods and tools to determine of the impact in accordance with the regulations to effect dimensions according to § 17 para 3 Z 3 BHG 2013 come quantitative and qualitative consideration, the relationship of the effects outline that transparent.

(2) if possible and useful, quantitative methods are primarily qualitative methods of assessment to choose.

Application of methodological tools

The Chancellor's Office and the Federal Ministry of finance to § 13 (1) an IT application for the effect-oriented impact assessment available, which provides a common framework for the dimensions of the effect and the architecture of your application in the module system.

(2) the application of IT is to be used for the implementation of action-oriented assessment (section 5) and their presentation of the results (article 8). As a methodological tool for simplified and more detailed assessment in the respective effect dimension that is the competent Member of the Federal Government as a supplement of IT application to use to deploy module referred to in paragraph 1 and to answer completely in terms of the respective control project or other project to be filled with data and traceable to explain.

5. section

Final provision

Entry into force

§ 14. This Regulation shall enter into force 1 January 2013.

Faymann

Annex 1 to article 6, paragraph 1

Wesentlichkeitskriterien to impact dimensions

 

Wesentlichkeitskriterien to effect dimensions are laid down:

 



Effect dimension



Sub dimension of the dimension of effect



Wesentlichkeitskriterium



Public households



Federal countries, municipalities, social insurance institutions



Presence of financial impact



Overall economy



Demand



Demand change in the amount of €40 million (budget or by private-sector demand)



Supply and macroeconomic framework



Value added of €40 million or 1 000 year employment in at least one of the five examined years



Company



Financial implications for companies



Credits per year, at least 10 000 affected companies or €2.5 million total



Impact on the stages of the business cycle



At least 500 of the company concerned



Environmental



Air or climate - change the total Austrian the fine dust fraction PM10 emissions more than 3.5 metric tons per year, or nitrogen oxides by more than 14 tonnes per year, or - change the greenhouse-gas emissions by 10 000 tonnes of CO2 equivalent per year water-

Impact on the ecological or chemical condition of the lakes and rivers or – impact on the quantity and quality of groundwater



Ecosystems, animals, plants or soil - a changes with regard to the production of pollution-free food or modification of protected areas or - fragmentation of large contiguous forested area or a region-typical landscape or - increase of the sealed areas around 25 hectares per year in the Habitat with regard to the reduction of flood protection or protection against landslides and avalanches, handles



Energy or waste - change in energy consumption, more than 100 TJ per year or - change the scale of the hazardous waste by more than 1 000 tonnes per year or the amount of non-hazardous waste to feed that a disposal (landfilling) are more than 10 000 tonnes per year.



Administrative costs for



Administrative costs for companies



More than 100 €000 on administrative costs for all affected per year



Citizens and businesses



Administrative costs for citizens



More than 1 000 hours time or over 10 €000 in direct costs for all affected per year



Social



Working conditions



More than 150 000 employees are currently or potentially affected



Labour market



Demand change in the amount of €40 million (budget or by private-sector demand)



Europe 2020 - social target group



More than 150 000 people of the Europe 2020 - social target group (vulnerable persons, significantly materially deprived persons and persons in households with no or very low work intensity) are affected



Change the number of occupied duty to at least 1 000 jobs or change the number of people registered as unemployed with disabilities at least 700 people or, at least 5% of people with a disability or a particular kind of disability (E.g. blind or severely visually impaired people, deaf people social participation of people with disabilities (in relation to their employment situation, as well as outside the world of work)- , Wheelchair) are currently or potentially affected



Care allowance



At least 5% of the recipients of care allowance under the Federal care allowance Act are currently or potentially affected



Consumer protection policy



Ratio of consumers to businesses - more than 100,000 potentially or 5 000 currently affected consumers per year or - financial impact of more than 500 €000 for all consumers, or more than €400 per case when more than 500 people per year



Consumer protection facilities



direct legal or organizational impact on consumer protection facilities



Health and safety in connection with products or services



Number of cases of illness or accidents with a likely incapacity of more than three days



Children and youth



Protection and promotion of the health, development, and development of young people (up to 30 years)



At least 1 000 young people are affected



Maintenance supplies, compensation for costs of children, care of children (up to 18 years) at least 1 000 young people are affected



Securing the future of young people in medium-term perspective - financial impact of €1 billion over 10 years on public spending or - it involved strategies or decisions with implications for the design of life to at least 25 years, in particular in the fiscal, energy or environmental policy actual equality of women and men



Direct benefits - individuals more than 400 €000 per year and a sex is under-represented: more than €2.5 million per year and a sex is under-represented less than 30% in the target group the categories of the target group or for the beneficiary (service) - for companies / entities: under 30% of the employees, or 25%, 30% of the users / beneficiaries, or the leadership



Education, employment and income - education: from 10 000 sufferers and it an area is affected, in which one sex less than 30% is represented - employment: from 50 000 sufferers and it's an area is affected, in which one sex less than 30% is represented - income: from 50 000 sufferers and it an area is affected, where a sex under 30% unpaid work is represented



At least 10 000 affected



Public revenue - direct and indirect taxes (E.g. income tax, sales tax, excise duties) of natural persons: more than €1 million per year - direct taxes from companies / legal persons (such as corporation tax, fees for companies): over €5 million per year and a sex is under-represented: under 30% of the employees, or 25%, 30% of the users/users/beneficiaries, or the leadership



Decision-making processes and bodies



Anyway, the reconfiguration of bodies or institutions, or if one of the following areas is affected: - bodies of strategy development and strategic planning - bodies, which are responsible for the allocation of funds - control and governing bodies of organizations and companies (boards, supervisory boards, boards of Trustees, etc.), decision-making positions and committees at universities of physical and mental health



At least 1 000 stakeholders annex 2 to § 8 para 2

 



Step



Content



Sections



Name of the project



Name of the project



Problem analysis



Cause of action



Problem

Causes



Margin of discretion in the implementation of EU law



Extent of the problem



Order of magnitude

Development trends



Affected parties



Zero scenario



any alternatives



Formulation of objectives



Description of target



Description of target tracking



Indicators (metrics/milestones)



Initial state at the time of the WFA

State of destination at the time of evaluation



Contribution to action goal or measure in the federal budget (if applicable)



Measure wording



Title of action



Description of the measure



Contribution to the objective



Indicators (metrics/milestones)



Initial state at the time of the WFA

State of destination at the time of evaluation



Assessment of the financial impact and the significant impacts in the other dimensions of the effect



Simplified estimation



Regulations made pursuant to § 17 para 3 Z 3 BHG 2013



In-depth assessment



Regulations made pursuant to article 17 paragraph 3 Nos. 3 and 4 and 5 BHG 2013



Planning of internal evaluation



Time of the internal evaluation