Wfa Principle Regulation Wfa-Gv

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

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489. Regulation of the Federal Chancellor on the principles of impact-oriented impact assessment for regulatory projects and other projects (WFA-principle-WFA-GV)

On the basis of § 17 (3), first sentence, and § 18 (4) of the Federal Budget Act 2013 (BHG 2013), BGBl. I n ° 139/2009, as last amended by the Federal Law BGBl. I n ° 62/2012, is to be assigned in agreement with the Federal Minister for Finance:

table of contents

Paragraph

Object/Label

Section 1
General provisions

§ 1.

Subject matter

§ 2.

Objectives

§ 3.

Principles of impact-oriented impact assessment

§ 4.

Definitions

Section 2
Implementation of impact-oriented impact assessment

§ 5.

Systematic steps of impact-oriented impact assessment

§ 6.

Effect dimensions

§ 7.

Materiality of impact

§ 8.

Result Style

§ 9.

Date of implementation
in the case of draft regulations of the federal government and the evaluation procedure

§ 10.

Date of implementation
in the case of other regulatory projects and in the case of projects pursuant to § 58 (2) BHG 2013

Section 3
Internal evaluation

§ 11.

Date and implementation

Section 4
Requirements for methodological tools to assess the impact

§ 12.

Principles

§ 13.

Application of methodological tools

Section 5
Final destination

§ 14.

entry into force

Section 1

General provisions

Subject matter

§ 1. (1) This Regulation lays down the principles of impact-oriented impact assessment and the internal evaluation of regulatory projects and of projects of exceptional financial significance in accordance with Section 58 (2) of the BHG 2013.

(2) This Regulation lays down the basic procedure for carrying out an impact-oriented impact assessment, further to assess the actual dimensions of the impact and to assess the impact of the impact assessment on the basis of the impact of the impact assessment. will qualify.

Objectives

§ 2. This Regulation serves to implement the impact orientation, which is limited by the financial management and management of budgetary positions due to the BHG 2013, and improves impact information on regulatory projects and projects of exceptional financial significance in accordance with § 58 (2) of the BHG 2013.

Principles of impact-oriented impact assessment

§ 3. In the case of impact-oriented impact assessment and internal evaluation, the principles of sound financial management in accordance with Art. 51 (8) B-VG should be observed in conjunction with Section 2 (1) of the BHG 2013, as far as these are in each case considered. Furthermore, the quality criteria according to § 23 (2) and § 41 (1) BHG 2013 must be observed. These include the relevance, content consistency, comprehensibility, readability, comparability and verifiability.

Definitions

§ 4. For the purposes of this Regulation, the following definitions shall apply:

1.

The impact assessment is a procedure in which the regulatory or project objectives and measures are formulated as well as the main effects of a regulatory project or project of exceptional financial significance in concrete dimensions systematically shall be examined, evaluated and processed.

2.

The internal evaluation is a retroactive procedure aimed at analysing the achievement of objectives and the effects that have actually occurred. It is examined whether a proposed regulatory project or project results in the expected effects or significant unexpected effects.

3.

Regulatory projects are

a)

Draft legislation of the Federal Republic of Germany: federal laws, regulations, over-or inter-governmental agreements, agreements pursuant to Art. 15a B-VG;

b)

Draft other legislative measures of a fundamental nature of considerable financial significance in accordance with § 16 paragraph 2 of the Federal HG 2013.

4.

A Other projects is a project of exceptional financial significance within the meaning of Section 58 (2) of the Federal HG 2013 and has a uniform operation in economic, legal or financial terms.

5.

Impact is an expected or unexpected change, or maintenance of a state as a result of state action.

6.

A Impact Dimension is a policy area or a specific partial aspect of a policy area that may have an impact.

7.

Materiality criterion (criterion for the materiality of effects) is a threshold value or an impact of a condition in an action or subdimension, from the point of view of the attainment of which is likely to have an expected impact on an in-depth assessment. The materiality can be defined in the individual effect dimensions by qualitative or quantitative criteria.

8.

Impact Target is a definition of intended effects in accordance with budgetary provisions in the Federal estimates at the level of the breakdown.

9.

Regulatory objective or Project Target is a state on whose achievement the measures set out in a regulatory or other project are addressed and which may be related to an objective or measure in the Federal State of the Federal Republic of Germany within the meaning of section 41 of the Federal Act on the Federal Republic of Germany (BHG) 2013.

10.

Action is an overarching collective term for regulations, services and activities that are guaranteed by the public administration or are provided for their projects and projects. Individual measures must, in particular, be objectively demarcable from one another. Measures can be combined to form a regulatory complex in the light of a common objective and can be considered separately.

11.

Indicators are key figures (Z 12) and milestones (Z 13), which can be measured in the short, medium or long term by the contribution of measures to achieve the objectives of action, regulation or project or the success of objectives or objectives. to make the impact of measures assessable and verifiable.

12.

A Measure represents a quantity which can be measured quantitatively and objectively and which provides information on the degree of success of a target or of a measure.

13.

A Milestone is a demarcable result in the course of the implementation of a measure.

Section 2

Implementation of impact-oriented impact assessment

Systematic steps of impact-oriented impact assessment

§ 5. (1) The steps of the impact assessment shall be as follows:

1.

problem analysis,

2.

target formulation,

3.

policy formulation,

4.

Estimation of the effects in the affected effects and

5.

Planning of internal evaluation.

(2) The impact-oriented impact assessment is to be carried out in each case per regulatory project or regulatory complex, or projects of exceptional financial significance in accordance with § 58 (2) of the BHG 2013. In particular with regard to the formulation of the target and measures, care must be taken to ensure that the quality criteria are complied with in accordance with § 3 and that an internal evaluation is possible.

(3) Problem analysis shall include, in particular, the reason for action (the problem and its causes), the leeway in the implementation of Union law, the extent of the problem, the problem affected by the problem, and a scenario without action (zero scenario) and any alternatives to describe.

(4) The objectives of the target formulation shall be the rule or project objectives. It is possible to present a specific connection with an objective or measure in the Federal estimate. One to five indicators to measure the achievement of objectives are to be found in each case, which are also to be used as a basis for internal evaluation.

(5) In the case of the policy formulation, it is necessary to consider that measures are identified in a factually defined way and that the interdependencies with the regulatory and/or regulatory framework are identified. The aim of the project is set out. One to five indicators may be used for each measure, which are also to be used as a basis for internal evaluation.

(6) In the selection of indicators (para. 4 and 5) is, in any case, for consistency with the indicators used for the information on the impact orientation on the breakdown and global budget level of the indicators of the impact assessment budget-management body.

(7) If an impact dimension (§ 6) is at least partially affected, the impact assessment shall be carried out in the context of this concern in accordance with the relevant regulation on this impact dimension:

1.

In the context of the simplified assessment, it is necessary to examine whether significant effects are to be expected in the affected areas of action;

2.

if such effects are to be expected, they are to be examined and assessed in greater detail in the context of the in-depth assessment.

(8) The planning of the internal evaluation shall indicate how and when the internal evaluation shall be carried out.

(9) An in-depth assessment in accordance with paragraph 7 (2) (2) may also be carried out if the materiality criteria are: Appendix 1 will not be met.

Effect dimensions

§ 6. (1) The Appendix 1 More detailed effects on the effects listed in Section 17 (1) of the BHG 2013 are:

1.

the overall economy,

2.

companies,

3.

environment,

4.

consumer protection policy,

5.

Administrative costs for citizens and for businesses,

6.

Social,

7.

Children and youth,

8.

Effective equality between women and men.

(2) The financial impact on the federal budget and other public budgets is based on the regulation of the Federal Minister of Finance on the assessment of the financial impact on the federal budget and other public budgets in accordance with Section 17 (4) (3) of the Federal HG of BHG 2013. Public budgets as part of the impact assessment of regulatory plans and other projects (WFA-Financial Impact Regulation, WFA-FinAV), BGBl. II No 490/2012.

Materiality of impact

§ 7. Probable effects are, in any case, essential if:

1.

Draft legislation of the federal government shall have financial implications or

2.

Projects of exceptional financial significance within the meaning of Section 58 (2) of the BHG 2013 are or other legislative measures of a fundamental nature of considerable financial significance according to § 16 para. 2 BHG 2013 are or

3.

that in Appendix 1 The criteria for assessing the materiality in an impact dimension are met.

Result Style

§ 8. (1) The presentation of the results of the impact-oriented impact assessment is intended to make the correlations of the impact comprehensible. It shall contain, in a standardised, standardised form, the individual steps of the impact assessment, in particular:

1.

Problem analysis, target formulation including indicators and selected measures, including indicators ("What does success look like"),

2.

the main effects in the affected impact dimensions ("impact assessment") in accordance with the requirements laid down in the regulations on the dimensions of the effect, with the use of more detailed and methodical representations, as well as

3.

the information on the planning of the internal evaluation.

(2) The presentation of results shall be the reporting structure in accordance with Appendix 2 to basically lay down. This does not preclude a flexible design.

Date of implementation
in the case of draft regulations of the federal government and the evaluation procedure

§ 9. (1) In the case of drafts of federal legislation, the impact-oriented impact assessment shall, in principle, begin as early as possible. It has to keep up with the regulatory plan. The presentation of the results according to § 8 has to be submitted at each entry to a new stage of the proceedings (dispatch for evaluation, submission to the Council of Ministers).

(2) Where data for the impact assessment of regulatory projects is not updated until after the review process has been initiated, the updated impact assessment shall be updated as far as possible, in so far as it has been submitted to the The Council of Ministers has to be held in good time before the introduction of the Federal Chancellor (inter-departational action control centre) and the Federal Minister of Finance.

(3) In view of the content, the scope and the urgency of the proposed regulation, the Federal Institutions have to set a reasonable period of evaluation. As a rule, a review period of at least six weeks is to be made available to the bodies invited to the evaluation.

(4) Where there is a review procedure, or No provision is made for an introduction to the Council of Ministers, the impact-oriented impact assessment in the context of the preparation of the agreement is the Federal Minister of Finance and the Federal Chancellor (Federal Minister for Finance) in accordance with Section 16 (1) BHG 2013. Control unit).

(5) For the quality assurance of the impact-oriented impact assessment, § 5 (1) (1) (1) (1) of the Impact Control Ordinance (BGBl) applies. II No 245/2011, or with regard to the financial implications § § 11 para. 2 WFA-FinAV.

Date of implementation
in the case of other regulatory projects and in the case of projects pursuant to § 58 (2) BHG 2013

§ 10. (1) In the case of other legislative measures of a fundamental nature of considerable financial significance in accordance with Section 16 (2) of the BHG 2013 and in the case of projects pursuant to Section 58 (2) of the BHG 2013, the impact-oriented impact assessment shall in principle be as early as possible. and, if necessary, to update it until the agreement is made.

(2) The presentation of the results according to § 8 shall be attached to the documents of the holding of the agreement with the Federal Minister of Finance. In the case of other legislative measures of a fundamental nature of considerable financial significance in accordance with Section 16 (2) of the BHG 2013 and in the case of projects of exceptional financial significance in accordance with § 58 (2) of the BHG 2013, the presentation of the results according to § 8 Also to the Federal Chancellor (cross-disciplinary action controllingstelle).

(3) For the quality assurance of the impact-oriented impact assessment, § 5 (1) (2) (2) and (3) of the Impact Control Ordinance (BGBl) applies. II No 245/2011, or as regards the financial implications § 11 para. 2 WFA-FinAV, BGBl. II No 490/2012.

Section 3

Internal evaluation

Date and implementation

§ 11. (1) Regulatory projects and other projects shall be evaluated internally after a maximum of five years from the date of entry into force or effective date, in order to identify possible potential for improvement and recommendations for implementation.

(2) The actual significant effects of legal norms and projects in accordance with § 58 (2) of the BHG 2013 in the affected impact dimensions are to be analysed and evaluated in retrospect on the basis of the collected data and with compare the assumptions and results of the impact-oriented impact assessment.

(3) It is necessary to consider whether the early assumptions of the impact assessment of impact assessments between the regulatory or project objective and the measures set out and the relevant indicators are actually correct. In any event, the indicators and the data sources specified are to be used at the same time as the indicators and the objectives and measures. In particular consideration shall be given to:

1.

whether the desired regulatory or project objective and the measures set for the achievement of objectives will continue to be in line with the objectives set out in Article 2 (1) of the BHG 2013,

2.

the extent to which the planned measures were implemented,

3.

whether, and to what extent, the desired regulatory or project objective has been achieved by the measures to be taken to achieve the objectives,

4.

whether and to what extent the expected or other effects have occurred and

5.

how high the financial impact on the federal budget actually is.

(4) The internal evaluation shall require that a re-internal evaluation be carried out in order to determine the suitability of the measures of a implemented regulatory or other project to achieve the objectives and the actual effects, this shall be the case. , and to determine the date of the internal evaluation.

(5) For the internal evaluation reports, § 6 of the Impact Control Ordinance applies.

Section 4

Requirements for methodological tools to assess the impact

Principles

§ 12. (1) As methods and instruments for the determination of the effects according to the regulations on effect dimensions according to § 17 paragraph 3 Z 3 BHG 2013, quantitative and qualitative are considered, which explain the relationships of the effects in a transparent manner.

(2) Where possible and useful, quantitative methods shall be chosen primarily in relation to qualitative methods of assessment.

Application of methodological tools

§ 13. (1) The Federal Chancellery and the Federal Ministry of Finance provide an IT application for the impact-oriented impact assessment, which provides a uniform framework for the impact dimensions and the architecture of the application in the Module system.

(2) The IT application shall be used for the implementation of the impact-oriented impact assessment (§ 5) and its presentation of results (§ 8). As a methodological tool for the simplified and in-depth assessment in the respective impact dimension, the module provided by the respective relevant member of the Federal Government as a supplement to the IT application shall be used in accordance with paragraph 1. and in respect of the relevant regulatory or other project, to complete and explain with data and to explain it in a comprehensible way.

Section 5

Final destination

entry into force

§ 14. This Regulation shall enter into force 1. Jänner 2013 in force.

Faymann

Annex 1 to § 6 (1)

Materiality criteria of impact dimensions

The following are defined as the essential criteria for action dimensions:

Impact Dimension

Subdimension of the
Impact Dimension

Materiality criterion

Public budgets

Federal government, Länder, municipalities, social insurance institutions

Existence of financial implications

Total economy

Demand

Demand change of € 40 million € (budget-effective or by private demand)

Offer and macroeconomic conditions

€ 40 million € valueadded or 1 000 annual employment relationships in at least one of the five years studied

Company

Financial implications for companies

At least 10 000 affected companies or 2.5 million € Total or -discharge per year

Impact on the phases of the business cycle

At least 500 affected companies

Environment

Air or climate

-

Changes in the total emissions of the fine dust fraction PM 10 by more than 3.5 tonnes per year or by nitrogen oxides by more than 14 tonnes per year, or

-

Change in greenhouse gas emissions by 10 000 tonnes 2 -equivalent per year

Water

-

Effects on the ecological or chemical status of lakes and rivers, or

-

Impact on the quantity and quality of groundwater

Ecosystems, animals, plants or soil

-

Interventions in the habitat with a view to reducing flood protection or protection against urination and avalanches, changes in the production of non-polluting foodstuffs or interventions in nature reserves or

-

the cutting of a large-scale contiguous forest area or a region-like landscape, or

-

Increase of sealed areas by 25 ha per year

Energy or waste

-

Change in energy consumption by more than 100 TJ per year, or

-

Change in the amount of hazardous waste of more than 1 000 tonnes per year or of the amount of non-hazardous waste to be disposed of (landfill), of more than 10 000 tonnes per year.

Administrative costs for

Administrative costs for
Company

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

Citizens and businesses

Administrative costs for citizens

More than 1 000 hours of time spent or more than € 10 000 in direct costs to all those affected per year

Social

Working conditions

More than 150 000 workers are currently or potentially affected

Labour market

Demand change of € 40 million € (budget-effective or by private demand)

Europe 2020 social target group

More than 150 000 people in the Europe 2020 social target group (people at risk of poverty, significantly materially deprivileged persons and persons in households with no or very low labour intensity) are affected

Social participation of people with disabilities (in terms of their employment situation and outside the working world)

-

Change in the number of compulsory posts occupied by at least 1 000 posts or change in the number of disabled persons with disabilities by at least 700 persons

or

-

at least 5% of people with disabilities or a specific type of disability (e.g. blind or severely visually impaired people, deaf people, wheelchair users) are currently or potentially affected

Care allowance

At least 5% of the recipients of care allowance according to the Federal Nursing Money Act are currently or potentially affected

Consumer protection policy

Relationship between consumers and companies

-

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 individual case for more than 500 people per year

Consumer protection facilities

direct legal or organisational implications for consumer protection institutions

Health and safety in relation to products or services

Number of cases of illness or accidents with an expected work 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 of age)

At least 1 000 young people are affected

Maintenance, compensation for children's costs, care for children (up to 18 years)

At least 1 000 young people are affected

Securing the future of young people in a medium-term perspective

-

Financial impact of € 1 billion More than 10 years of public expenditure, or

-

Strategies or decisions with implications for life-design for at least 25 years, especially in fiscal, energy or environmental policy

Effective equality between women and men

Direct benefits

-

In the case of natural persons, more than € 400 000 per year and one gender is under-represented: less than 30% in the target group/categories of the target group or the beneficiaries (use of the benefit)

-

For companies/legal persons, more than 2.5 million € per year and one gender is under-represented: under 30% for employees or 25% for the management positions or under 30% for the users/beneficiaries

Education, employment and income

-

Education: from 10 000 people affected and affected by an area where gender is less than 30%

-

Employment: as of 50 000 persons affected and an area in which a sex is less than 30%

-

Income: from 50 000 people affected and it affects an area where a sex is less than 30%

Unpaid Work

At least 10 000 affected

Public revenue

-

Direct and indirect taxes (e.g. income tax, turnover tax, excise duties) of natural persons: more than € 1 million. € per year

-

Direct taxes of companies/legal entities (e.g. corporation tax, fees for companies): more than € 5 million € per year and one gender is under-represented: under 30% for employees or 25% of the leading positions or less than 30% for the users/beneficiaries

Decision-making processes and bodies

In any case, in the case of the re-establishment of bodies or institutions, or if one of the following areas is concerned:

-

Strategy development and strategic planning bodies

-

Bodies responsible for the allocation of funds

-

Control and governance bodies of organisations and companies (boards of directors, boards of directors, curators, etc.),

-

Decision-making positions and bodies at universities

Physical and mental health

At least 1 000 affected

Annex 2 to § 8 (2)

Step

Contents

Subareas

Name of the project

Name of the project

Problem Analysis

Reason for action

Problem

Causes

Room for manoeuvre in the implementation of Union law

Scale of the problem

Magnitude

Trends

Affected

Zero scenario

Any alternatives

Target formulation

Destination Description

Description of the target tracking

Indicators (indicators/milestones)

Initial state at the time of the WFA

Target state at evaluation time

Contribution to the target of action or
Federal estimate (if available)

Policy formulation

Designation of the measure

Description of the measure

Contribution to the Objective

Indicators (indicators/milestones)

Initial state at the time of the WFA

Target state at evaluation time

Estimation of the financial impact and the significant effects in the other dimensions of the impact

Simplified Estimation

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

In-depth estimation

Regulations pursuant to § 17 (3) (3) and (4) and (5) of the BHG 2013

Planning of internal evaluation

Time of internal evaluation