THễNG TIN CHUYấN Tăng cờng hiệu áp dụng đánh giá tác động pháp luật (ria) việt nam STRENGTHENING THE EFFECTIVENESS OF APPLYING REGULATORY IMPACTS ASSESSMENT (RIA) IN VIETNAM Khụng c phộp s dng bt c ti liu no Vin Friedrich-Ebert-Stiftung (FES) xut bn vo mc ớch thng mi nu cha c FES ng ý bng bn Commercial use of all media published by the Friedrich-Ebert-Stiftung (FES) is not permitted without the written consent of the FES TRUNG TM THễNG TIN T LIU in thoi Fax: (04) 37338930 E-mail: vnep@mpi.gov.vn MC LC I.KHI NIM V í NGHA CA VIC NH GI TC NG PHP LUT (RIA) I.1 Khỏi nim chung I.2 Cỏc yu t hp thnh RIA I.3 í ngha ca RIA II.KINH NGHIM P DNG RIA TRONG MT S LNH VC TI NHT BN II.1 Hot ng ỏnh giỏ tỏc ng chớnh sỏch ti Nht Bn II.2 Kinh nghim ỏp dng RIA ti tnh Iwante Nht Bn 14 III.TèNH HèNH P DNG RIA TI VIT NAM V MT S KHUYN NGH 19 III.1 Tỡnh hỡnh ỏp dng RIA ti Vit Nam 19 III.1.1 C s phỏp lý cho nh ch RIA ti Vit Nam 19 III.1.2 Thc trng ng dng RIA ti Vit Nam 20 III.2 Khuyn ngh vic t chc thc hin RIA ti Vit Nam 24 SUMMARY: STRENGTHENING THE EFFECTIVENESS OF APPLYING REGULATORY IMPACTS ASSESSMENT (RIA) IN VIETNAM 30 TI LIU THAM KHO 35 TRUNG TM THễNG TIN T LIU S 6/2013 TNG CNG HIU QU P DNG NH GI TC NG PHP LUT (RIA) TI VIT NAM Thc tin cụng tỏc thi hnh phỏp lut ti nc ta ó cho thy, h thng bn quy phm phỏp lut (QPPL) Vit Nam c ỏnh giỏ nh mt rng quy nh vi nhiu Lut, Ngh nh chng chộo, thiu thng nht vi Nhiu bn QPPL sau mt thi gian trin khai trờn thc tin tr nờn lc hu v khụng cũn phự hp ú l cha k cú nhng bn mi i cha cú hiu lc ó bc l nhng im thiu tớnh kh thi Bờn cnh ú, mt nhng bc quan trng xõy dng bn QPPL l tham ý kin ca cng ng Thc t l, Vit Nam hin cũn thiu cụng c phõn tớch chớnh sỏch khoa hc bo m phỏp lut ỏp ng c nhu cu ngi dõn Vi tỏc ng ca th hi nhp quc t, vic bo m hi hũa quy trỡnh xõy dng chớnh sỏch phỏp lut l mt yờu cu m bo tớnh tng ng cho giao thng phỏt trin kinh t RIA s l cụng c xõy dng chớnh sỏch phỏp lut tt, xỏc nh rừ c mc tiờu no cn trung gii quyt gim thiu tỏc ng khụng mong mun, bo m c tớnh cõn xng ỏp dng cỏc cụng c v chớnh sỏch phỏp lut phự hp vi i tng ca quy mụ ú T ú, nhng chớnh sỏch phỏp lut bn vng phự hp vi quy lut ca t nhiờn, ca xó hi s tn ti lõu di hn, bo m cú hiu qu chớnh sỏch, v thỳc y phỏt trin kinh t - xó hi nhanh hn v bn vng hn I KHI NIM V í NGHA CA VIC NH GI TC NG PHP LUT (RIA) I.1 Khỏi nim chung Phng phỏp ỏnh giỏ tỏc ng phỏp lut hay cũn gi l ỏnh giỏ tỏc ng chớnh sỏch (Regulatory Impact Accessment RIA) u tiờn c dng l chng trỡnh ỏnh giỏ tỏc ng lm phỏt m chớnh quyn Carter ó yờu cu thc hin ti M t nm 1978 Sau ú, chớnh ph ca tng thng Reagan cng yờu cu m rng dng RIA quỏ trỡnh hoch nh chớnh sỏch vi cỏch tip cn phng phỏp lun da trờn phõn tớch li ớch chi phớ Sau ú, RIA cng c dng Australia t nm 1985 v n gia thp niờn 1990, ó cú khong 12 nc OECD yờu cu dng RIA di nhng hỡnh thc nht nh, dự cú s khỏc bit khỏ ln quy mụ phõn tớch m mi quc gia yờu cu n nm 2000, 20 s 28 nc OECD ó ỏp dng RIA, v hin nay, RIA ó rt ph bin ti tt c cỏc nc thnh viờn OECD Vi Ngõn hng Th gii, RIA cng l mt thc o ỏng tin cy v c khuyn khớch ti nhng quc gia th hng cỏc hot ng ca Ngõn hng Nh ú, hin ngy cng cú nhiu nc ang phỏt trin ng dng cỏch tip cn ỏnh giỏ tỏc ng ny RIA c dng thnh cụng cỏc nc OECD nh thc hin tng bc mt, trung vo cỏc mng quy nh c th ri sau ú m rng cho ton b quỏ trỡnh hoch nh chớnh sỏch Vo nhng giai on ban TRUNG TM THễNG TIN T LIU S 6/2013 u ca chu trỡnh chớnh sỏch, cỏc mc tiờu chớnh sỏch c thit k nhng cú nhiu phng ỏn hnh ng tm tay, RIA l mt cụng c h tr mnh m a quyt sỏch Mc dự RIA khụng thay th cho vic hoch nh chớnh sỏch nhng gúp phn h tr thit k chớnh sỏch hiu qu hn nh mang li nhng thụng tin vng chc, v s bin minh nht quỏn, vng vng cho hnh ng ca chớnh ph V khỏi nim, theo nh ngha ca OECD, ỏnh giỏ tỏc ng phỏp lut (thut ng ting Anh l Regulatory Impact Assessment - RIA) l mt cụng c quyt nh cú tớnh h thng, c dựng kim tra v o lng nhng li ớch, chi phớ v tỏc ng cú th xy ca mt quy nh hin hnh, v thng c s dng khu vc cụng nhm ỏnh giỏ nhng tỡnh hung, o lut hoc chớnh sỏch khỏc nhau1 RIA bao gm quỏ trỡnh: (i) phõn tớch cỏc tỏc ng cú th xy ca mt thay i chớnh sỏch v cỏc phng ỏn thc hin thay i ú, v (ii) ph bin thụng tin, kt qu phõn tớch ỏnh giỏ cho cỏc nh hoch nh chớnh sỏch v cụng chỳng Núi cỏch khỏc, RIA l mt mụ hỡnh phõn tớch th ch húa da vo cựng mt c s phõn tớch nh danh mc kim tra Tin hnh RIA bao gm vic tr li mt s cõu hi ch yu sau: sỏch? õu l bn cht, mc v s phỏt trin ca ? õu l cỏc mc tiờu m quc gia theo ui? õu l cỏc tỏc ng v mụi trng, xó hi v kinh t ca cỏc la chn chớnh õu l u v nhc im ca cỏc la chn chớnh sỏch chớnh? Vic giỏm sỏt v ỏnh giỏ v sau c t chc nh th no? Khi trin khai quy trỡnh RIA, khụng nht thit ũi hi nghiờn cu chi tit v lõu di, nhng phi mc nht nh cung cp y thụng tin m da vo ú mi ngi u cú th tho lun Trong ng dng thc hnh, RIA bt u bng phõn tớch v trỡnh by rừ to bi cnh ca quy nh v c tin hnh thụng ỏnh giỏ chi phớ v li ớch, cõn nhc cỏc quỏ trỡnh thc hin hnh ng chớnh sỏch h tr quyt nh, RIA cũn ỏnh giỏ cỏc cỏch tip cn bng quy nh chớnh sỏch v cỏch tip cn khụng bng quy nh chớnh sỏch vi mc ớch chung l bo m cỏch tip cn bng quy nh c chn sau cựng s mang li li ớch cụng rũng ln nht Vic thc hin RIA h tr quỏ trỡnh hoch nh chớnh sỏch nh a s liu thc nghim giỏ tr cho cỏc quyt nh chớnh sỏch, v thụng qua xõy dng mt khung quyt nh lý xem xột ý ngha ca cỏc phng ỏn chớnh sỏch tim nng Thc t l ngoi mt s yu t then cht, cha cú mt mụ hỡnh ỳng n nht thc hin cỏc h thng RIA L trỡnh thớch hp ci cỏch chớnh sỏch, quy nh s ph thuc vo cỏc c im chớnh tr, húa v xó hi ca tng nc OECD, 2007 TRUNG TM THễNG TIN T LIU S 6/2013 Cho n RIA ang c trin khai vi nhiu thay i liờn tc Cng ngy, cng cú nhiu hot ng sng lc c th quy trỡnh RIA, ú bao gm ỏnh giỏ ri ro, ỏnh giỏ tỏc ng i vi cnh tranh v ci thin cỏc phng phỏp lun thu thp s liu vi mc tiờu thu c kt qu ỏnh giỏ chớnh xỏc i vi: - Tt c cỏc tỏc ng cú th xy v mt xó hi, mụi trng, ti chớnh v kinh t - Tt c cỏc loi hỡnh bn phỏp lut: bn phỏp quy, cỏc bn chớnh sỏch, hoc bỏn chớnh thc - S phõn b tỏc ng i vi cỏc i tng khỏc nhau, bao gm ngi tiờu dựng, doanh nghip, cỏc i tng khu vc cụng, cỏc t chc phi chớnh ph, khu vc nụng thụn, thnh th I.2 Cỏc yu t hp thnh RIA Quỏ trỡnh ỏnh giỏ tỏc ng ca quy nh l mt quỏ trỡnh chớnh sỏch lý, nờn c thc hin thnh nhiu bc Tớnh phc v sõu cn thit phi cú ca phõn tớch s c xỏc nh qua tm quan trng v ln ca tỏc ng t chớnh sỏch Quy trỡnh RIA thng gm bn yu t: (i) Xỏc nh mc tiờu v phm vi ca RIA; (ii) Tham cụng chỳng gn vi RIA; (iii) Giỏm sỏt cht lng thụng qua thm nh c lp v cỏc c ch khỏc; (iv) Cỏc phng phỏp thu thp d liu cú th h tr ci thin chớnh sỏch cụng thnh cụng, bn yu t ny phi phi kt hp vi mt quy trỡnh cú tớnh h thng Cỏc RIA to c nh hng i vi chớnh sỏch l cỏc RIA cú quy trỡnh c u sm, gn vi quy trỡnh tham tt v a c cỏc nhn nh ỏnh giỏ ỳng n v cỏc tỏc ng ca chớnh sỏch c xng V c bn, bỏo cỏo RIA thng gm qua bc c bn (Hỡnh 1): - Bc mt, nhn din : cỏc nh hoch nh chớnh sỏch phi nhn din c cn cú s can thip chớnh sỏch v xỏc nh rừ chớnh ph cú nờn can thip hay khụng ng thi, giai on ny cng xỏc nh cỏc mc tiờu chớnh sỏch - Bc hai, xõy dng phng ỏn chớnh sỏch: trung vo vic xõy dng cỏc phng ỏn chớnh sỏch nhm gii quyt ó c nhn din Trong giai on ny, nh hoch nh chớnh sỏch s t chc cỏc bui tho lun v c tớnh s b nhng chi phớ v li ớch ca tng phng ỏn chớnh sỏch iu ny s bc u giỳp nh hoch nh chớnh sỏch xỏc nh c phng ỏn no ti u nht v phng din kinh t, xó hi cng nh mụi trng, ng thi cú tỏc ng tiờu cc nh nht - Bc ba, tin hnh tham (cng rng cng tt) vi cỏc bờn liờn quan nhm i n phng ỏn ti u nht, gn vi u tiờn nht nh vi phng ỏn c TRUNG TM THễNG TIN T LIU S 6/2013 xỏc nh giai on Mi phng ỏn c a tham gn vi nhng phng ỏn tớnh toỏn chi phớ v li ớch c th - Bc bn, hon thin bỏo cỏo RIA ú trung c th v chi tit húa cỏc chi phớ v li ớch ca phng ỏn c la chn Sau ú, bỏo cỏo ny c np cho Chớnh ph (hoc cỏc c quan hu quan khỏc) phờ duyt v lm cn c xõy dng/iu chnh chớnh sỏch - Bc nm, trin khai thc hin chớnh sỏch vo thc t - Cui cựng, nh hoch nh chớnh sỏch tip tc trin khai ỏnh giỏ chớnh sỏch ó i vo thc hin Nu ỏnh giỏ cho thy cn phi cú s iu chnh chớnh sỏch, mt chu k RIA mi s c thc hin Hỡnh 1: Cỏc bc chớnh quy trỡnh RIA Ngun: JICA, 2013 Cỏc bc trờn nhm gii quyt ni dung ln: th nht, xỏc nh cn iu chnh v d kin cỏc ri ro cú th xy ra; th hai, xỏc nh danh mc cỏc gii phỏp v ỏnh giỏ cỏc tỏc ng ca chỳng; th ba, phõn tớch, tham v hon thin kin ngh V lý thuyt, cú nhiu phng phỏp phõn tớch, ỏnh giỏ nh phõn tớch li ớch chi phớ, hiu qu chi phớ, ỏnh giỏ chi phớ, ỏnh giỏ li ớch, hoc phõn tớch ri ro TRUNG TM THễNG TIN T LIU S 6/2013 Trờn thc t nhiu quc gia khụng ỏp dng mt cỏch khuụn mu theo cỏc phng phỏp ny nhng khú khn thc tin v s liu Trng tõm thc hin RIA mi nc cng khỏc nhau, mt s trung vo mt lnh vc c th, mt s quc gia ch cn nghiờn cu s lc, s khỏc li ũi hi tuõn th ỏp ng cỏc yờu cu danh sỏch i chiu Song, ngy cng cú nhiu quc gia ỏp dng h thng RIA ú bao quỏt nhiu lnh vc nh kinh t, xó hi, v mụi trng Cỏc chiu cnh phõn tớch gm: - Phõn tớch ri ro v nh hng ti cnh tranh v th trng: i vi cỏc quc gia nh New Zealand, Hungary, v thnh viờn EU, nh hng ti cnh tranh v m ca th trng l mt yu t quan trng cn c xem xột bt k xut chớnh sỏch no Ngoi ra, mt s quc gia nh M, Anh, Australia, B cũn yờu cu quỏ trỡnh ỏnh giỏ RIA phi bao gm phõn tớch ri ro v sc khe, mụi trng v an ton cụng cng ca mt bn phỏp lut - Phõn tớch Chớ phớ li ớch: Phõn tớch Chi phớ Li ớch l phn quan trng v khú nht ca RIA Tuy nhiờn, vic ỏp dng phng phỏp ny khụng phi lỳc no cng c thc hin tin hnh phõn tớch, ngi ta ó a cỏc bin phỏp thay th lng húa theo giỏ tr tin t ca li ớch v chi phớ ca mt xut chớnh sỏch ỏng chỳ ý, giỏm sỏt sau Ban hnh Vn bn phỏp lut l mt phn quy trỡnh RIA Vic phõn tớch d bỏo v tỏc ng ca mt bn phỏp lut thng rt khú cú quỏ nhiu yu t cn ỏnh giỏ v cú quỏ nhiu khú khn quỏ trỡnh thu thp s liu Vỡ vy, vic giỏm sỏt sau ban hnh cú ý ngha quan trng gúp phn lm tng cht lng cụng tỏc phõn tớch d bỏo, ng thi lm gim cỏc ri ro v tht bi phỏp lut Vi tớnh cht v nh ngha nh ó trỡnh by, ỏnh giỏ tỏc ng phỏp lut l vic cn thit quỏ trỡnh hoch nh chớnh sỏch gim thiu chi phớ v tng li ớch thc t v mt kinh t v xó hi ca vic quyt sỏch v thc thi quyt sỏch Tuy nhiờn, cú nhng trng hp RIA s phỏt huy tỏc dng hiu qu, v ngc li, nhng trng hp khỏc thỡ li khụng nht thit phi trin khai RIA C th l, cn tin hnh ỏnh giỏ RIA nhng trng hp sau: (i) i vi mi thay i chớnh sỏch cú nh hng ti khu vc cụng v khu vc t nhõn, t chc phi chớnh ph, doanh nghip, cỏc c quan t thin; (ii) Khi cú nhiu phng ỏn chớnh sỏch khỏc v cú nhng mc li ớch, chi phớ khỏc nhau; (iii) Khi cú thay i vi cỏc bn lut hoc di lut Quy mụ RIA phi tng ng vi tỏc ng d kin ca thay i v chớnh sỏch; TRUNG TM THễNG TIN T LIU S 6/2013 (iv) Khi tng li ớch v chi phớ ca mt chớnh sỏch khụng thay i nhng li nh hng ti mc phõn b tỏc ng i vi cỏc i tng khỏc nhau; v (v) Khi cỏc xut chớnh sỏch ch tỏc ng ti cỏc khu vc cụng, trc ht ch cn ỏnh giỏ mt RIA s lc, sau ú mi quyt nh l cú cn ỏnh giỏ RIA tng th hay khụng Tuy nhiờn, vi nhng trng hp sau khụng cn tin hnh ỏnh giỏ RIA: (i) Khi xut d kin khụng nh hng (hoc nh hng rt nh) ti chi phớ, tit kim ca khu vc cụng cng v nh nc, cỏc t chc phớ chinh ph; v (ii) Khi cn tin hnh tng mc phớ, l phớ theo quy nh ca nh nc vỡ nhng yu t tin nh khỏc nh tng t l lm phỏt Thụng thng, c quan chu trỏch nhim vi thay i chớnh sỏch s phi tin hnh RIA Song, cú th thuờ mt c quan, cụng ty chuyờn mụn thc hin vic ny, ngha l mt c quan c lp cú th tin hnh giỏm sỏt vic thc hin yờu cu RIA v m bo cht lng ca cỏc ỏnh giỏ c tin hnh C s phỏp lý cho h thng RIA cng khỏc Thụng thng, c s phỏp lý cho h thng RIA cú th cho bit cht lng ca h thng RIA ti mt quc gia H thng RIA ti cỏc quc gia OECD thng c hỡnh thnh trờn c s Lut, Quyt nh ca Tng thng, Quy nh ca Chớnh ph, Quyt nh ca Th tng Vớ d nh Sộc, Hn Quc, Mexico, c s phỏp lý thc hin RIA l lut nh; cũn ti M, Tng thng quyt nh v vic trin khai RIA; ti Australia, o, Phỏp, í, H Lan vic ny da trờn hng dn hoc quyt nh ca Th tng; v vi Canada, an Mch, H Lan, Nht, Anh, c, New Zealand thỡ vic thc hin RIA tuõn th theo quy nh v ngh quyt ca chớnh ph Kinh nghim thc tin ti cỏc quc gia cho thy c s phỏp lý cng cao thỡ vic thc hin cng hiu qu Tuy nhiờn, cỏc yu t khỏc nh húa, lch s, truyn thng ca b mỏy hnh chớnh, cam kt ca cỏc cỏn b lónh o cng cú nh hng trc tip n hiu qu ỏnh giỏ tỏc ng phỏp lut V quy mụ ỏp dng, RIA l mt quỏ trỡnh ht sc phc v mt thi gian, nờn cn xỏc nh no v mc no cn tin hnh RIA Hu ht cỏc quc gia OECD u quy nh bt buc thc hin RIA cho cỏc lut v cỏc bn di lut Tuy nhiờn, an Mch ch yờu cu thc hin vi cỏc lut; Sộc v Ireland yờu cu i vi lut v i vi bn di lut quan trng RIA cng l mt cụng c hu hiu cho vic ỏnh giỏ cỏc bn lut ó c ban hnh Nhiu quc gia, nh: Australia, Canada, Anh, c, H Lan, Thy S v Anh, yờu cu trin khai RIA tin hnh iu chnh v ỏnh giỏ cỏc bn hin hnh I.3 í ngha ca RIA Nh ó nờu, RIA l cụng c then cht cho thụng tin chi tit v nh hng tim nng, gm chi phớ v li ớch kinh t v xó hi, ca cỏc quy nh v chớnh sỏch TRUNG TM THễNG TIN T LIU S 6/2013 "RIA cng l mt quỏ trỡnh nghiờn cu, phõn tớch chớnh sỏch iu ny cho thy, cỏc c quan son tho khụng cú thúi quen s dng RIA quỏ trỡnh son tho bn quy phm phỏp lut Theo cỏc chuyờn gia, ú chớnh l lý nhiu bn phỏp lut cú cht lng thp ó c ban hnh Nhỡn chung, cht lng phn ln cỏc bỏo cỏo RIA cũn kộm, thng cú b cc khụng rừ rng, cỏc mc tiờu chớnh sỏch v ỏnh giỏ tỏc ng phng ỏn quỏ chung chung, mang tớnh khu hiu, khụng cú tớnh thuyt phc Khc phc iu ny, nhiu ban son tho bn quy phm phỏp lut ó thuờ t c lp thc hin bỏo cỏo RIA Tuy nhiờn, bi cnh RIA mi c ỏp dng cha lõu ti Vit Nam thỡ khú cú th tỡm c cỏc chuyờn gia t cú hiu bit v RIA v lnh vc chớnh sỏch ang cn iu chnh Cỏc chuyờn gia cho rng, khụng nhn thc y tm quan trng ca RIA xõy dng lut, khụng ch dn ti vic ban hnh chớnh sỏch kộm hiu qu, to nhng gỏnh nng chi phớ cho Nh nc v ngi dõn (chi phớ xõy dng, chi phớ thc thi) m cũn s gõy tỏc ng tiờu cc, hu khú lng i vi nhng nhúm i tng chu tỏc ng, b iu chnh bi quy nh ú Do vy, cn nõng cao nhn thc v RIA cng nh ỏp dng RIA tt c cp ngnh xõy dng lut Thc t thi gian qua chỳng ta mi ch ỏp dng RIA cp trung ng, cỏc loi bn quy phm phỏp lut t cp Th tng tr xung li khụng b bt buc phi thc hin RIA quy trỡnh son tho õy l mt l hng chớnh sỏch Bi cú rt nhiu bn phỏp lut ca cỏc b, ngnh, a phng c ban hnh xut phỏt t nhu cu iu hnh, qun lý Nhng bn ny tỏc ng rt nhanh, rt mnh n i sng ca doanh nghip v ngi dõn Do vy, nu khụng cú "b lc RIA thỡ s khú ngn chn c nhng chớnh sỏch phỏp lut cú cht lng kộm, gõy tỏc ng tiờu cc cho xó hi Theo tng hp ca Vin Khoa hc phỏp lý3, t l xut xõy dng lut, phỏp lnh chng trỡnh chớnh thc v chng trỡnh d b cú bỏo cỏo RIA s b nh sau: Nm 2010: 36/47 (76,6%) Nm 2011: 26/31 (84%) Nm 2012: 23/45 (51,1%) Trong giai on 2010-2012, t l d ỏn lut, phỏp lnh cú Bỏo cỏo RIA nh sau: Nm 2010: 22/25 (92%) Nm 2011: 13/13 (100%) Nm 2012: 8/8 (100%) Ngun: ỏn ỏnh giỏ tỏc ng ca ch nh RIA Lut Ban hnh bn quy phm phỏp lut nm 2008 Vin Khoa hc Phỏp lý thc hin nm 2011-2012 TRUNG TM THễNG TIN T LIU S 6/2013 21 V cht lng bỏo cỏo RIA, mc dự ó cú nhng tin b, nhng ni dung bỏo cỏo cũn mt s tn ti sau: V xỏc nh bt cp: Cỏc bỏo cỏo khụng nờu c mt cỏch rnh mch bt cp cn phi gii quyt trờn thc t, hu qu tiờu cc ca thc trng ny v gii thớch nguyờn nhõn Nhiu bỏo cỏo RIA vin dn rng khụng cú VBQPPL l mt bt cp, hay mụ t bt cp mt cỏch chung chung nh cha ỏp ng c nhu cu thc tin, nhu cu qun lý nh nc Mt s bỏo cỏo RIA ó trỡnh by mt cỏch khụng cn thit v kt qu tớch cc ca quy nh hin hnh, thay vỡ ch nờn trung vo nhng bt cp cn phi gii quyt Cú bỏo cỏo RIA s b thiu hn phn xỏc nh bt cp (vớ d: Phỏp lnh sa i, b sung mt s iu ca Phỏp lnh tớn ngng, tụn giỏo) V mc tiờu ca chớnh sỏch: Cỏc bỏo cỏo RIA nờu mc tiờu cũn chung chung, khụng thc s gn vi vic khc phc nhng hu qu c th ca cn gii quyt Nhiu bỏo cỏo cũn cỏc li thng gp, nh nhm ln gia phng ỏn chớnh sỏch vi mc tiờu, hoc coi vic thc hin vai trũ qun lý nh nc, to c s phỏp lý hoc hon thin h thng phỏp lut l mc tiờu cn thc hin, v.v V cỏc phng ỏn gii quyt : - Nhiu bỏo cỏo RIA s b ch a phng ỏn, ú l: (i) gi nguyờn hin trng; v (ii) xut ban hnh VBQPPL Tuy nhiờn, phng ỏn xut ban hnh VPBQPL thng khụng mụ t chi tit chớnh sỏch c th no d kin a vo bn, vỡ th, vic ỏnh giỏ tỏc ng phng ỏn ny khụng cú ý ngha - Nhiu bỏo cỏo cũn thiu phng ỏn Gi nguyờn hin trng Cỏc phng ỏn nờu cỏc bỏo cỏo RIA v d tho VBQPPL cho thy cỏc ban son tho thiờn v vic s dng cỏc bin phỏp can thip hnh chớnh trc tip, cha tớnh n nhng bin phỏp can thip giỏn tip cú th t c mc tiờu vi mc chi phớ thp hn cho xó hi V ỏnh giỏ tỏc ng cỏc phng ỏn: - Hu ht, cỏc bỏo cỏo RIA s b khụng phõn tớch cỏc tỏc ng tiờu cc v tớch cc theo ỳng ngha, m ch nờu tỏc ng chung chung mang tớnh lý thuyt Vớ d tỏc ng tiờu cc l s lm tng chi phớ nghiờn cu, son bn, tuyờn truyn nõng cao nhn thc, v.v Cỏc ngh xõy dng bn cng ớt trỡnh by c nhng ni dung chớnh sỏch c bn vi cỏc la chn gii phỏp c th Thay vỡ ú, bn thuyt minh ch lit kờ tờn ca cỏc chớnh sỏch s c a vo d tho bn, hay cng bn - Mt s bỏo cỏo thiu s liu phc v vic phõn tớch, thm khụng cú bng so sỏnh tng hp kt qu phõn tớch ngi c d dng so sỏnh v la chn 22 TRUNG TM THễNG TIN T LIU S 6/2013 Cỏc lun im phõn tớch i vi cỏc phng ỏn xut rt chung chung, cũn mang nng tớnh khu hiu v khụng cú sc thuyt phc Cú th nhn thy thc trng trờn xut phỏt t nhng nguyờn nhõn ch yu sau : Cha cú s liờn h cht ch gia kt qu ca bỏo cỏo RIA vi ni dung chớnh sỏch ngh xõy dng bn hay d ỏn lut, phỏp lnh t phớa c quan son tho cng nh ũi hi t c quan thm tra, thm nh Quy trỡnh RIA cha thc s c coi l c s ca vic xut chớnh sỏch hay linh hn ca bn Cha cú c ch v mt c quan c lp chu trỏch nhim kim soỏt cht lng v quy trỡnh thc hin RIA Theo quy nh hin hnh, cỏc bỏo cỏo thm nh, thm tra ca B T phỏp, Hi ng dõn tc v cỏc y ban ca Quc hi, khụng cn cú ni dung thm tra, thm nh riờng v cht lng bỏo cỏo RIA Cụng tỏc ly ý kin i vi bỏo cỏo RIA cha c chỳ trng t phớa c quan thu thp ý kin cng nh cỏc bờn úng gúp ý kin Trong cỏc bui hi tho ly ý kin, hu nh cỏc ban son tho khụng t cõu hi no tỡm thờm thụng tin nhm hon thin bỏo cỏo RIA Thờm vo ú, vic Lut Ban hnh VBQPPL t khung thi gian ly ý kin i vi d tho RIA l ớt nht 30 ngy, cũn d tho bn l 60 ngy S khỏc bit ny to n tng rng RIA cú th c thc hin sau ó hon thnh d tho bn, v kt qu ca bỏo cỏo RIA khụng cú s liờn h cht ch vi d tho bn Theo Ngh nh 24, cỏc tỏc ng cn ỏnh giỏ l kinh t, xó hi, mụi trng, h thng phỏp lut, tỏc ng n quyn v ngha v c bn ca cụng dõn, kh nng tuõn th ca c quan, t chc, cỏ nhõn v cỏc tỏc ng khỏc So vi thc tin trờn th gii, quy mụ cỏc tỏc ng cn ỏnh giỏ theo quy nh ca Ngh nh 24 l quỏ rng, nht l bi cnh Vit Nam mi bt u thc hin RIA v cũn cú nhng hn ch v ngun lc Theo thụng l quc t, ch cn trung ỏnh giỏ loi tỏc ng: kinh t, xó hi v mụi trng Nu cú bt k tỏc ng c thự no khỏc i vi xut thỡ cng cú th tin hnh ỏnh giỏ Cỏc c quan son tho s phi thc hin RIA sau thi hnh bn nm Quy nh ny hu nh cha c thc hin Vit Nam Vic thc hin bỏo cỏo RIA sau thc thi cú khú khn l bỏo cỏo RIA son tho cha chun, nờn khụng cú cn c so sỏnh Thờm vo ú, ngun lc ca cỏc cỏn b son tho bn l cú hn Thụng thng, cỏc nc trờn th gii cng khụng cú quy nh v thc hin RIA sau thi hnh bn, vi lý l nh nc nờn dnh ngun lc kim soỏt cht lng bn trc c ban hnh thỡ s hiu qu hn Vừ Th Lan Phng, 2013 TRUNG TM THễNG TIN T LIU S 6/2013 23 Cha nhn thc y v tm quan trng ca RIA ca cỏn b, k c cp lónh o ton b quỏ trỡnh xõy dng bn Trong nhiu trng hp, quy trỡnh RIA khụng c s dng quỏ trỡnh tho lun chớnh sỏch, son tho, thm nh v thm tra bn K nng phõn tớch chớnh sỏch thụng qua cụng c RIA ca cỏn b son tho cha ỏp ng c yờu cu t ra, mc dự B T phỏp ó ban hnh hng dn chi tit bng bn5 Thờm vo ú, bỏo cỏo RIA hin khụng bt buc phi theo mu nht nh nh hng dn, ú, mt s bỏo cỏo thiu cỏc cu phn cn thit v trỡnh by nhng ni dung khụng liờn quan Thiu ngun lc u t cho vic thc hin nghiờn cu, kho sỏt v mua d liu Theo kho sỏt ca Chng trỡnh Chng trỡnh Ci thin Cht lng Chớnh sỏch (PERQ) t nm 2011, cú n 80% s ngi c hi cho rng kinh phớ cp cho thc hin RIA l khụng Theo Thụng t 192/2010/TTLT-BTC-BTP-VPCP ngy 2/12/2010, ngõn sỏch cho vic thc hin RIA ch t triu vi RIA n gin cho n triu ng (RIA y ) Cha cú c quan thng trc h tr vic thc hin RIA, thụng qua vic hng dn, o to, cung cp c s d liu dựng chung (vớ d: cỏc s liu thng kờ, thụng s tớnh toỏn c bn) v cụng c tr giỳp tớnh toỏn (vớ d: Bng tớnh t ng vi quy trỡnh tiờu chun ca Australia6) III.2 Khuyn ngh vic t chc thc hin RIA ti Vit Nam Theo cỏc chuyờn gia ca OECD v USAID, chc nng iu hnh bng quy nh ca Chớnh ph l: Chc nng hoch nh chớnh sỏch, phi hp chớnh sỏch, tớnh chuyờn nghip ca cụng tỏc xõy dng bn quy phm phỏp lutvn c ỏp dng ph bin cỏc nn kinh t phỏt trin hu nh cha c quan tõm ỳng mc ti Vit Nam Vn c bn ca b mỏy iu hnh Vit Nam l s yu kộm ca chc nng iu hnh c bn v cỏc chc nng ny hu nh cha c th ch húa v thc hin mt cỏch cú h thng tt c b mỏy nh nc Vic thc hin thiu hiu qu cỏc chc nng c bn trờn ó lm mụi trng th ch ca Vit Nam khụng thun li cho hot ng sn xut, kinh doanh ca doanh nghip v i sng ca ngi dõn Tham kho: - Hng dn mu Bỏo cỏo ỏnh giỏ tỏc ng RIA s b ca B T phỏp Cụng 9678/BTP-VCXPL ngy 06/12/2012 - S tay son tho, thm nh, ỏnh giỏ tỏc ng bn ca bn quy phm phỏp lut, truy cp ti http://moj.gov.vn/htpl/en/Documents/Material%202012/sotaykythuatsoanthao.pdf Vớ d: Bng tớnh Chi phớ Kinh doanh ca Doanh nghip ca Chớnh ph c http://www.finance.gov.au/obpr/proposal/handbook/Content/08-appendix-b-business-costcalculator.html 24 TRUNG TM THễNG TIN T LIU S 6/2013 Mc ớnh ca RIA l nhm ci thin cht lng th ch tng th ca mt quc gia v qun lý mụi trng th ch nhm hn ch cỏc tỏc ng tiờu cc v ti a húa li ớch cho xó hi, mụi trng v nn kinh t Mt thỏch thc m cỏc chớnh ph, ú cú Vit Nam, khụng ngng phi gii quyt l nõng cao tớnh hiu qu cụng tỏc son tho v ban hnh quy nh, chớnh sỏch Nhng thay i v tỡnh hỡnh kinh t, nhu cu xó hi hay mụi trng ũi hi chớnh ph phi thay i cỏch thc can thip ca mỡnh RIA l cụng c cn c thc hin y Vit Nam nhm m bo ch thc hin nhng can thip ti u em li kt qu tớch cc nht cho ton xó hi RIA cú th c tin hnh va tng th, ton din; va a ng, chia ct v tng phn Tng th v ton din cú ngha l ỏnh giỏ tỏc ng trờn tt c cỏc mt, cỏc khớa cnh; cũn chia ct, tng phn tc l ch ch ý n tỏc ng mt lnh vc, hoc mt s nhúm tỏc ng Kinh nghim quc t cho thy cỏc nc i trc chỳ ý nhiu n vic ỏnh giỏ tỏc ng v mt kinh t ca d lut Trong ú, trung nhiu nht vo ỏnh giỏ tỏc ng i vi doanh nghip v mụi trng kinh doanh vi hai cp : ỏnh giỏ chi phớ tuõn th th tc hnh chớnh ca doanh nghip; ỏnh giỏ tỏc ng i vi doanh nghip cỏc nc, c quan son tho chớnh sỏch, bn quy phm phỏp lut phi l ni tin hnh thc hin RIA, khụng thuờ bờn ngoi Nu thuờ, ch thuờ mt s cụng vic nh thu thp thụng tin, hp thụng tin.v.v nhm nõng cao v rng buc trỏch nhim ca c quan son tho i vi cht lng quy nh ban hnh; ng thi nõng cao nng lc ca c quan son tho qua va hc va lm Theo kinh nghim quc t, cn ớt nht ba yờu cu sau õy ỏp dng RIA vo quy trỡnh lm lut Th nht, cn a cụng on RIA vo quy trỡnh son tho v ban hnh cỏc bn quy phm phỏp lut ca quc gia; v RIA l mt hot ng bt buc quy trỡnh ú Th hai, cn thit lp c quan trung ng, c lp vi cỏc b, cú nng lc v thm quyn, chuyờn trỏch kim soỏt cht lng ca RIA cỏc c quan son tho thc hin Th ba, xõy dng v phỏt trin nng lc, k nng ti thiu v thc hin RIA cỏc b, c quan khỏc cú liờn quan n quy trỡnh son tho bn phỏp lut Nh trờn ó phõn tớch, mi quc gia cú th iu chnh mt chỳt cỏc bc tin hnh RIA nhm m bo thớch ng ti tỡnh hỡnh kinh t - xó hi c th Vit Nam, RIA c tin hnh qua cỏc bc nh sau: Bc mt, nhn din v ỏnh giỏ s b; Bc hai, xõy dng k hoch ỏnh giỏ d bỏo tỏc ng s b v k hoch tham vn; Bc ba, tham cỏc i tng tham gia; Bc bn, thu thp, phõn tớch s liu v tho lun cỏc kt qu nghiờn cu; Bc nm, xõy dng bỏo cỏo ỏnh giỏ d bỏo tỏc ng y ; v bc sỏu, ban hnh chớnh sỏch v ỏnh giỏ tỏc ng sau ban hnh TRUNG TM THễNG TIN T LIU S 6/2013 25 Hot ng ỏnh giỏ tỏc ng bn QPPL thc hin cú hiu qu s khụng ch gúp phn gim thiu tỡnh trng nhiu bn i thiu minh bch, kh thi m cũn to iu kin thun li cho hot ng thng mi quc t Lut Ban hnh bn QPPL (sa i) ca Vit Nam cn a quy trỡnh ỏnh giỏ tỏc ng vo cỏc cụng on xut xõy dng lut, phỏp lnh, ngh nh, giai on son tho v giai on thc thi bn cỏc bn ny Cú quan im cho rng, nờn tin hnh RIA vi mi bn quy phm phỏp lut vỡ nu tin hnh RIA cỏc quyt nh ca B trng, Th tng Chớnh ph cng s bo m cht lng tt hn Trong trng hp ú, cú th ch cn ỏp dng quy trỡnh RIA n gin (light RIA) m khụng cn phi xõy dng RIA y (full RIA) Nu mt h thng phỏp lut n gin hn, ớt hỡnh thc bn hn thỡ vic ỏp dng RIA cng tr nờn thun li hn Trong giai on lp Chng trỡnh xõy dng lut, phỏp lnh Khi xut xõy dng mt d lut, phỏp lnh cng nh trỡnh d lut, phỏp lnh, cn cú Bỏo cỏo ỏnh giỏ tỏc ng ca chớnh sỏch, ca bn n phỏt trin kinh t - xó hi - mụi trng gim thiu nhng ri ro xut phỏt t cỏc quy nh, chớnh sỏch; gim chi phớ v tng li ớch ca cỏc d tho lut, phỏp lnh Xõy dng bỏo cỏo ỏnh giỏ tỏc ng phỏp lut cho mi d tho lut, phỏp lnh hay xut lut, phỏp lnh l mt nhng phng phỏp tt giỳp cho vic ỏnh giỏ cỏc xut xõy dng lut c minh bch v thuyt phc Tuy nhiờn, giai on ny ch nờn cú nhng ỏnh giỏ tỏc ng cú tớnh s b (RIA n gin) Giai on son tho Trong giai on son tho, vic ỏnh giỏ tỏc ng giỳp cho c quan son tho, ban son tho trỏnh c tỡnh trng o cy gia ng, giỳp cho vic son tho cỏc o lut cht lng hn, bo m cỏc chớnh sỏch hp lũng dõn v cú s cõn nhc, la chn cỏc gii phỏp hiu qu, ớt chi phớ hn iu 31 Khon D tho Lut Ban hnh bn QPPL (sa i) quy nh trỏch nhim ca c quan, t chc ch trỡ son tho d tho lut, phỏp lnh vic ỏnh giỏ tỏc ng ca d tho, xõy dng bỏo cỏo ỏnh giỏ tỏc ng v ng ti bỏo cỏo ny trờn website ca Chớnh ph hoc c quan ch trỡ son tho Tng t, iu 58 Khon quy nh trỏch nhim ca c quan, t chc ch trỡ son tho v ng ti bỏo cỏo ỏnh giỏ tỏc ng ca bn trờn website ca Chớnh ph hoc c quan ch trỡ son tho xõy dng d tho ngh nh ca Chớnh ph Vic ng ti, cụng b cỏc Bỏo cỏo ỏnh giỏ tỏc ng phỏp lut s l c s quan trng cỏc c quan cú thm quyn quyt nh v xem xột th t u tiờn ca mt d lut; ngoi ra, nu cụng b rng rói d tho Bỏo cỏo RIA cho cụng chỳng thỡ cng l c hi tt hon thin bỏo cỏo Bỏo cỏo RIA cui cựng c chuyn n cỏc c quan liờn quan: B trng, c quan thm nh, Chớnh ph v sau cựng l Quc hi (nu l lut), U ban thng v Quc hi (nu l phỏp lnh) Cỏc c quan ny c mi s dng bn bỏo cỏo RIA 26 TRUNG TM THễNG TIN T LIU S 6/2013 tho lun v d tho C quan thm tra ca Quc hi cng s s dng bn bỏo cỏo RIA quỏ trỡnh lp phỏp Cỏc chng c c trỡnh by bn bỏo cỏo RIA s giỳp cỏc bờn tranh lun v cỏc giỏ tr ca xut /hoc d tho lut Giai on sau ban hnh bn iu 93 D tho Lut Ban hnh bn quy phm phỏp lut (sa i) quy nh c quan ch trỡ son tho lut, phỏp lnh, ngh nh cú trỏch nhim ỏnh giỏ tỏc ng ca bn mỡnh son tho sau hai nm bn cú hiu lc thi hnh Vic n nh thi gian sau hai nm bn cú hiu lc thi hnh phi tin hnh ỏnh giỏ RIA cha phi l mt gii phỏp tha ỏng; nhng sau bao lõu l phự hp thỡ ph thuc nhiu vo tng bn Nu mi RIA u c thc hin theo chun mc, lm tt thỡ cú th ỏnh giỏ bn sau nm sau bn c thc thi Gii phỏp cú th l c quan ch trỡ son tho t quyt nh thi im cn ỏnh giỏ RIA sau mt thi gian thc thi; cng cú th l yờu cu t chớnh c quan ban hnh bn, hoc Th tng quyt nh (cng nh cú nc, Th tng quyt nh s phi tin hnh ỏnh giỏ RIA cho mt d lut no ú) Trng hp quy nh cú tớnh cht ộp buc nh trờn cng ch l bin phỏp tỡnh th iu kin RIA cha thc s c quan tõm Kt qu ỏnh giỏ vic thc hin RIA giai on 2010-2012 ó cho thy vic tuõn th quy nh v RIA nm 2012 ó c ci thin v lng (c bit l i vi RIA son tho) Tuy nhiờn, vic thc hin RIA cha ỏp ng c yờu cu theo quy nh phỏp lut v thc tin xó hi, v cha gúp phn thay i hon ton húa lp phỏp Khi sa i ch nh RIA Lut Ban hnh VBQPPL thỡ cn t mc tiờu sau: (i) RIA phi thc s c coi l phng phỏp t bt buc son tho bn phõn tớch v la chn gii phỏp chớnh sỏch mt cỏch hu hiu; v (ii) cỏc quy nh v ngha v thc hin RIA ca c quan son tho, thm tra, thm nh cn phự hp vi trỡnh v ngun lc thc t t c mc tiờu trờn, nờn cõn nhc nhng khuyn ngh sau7: Yờu cu phỏp lý i vi RIA Bỏo cỏo RIA phi l c s xõy dng ngh xõy dng bn cỏc ni dung c th ca d tho Trng hp, ni dung d tho khụng thng nht vi Bỏo cỏo RIA thỡ cú gii trỡnh rừ rng T trỡnh d tho Nờn b bt yờu cu phi cú ỏnh giỏ tỏc ng tớch cc v tiờu cc ca chớnh sỏch bỏo cỏo RIA s b Ni dung ca bỏo cỏo RIA s b nờn ch dng li bc u tiờn, ú l xỏc nh bt cp, xỏc nh mc tiờu v lit kờ cỏc gii phỏp d kin8 Cỏc gii phỏp chớnh sỏch ny s bao gm: (i) gi nguyờn Vừ Th Lan Phng, 2013 Tham kho bỏo cỏo RIA s b (hay gi l RIA gii phỏp) ca Australia http://www.finance.gov.au/obpr/proposal/handbook/Content/04-what-is-an-options-stageris.html TRUNG TM THễNG TIN T LIU S 6/2013 27 hin trng (khụng can thip); (ii) can thip giỏn tip; v (iii) can thip trc tip bng quy nh (quy nh truyn thng) giai on ngh xõy dng bn, iu quan trng nht l chng minh c l s cn thit phi ban hnh bn v nờu c nh hng ln Vic trỡnh by cỏc tỏc ng tớch cc, tiờu cc ca chớnh sỏch bn thuyt minh v ngh xõy dng lut, phỏp lnh (nh quy nh ti iu ca Ngh nh 24) l hi nng so vi yờu cu thc t ca giai on ny Khụng cn thit phi phõn loi RIA n gin v RIA y nng lc thc hin ca c c quan son tho ln c quan thm tra, thm nh cũn cú bt cp Rt khú cú th giỏm sỏt vic tuõn th vi cỏc tiờu hin ang nờu Mc 3, iu 38 ca Ngh nh 24 Ngng chi phớ 15 t ng l quỏ nh i vi mt bn, cỏc tiờu khỏc khú xỏc nh c th Do vy, Lut ch nờn yờu cu thc hin bỏo cỏo RIA mc chi tit theo nhu cu c th tựy theo tm quan trng ca ngh xõy dng VBQPPL Ch nờn ỏp dng mc phõn loi ny ó cú mt c quan kim soỏt v h tr vic thc hin RIA v c quan ny s quyt nh loi bỏo cỏo RIA no l thớch hp9 Mi bn thuyt minh ngh bn hay d tho bn cn kốm theo bỏo cỏo RIA ly ý kin Khung thi gian ly ý kin v bỏo cỏo RIA nờn c sa i theo hng bng vi khung thi gian ly ý kin ca d tho VBQPPL, tc l ti thiu 60 ngy Gim bt s loi tỏc ng bt buc phi ỏnh giỏ bỏo cỏo RIA ca d tho VBQPPL xung ch cũn loi, bao gm tỏc ng kinh t (c bit l doanh nghip va v nh), xó hi v mụi trng Cỏc tỏc ng liờn quan khỏc cú th c ỏnh giỏ, nu phự hp, nhng khụng nờn mang tớnh bt buc Hoón thc hin bỏo cỏo RIA sau thi hnh bn thi gian ti, cho n quy trỡnh RIA trc ban hnh c hon thin Vi ngun lc rt hu hn, cỏc c quan son tho nờn trung vo vic m bo cht lng RIA trc ban hnh u tiờn cho RIA trc thc thi s mang li li ớch ln hn cho xó hi Nõng cao nhn thc, k nng v kin thc Nờn quy nh cỏc cỏn b, cụng chc tham gia vo cụng tỏc son tho, thm tra, thm nh bn QPPL, cng nh i biu Quc hi phi bt buc tham gia khúa hun c bn v RIA Nờn yờu cu cỏc cỏn b, cụng chc son tho bn s dng Danh mc t kim tra cht lng RIA 28 Tham kho kinh nghim cú liờn quan ca C quan Thc hnh Quy nh Tt nht ca Australia http://www.finance.gov.au/obpr/proposal/handbook/Content/04-what-is-an-optionsstage-ris.html TRUNG TM THễNG TIN T LIU S 6/2013 Cn trin khai cỏc khúa hun chuyờn sõu v RIA nõng cao nng lc thc hin RIA, trc mt trung cho nhúm cỏn b phõn tớch chớnh sỏch ch cht cỏc b v c quan ngang b, c bit l cỏn b phỏp ch Thnh lp mt c quan chuyờn trỏch ph trỏch RIA Trao cho mt c quan chuyờn trỏch chc nng thỳc y v m bo vic tuõn th RIA10 C quan ny nờn cú nhng nhim v sau: - Kim tra cht lng bỏo cỏo RIA trc trỡnh Chớnh ph, Quc hi; - Hng dn cỏc c c quan son tho vic thc hin RIA v ly ý kin; - Cung cp s liu thng kờ, xõy dng v cp nht h thng d liu cú th s dng chung (vớ d: giỏ tr lao ng/gi) hay cỏc mụ hỡnh tớnh toỏn chun11 Nõng cao hiu qu ca ch nh RIA Tng ngõn sỏch cho vic thc hin RIA, c bit l cho cỏc hot ng nghiờn cu Cỏc c quan thm tra, thm nh nờn a cht lng bỏo cỏo RIA vo ni dung thm tra, thm nh Cú th s dng Bng chm im n gin ỏnh giỏ cht lng bỏo cỏo RIA ng thi, cng nờn tho lun v ngh hay d tho bn trờn c s kt qu phõn tớch ca bỏo cỏo RIA, thay vỡ thúi quen tho lun ngụn ng c th d tho bn Nờn cõn nhc vic bt buc in bng Túm tt bỏo cỏo RIA s b v RIA son tho Tỏc dng ca vic in ni dung bỏo cỏo theo mu l giỳp cho c quan son tho khụng b sút nhng ni dung cn ỏnh giỏ v khụng phõn tớch lc c túm tt bỏo cỏo theo mu ny cng giỳp cho c quan thm tra, thm nh hay cỏc i tng cú liờn quan nm bt c ni dung ca bỏo cỏo RIA nhanh hn Cỏc khuyn ngh trờn cú th c thc hin theo tng giai on cho phự hp vi cỏc hot ng ci cỏch xõy dng phỏp lut Vit Nam, c bit quỏ trỡnh sa i Lut Ban hnh VBQPPL Tuy nhiờn, vic tng cng giỏm sỏt cht lng RIA v nõng cao nng lc phõn tớch l hot ng cn c u tiờn nht Cng cn nhn mnh li mt ln na rng RIA khụng ch n thun l mt bỏo cỏo, m giỏ tr thc s ca nú c nhn bit RIA c s dng nh l mt quy trỡnh hay phng phỏp t Cụng c RIA s giỳp cho quỏ trỡnh xõy dng chớnh sỏch minh bch hn v thu hỳt c s tham gia ca cỏc bờn liờn quan nhiu hn, t ú, s ci thin c cht lng bn Mt ch nh RIA tt s bin c hi thnh li ớch thit thc cho hot ng xõy dng phỏp lut v phỏt trin ca t nc./ 10 Tham kho mụ hỡnh t chc ca C quan Thc hnh Quy nh Tt nht (Office of Best Practice Regulation OBPR), C quan Thụng tin v Th ch (Office of Information and Regulatory Affairs OIRA thuc Vn phũng Qun lý v Ngõn sỏch ca Nh Trng) 11 Tham kho phn mm tớnh chi phớ li ớch ca Chớnh ph Australia TRUNG TM THễNG TIN T LIU S 6/2013 29 STRENGTHENING THE EFFECTIVENESS OF APPLYING REGULATORY IMPACTS ASSESSMENT (RIA) IN VIETNAM The actual execution of laws in our country has shown that the system of legal documents in Vietnam is best described as a forest of provisions with numerous overlapped and contrary Laws and Decrees After having been applied for some time, a huge part of the legislation has become out-of-fashion and is inappropriate to meet the demands of a changed reality Besides, some newly issued legal documents havent taken effect but have rather proven to have unfeasible implications Additionally, one of the important steps in the establishment of legal documents is to consult the community In fact, in Vietnam at present, there is a lack of tools to analyze policies in a scientific manner to ensure that laws have satisfied the peoples' needs Due to the impacts of international integration, a harmonized process of establishing legal policies is a requirement to ensure the similarity for economic development RIA will be a good tool for the establishment of legal policies, clearly determining which objectives need to be met in order to minimize undesirable impacts This ensures the adequacy of the means in applying legal tools and policies to the ends of such size Then, sustainable legal policies suitable to natural and social rules will exist longer, ensuring the effectiveness of policies and promoting the socio-economic development in a more rapid and sustainable manner I Concept and significance of the Regulatory Impact Assessment (RIA) I.1 General concept Regarding its concept, as defined by the OECD, Regulatory Impact Assessment (RIA) is a tool of making decisions in a systematic manner, which is used to check and measure possible interests, expenses and impacts of a current regulation, and it is often used in the public area to evaluate different circumstances, laws or policies RIA includes the following processes: (i) analysis of possible impacts of a policy change and methods of making such change, and (ii) dissemination of information, results of the analysis and the evaluation to policy makers and the people In fact, in addition to some key factors, an unique correct model is not available to implement RIA systems The appropriate itinerary to reform policies and regulations will depend on political, cultural and social characteristics of each country I.2 Elements constituting RIA A RIA process often includes the following four elements: (i) Identification of objectives and scope of RIA; (ii) Consultation with the people affected by RIA; 30 TRUNG TM THễNG TIN T LIU S 6/2013 (iii) Supervision of quality via independent appraisal and other regimes; (iv) Methods of data collection Basically, a RIA report often includes the following basic steps: Firstly, to identify the issue; Secondly, to make policy plans; Thirdly, To consult (as far as possible) relevant parties to obtain the optimum plan, with certain priorities in the plan determined in the second stage; Fourthly, to complete a RIA report in which expenses and interests of the selected plan shall be stated in detail; Fifthly, to apply policies real circumstances; Finally, policy makers shall continue the evaluation after policies have been implemented If any adjustment of policies is required through a new round of assessments, a new RIA cycle shall be conducted The above-mentioned steps are intended to deal with the following three main points: firstly, to identify the issue to be adjusted and state clearly risks which may occur; secondly, to determine a list of solutions and evaluate their impacts; thirdly, to analyse, consult and perfect recommendations In theory, there are a number of methods for analysis and evaluation such as cost-benefit analysis, evaluation of a policies effectiveness, or risk analysis Every analysis should include the following elements: risk analysis, analysis of impacts on the level of competition and markets and Cost-Benefit nalysis I.3 Significance of RIA The general objective of an RIA is to assist the governments of countries to make policies in a more effective manner Therefore, the benefit of using RIA is to improve the quality of legal documents, through which to improve the competitiveness of an economy, to increase social equality, minimize legal risks, increase the responsibility for policy actions as well as results and, at the same time reduce errors in policy making However, it is noted that RIA is not a solution for all policy problems In addition to its advantages, during the course of its application in developing countries and transition economies, this tool is also exposed to numerous problems which are need to be studied and for which one has to adjust II Experiences of applying RIA in some areas in Japan II.1 Assessment of policy impacts in Japan Up to the late of 1990s, attention has just been paid to the assessment of policy impacts as RIA was applied in Japan Subject to Article of the Law on the Assessment of Policy Impacts, the purpose of the assessment of policy impacts in Japan is: (i) to speed up the administrative process in an effective and productive manner by applying administrative skills with high and effective quality and the lowest necessary costs for the people, and at the same time, improve the authority's capability for policy making; (ii) to transform the administrative process in a way TRUNG TM THễNG TIN T LIU S 6/2013 31 that it pays attention to achievements and is based on the peoples' viewpoints; (iii) To increase the administrative agencies responsibility to communicate policies to the people so as to ensure the peoplessupport through improved transparency of the administrative process The process of the assessment of policy impacts in Japan is conducted on the basis of the self assessment principle Accordingly, ministries and departments shall assess their policy impacts by themselves and have the obligation to reflect on the results to the policy assessments The assessment of policy impacts is conducted based on the following main methods, namely: project evaluation (costbenefit analysis), performance measurement, and program evaluation The results of the assessment of policy impacts are directly and practically reflected in the national budget Although numerous advantages have been promoted, in fact the assessment of policy impacts in Japan has also revealed certain limitations For example, it is impossible to investigate explanations because the regime for investigation of explanations is not available at present and the National Assembly has not yet strictly conducted investigations, and the researchers actual knowledge is still restricted II.3 Experiences of applying RIA in Iwante Japan The target of the assessment of policy impacts in Iwante is to review policies in the province with the following contents: What for? (target); Is it really necessary? (necessity); How can the life of the people in the area be changed? (effectiveness); Is the effectiveness higher than the costs paid? (productivity) The target is to conduct the administrative process on the basis of respect for achievements and from the peoples' viewpoint The assessment of policy impacts in Iwate is categorized into two main types including the assessment of policy impacts and the assessment of the work (things) Of these two categories, the work assessment includes three points, namely, the evaluation of policies, the evaluation of public projects and the evaluation of large-size projects The process of the assessment of policy impacts in Iwate has been conducted with the participation of local people at most stages of the evaluation process At the same time, the committee of the assessment of policy impacts (the third committee) of the province acts as a professional agency conducting the self-evaluation It has the duty to provide consultancy to the provincial Chairman on the fulfilment of the respective policy assessment conducted by the province, as a basis for the province to decide on whether to continue the policy or to temporarily or permanently suspend the project The system of assessment of policy impacts in Iwate has the following characteristics: the mechanism is based on clear regulations and laws The 32 TRUNG TM THễNG TIN T LIU S 6/2013 assessment of policy impacts must strictly reflect and publish the peoples' desire in the province Thanks to the strict application of assessment of policy impacts, the nature of policy making in Iwate has changed and is now conductedin a more effective manner III Status of RIA application in Vietnam and some recommendations III.1 Status of RIA application in Vietnam III.1.1 Legal basis for RIA policies in Vietnam Pursuant to the Law on the Promulgation of Legal Documents and Decree 24/2009/ND-CP (Decree 24), RIA must be conducted in stages including the establishment of laws, ordinances and decrees: (i) Proposing stage: clause of Article 23 and clause 1, Article 59 of the Law on the Promulgation of Legal Documents (preliminary RIA); (ii) Drafting stage: clause of Article 33 and clause of Article 61 of the Law on the Promulgation of Legal Documents (simple RIA and full RIA, hereinafter collectively referred to as drafting RIA); and (iii) Post 3-year enforcement stage from the effective date of the legal document: Article 39 of Decree 24 (post-enforcement RIA) Pursuant to the Law on the Promulgation of Legal Documents, only laws, ordinances and decrees (collectively referred to as documents) are required to apply RIA III.1.2 Actual status of RIA application in Vietnam Over the past years of enforcement, up to present no official report on RIA enforcement has been provided Hhowever, as evaluated by RIA experts under the Program for Enhancing Regulatory Quality (PERQ), the RIA application is only being conducted in a formal and procedural manner RIA reports have low quality, so they are not considered as policy basis for providing specific advice for drafting legal documents This situation is due to the following main reasons: Drafting agencies, submitting agencies, appraising agencies, verifying agencies, as well as officials directly involved in the establishment of legal documents fail to be fully aware of the role and importance of RIA The team of organizations and individuals involved in the RIA enforcement are not fully and comprehensively instructed in terms of the relevant level proficiency and special knowledge No mechanism for supporting and controlling compliance with the process and RIA quality assessment has been provided, and especially the financial resources and skills of RIA practitioners are very limited TRUNG TM THễNG TIN T LIU S 6/2013 33 Regarding the quality of the RIA reports there are still some shortcomings when it comes to the identification of problems, the provision of policy objectives, the presentation of solutions for dealing with problems and the impact assessment of methods, although substantial progress has been made, It can be realized that such situations arise for the following main reasons: There is no close connection between the RIA report results and the policy contents in the proposed establishment of legal documents or law and/ordinance projects No mechanisms have been available and an an independent agency has not yet been established to be responsible for control and verification of the quality and the enforcement of the RIA process No attention has been paid to the seeking of opinions with respect to RIA reports, neither by the consulting agency nor by the opinion providers In comparison to global reality, the size of impacts to be assessed as stipulated is too large, especially in the context of Vietnam RIA has just been introduced and there are some resource constraints There are some difficulties relating to the post-enforcement RIA report due to the fact that the RIA report is not correctly drafted, so there are no grounds for comparison In addition, the resources of drafting officials is limited Concurrently, officials, including the leading ones, failed to be fully aware of the importance of RIA in the whole process of the establishment of legal documents In some cases, the RIA process has not been used during the process of discussion Policy analysis skills through RIA of drafting officials failed to satisfy the proposed requirements There is a lack of funding for the research, survey and purchase of data A standing agency in charge of supporting the RIA enforcement is not available to provide instructions, training and supply of a shared database III.2 Recommendations on the organization of RIA enforcement The results of RIA assessments during the 2010-2012 period have shown that compliance with provisions on RIA in 2012 has been improved in terms of its quantity (especially in terms of RIA on drafting) However, the RIA enforcement fails to satisfy requirements as provided by laws and social reality, and fails to make contributions to completely change the legislative culture To overcome this, specific recommendations mainly focus on the contents relating to legal requirements with respect to RIA, improve the awareness, skills and knowledge on RIA, establish an agency specialized in RIA, and improve the effectiveness of RIA policy 34 TRUNG TM THễNG TIN T LIU S 6/2013 TI LIU THAM KHO Lờ Duy Bỡnh, Vic ng dng RIA ti mt s Quc gia trờn th gii v ti Vit Nam Nguyn Minh oan, Cỏc tiờu ỏnh giỏ tỏc ng ca bn quy phm phỏp lut, Tp Nghiờn cu lp phỏp Online www.nclp.org.vn GTZ, Guideline for Implementation of a Regulatory Impact Assessment (RIA) Process in Vietnam, 2005 Hiromitsu Muta, Hot ng ỏnh giỏ ti Nht Bn, Trung tõm Phỏt Trin Quc t Kiyoshi Yamaya, ỏnh giỏ chớnh sỏch ti Nht Bn: Lch s v cỏc tng lai, i hc Doshisha JICA, Ch ỏnh giỏ chớnh sỏch ca tnh Iwate, Chng trỡnh Nghiờn cu ỏnh giỏ chớnh sỏch Vit Nam, 2013 Masafumi Sugano, Japans Experience and Perspectives on Good Regultatory Pracice OECD (1997), Regulatory Impacts Analysis Best Practices in OECD countries OECD, Xõy dng khung kh thc hin RIA: Cỏc cụng c phõn tớch cho cỏc nh hoch nh chớnh sỏch, Ging dy Kinh t Fulbright Niờn khúa 2012-2014 10 Vừ Th Lan Phng, Hon thin ch nh RIA Lut Ban hnh Vn bn Quy phm Phỏp lut, Chng trỡnh Ci thin Cht lng Chớnh sỏch (PERQ), 2013 11 Raymond Mallon, ỏnh giỏ D bỏo Tỏc ng Phỏp lut (RIA) ti Vit Nam: Ti v Bng cỏch no?, Ta m v RIA vi B T phỏp, 2005 12 Nguyn Kim Th Thoa, Nguyn Th Hnh, ỏnh giỏ tỏc ng phỏp lut, Tp Nghiờn cu lp phỏp Online www.nclp.org.vn 13 Nguyn Thanh Tun, S dng cụng c ỏnh giỏ d bỏo tỏc ng phỏp lut (RIA) quỏ trỡnh hoch nh chớnh sỏch, Trung tõm Phõn tớch v d bỏo Kinh t xó hi Quc gia TRUNG TM THễNG TIN T LIU S 6/2013 35 ... văn 967 8/BTP-VĐCXPL ngày 06/ 12/2012 - Sổ tay so n thảo, thẩm định, đánh giá tác động văn văn quy phạm pháp luật, truy cập http://moj.gov.vn/htpl/en/Documents/Material%202012/sotaykythuatsoanthao.pdf... (RIA đơn giản) Giai đoạn so n thảo Trong giai đoạn so n thảo, việc đánh giá tác động giúp cho quan so n thảo, ban so n thảo tránh tình trạng đẽo cày đường, giúp cho việc so n thảo đạo luật chất... RIA, hiểu biết RIA chưa đầy đủ Chỉ có 65 ,2% số cán so n thảo 76, 3% cán thẩm tra, thẩm định trả lời câu hỏi trắc nghiệm lựa chọn "RIA văn bản” 51,1% cán so n thảo 59,5% cán thẩm tra, thẩm định