CAPABILITY DEVELOPMENT ON

REGULATORY IMPACT ASSESSMENT

FOR LOCAL GOVERNMENT UNITS

I. INTRODUCTION

Considering the current thrust of the national government to ensure a level playing field by
strengthening market competition and reducing barriers to entry and limits to entrepreneurship
it is exigent for government regulatory to improve ease of transaction and quality of service
delivery. This need is duly laid out in the administration’s 8-Point Socioeconomic Agenda and
the Republic Act 11032, otherwise known as the Ease of Doing Business and Efficient
Government Service Delivery Act of 2018.

Central to the realization of the socioeconomic goals on improving market efficiency and
consumer welfare is implementing a whole-of-government regulatory reform by increasing
regulatory quality and coherence and reducing unnecessary regulatory burden. Regulatory
reform addresses the issue on performance, cost-effectiveness, and legal quality of
regulations and ensures greatest net public benefit arising from regulation. A crucial factor to
the success of large-scale, long term regulatory reform programs is the cultivation of an
appreciation for and an understanding of Regulatory Impact Assessment (RIA) to help ensure
that regulations are as effective and efficient as possible.

RIA is a systemic approach that critically measures the positive and negative effects of
proposed and existing regulations through a rigorous, well-defined, and evidence-based
analysis. As a tool, it has been widely accepted, adopted, and practiced by organizations such
as the OECD and the European Union and countries such as the United States, the United
Kingdom, Australia, South Korea, and Malaysia which have already reaped many benefits for
their people.

With the rapid advancement and confluence of digital, physical, and biological technologies
brought about by the Fourth Industrial Revolution, along with the need to navigate this post-
coronavirus disease pandemic society, conventional regulatory tools and practices can be ill-
equipped for governments to respond appropriately. It is imperative that governments employ
a flexible approach to regulation that allows regulation itself to evolve and keep pace with new
technologies while balancing consumer protection with an openness to innovations. Results-
oriented, evidence-based, and well-enforced regulation frames the ability of governments and
businesses to deliver needed services and produce essential products in a more efficient and
effective manner. Moreover, a robust regulatory management that continually applies good
regulatory practices should be able to prepare governments for future crises and ensure that
public sector productivity will remain.

With the goal of equipping local government units (LGUs) with better understanding of good
regulatory practices through systematic, comparative, and data-driven processes for decision
making and regulation development, implementation, monitoring, and evaluation, the
Development Academy of the Philippines (DAP) intends to provide capability development on
RIA for selected beneficiary LGUs.

II. PROJECT OBJECTIVES

The project aims to enhance the capability of beneficiary LGUs in conducting RIA. At the end
of the project, the selected personnel of the LGUs will be able to:

A. Perform ex ante and/or ex dure or ex post RIA on identified regulations using various
analytical methods; and,
B. Develop Regulatory Impact Statement (RIS)1 for identified regulations that underwent
RIA.

1
RIS is the document produced through RIA.
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 CAPABILITY DEVELOPMENT ON
REGULATORY IMPACT ASSESSMENT
FOR LOCAL GOVERNMENT UNITS

III. PROJECT SCOPE

Since this is a packaged training project, participation is expected in all activities which include
the following:

A. Basic Course on RIA

This course is designed to enable the participants to discuss the importance of RIA in
assessing present and in developing new regulations, determine the roles and
responsibilities of regulators in conducting RIA, and identify the processes in
conducting RIA. Completion of this training course is a prerequisite to the Advanced
Course on RIA.

Expected Outputs : i. Participants can identify the processes in

Mode of Delivery
Duration
Training Hours Credit
Certificate Provision (to
be provided one (1)
month after course
implementation)
conducting RIA and analyze regulations
through different methods of analysis
ii. Completed Preliminary Impact
Assessment of an identified regulatory
proposal
: Synchronous online2 learning through Zoom
: Four (4) consecutive days
: 32 hours
: i. Digital Certificate of Completion for
participants who have attended at least
90% of the course and completed
coursework
ii. Digital Certificate of Participation for
participants who have attended below
90% of the course and completed
coursework

B. Advanced Course on RIA

The DAP Project Team shall conduct this course to enhance the practice of RIA for
the priority agencies. Aside from reviewing the concepts necessary in navigating
through RIA, participants will study a sample completed RIA, measure various
compliance costs arising from regulation, perform detailed RIA on a proposed or
existing regulation, and develop a draft RIS3 for the said identified regulation, including
the parameters for policy/decision-making.

Expected Outputs : i. Participants examined an actual

regulation
ii. Draft RIS for an existing and/or a
proposed regulation4
iii. Action plans to apply learning or to
conduct RIA
Requirement : Participants should have attended the Basic
Course on RIA

2
All instruction is provided via the Internet and no in-person instruction is required. This format is a synchronous
online learning in which the DAP instructor teaches in real time but remotely to a group of learners.
3
A minimum RIS template will be provided to the participants.
4
The regulation that will be subjected to RIA should be the same regulation the agencies had analyzed in the Basic
Course to optimize the learning acquired through the comments given on the respective outputs. The Advanced
Course is an opportunity to enhance and produce a draft full RIA. It will be challenging to the participants if they
will start from scratch as they may not finish on time.
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 CAPABILITY DEVELOPMENT ON
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FOR LOCAL GOVERNMENT UNITS

Mode of Delivery : Mix of in-person/face-to-face in a pre-

Duration
Training Hours Credit :
Certificate Provision :
(to be given one (1)
month after the last
project activity, the
Panel Presentation of
the Results of the
RIA)
identified training venue and synchronous
online through Zoom
: Five (5) consecutive days of in-person
lectures and workshops and one (1) day of
synchronous online presentation of the draft
RIS
45 hours
i. Digital Certificate of Completion for
participants who have attended at least
90% of the course and completed
coursework
ii. Digital Certificate of Participation for
participants who have attended below
90% of the course and completed
coursework

C. Technical Assistance on the Development of the RIS

The DAP shall provide technical assistance to facilitate the enhancement of the draft
RIS produced during the Advanced Course on RIA. The activity aims to enable further
analyses of the draft RIS to identify opportunities for improvement. If the LGU will
conduct consultations, the DAP shall also provide technical inputs for its proper
implementation. The DAP shall deploy coach(es)/mentor(s) to provide guidance to the
participants.

Expected Outputs : Feedback or recommendations to enhance

the draft RIS
Requirements : Participants should have attended the
Advanced Course on RIA
Mode of Delivery : Email correspondence or, as necessary,
online meeting5
Duration : 16 non-continuous hours per beneficiary LGU
spread over one (1) month

D. Panel Presentation of the Results of RIA

Results of the RIA conducted will be presented to a panel of experts from the DAP,
representatives from the ARTA, and senior officials of the beneficiary LGUs as a
culminating activity of the project. The activity aims to enable further analyses of the
draft RIA to identify opportunities for improvement.

Expected Outputs : Presentation of the results of RIA by the

Beneficiary LGUs
Requirements : i. Participants who completed the cycle;
and,
ii. Representative/s from the participants’
management who will serve as panelist or
reactor
Duration : Two (2) hours per beneficiary LGU

5
The assigned mentor/coach may meet with the participants (through their respective group) to provide further
guidance in the development of RIS. Scheduling will be coordinated through the project training team.
Consultations are highly encouraged to facilitate more meaningful learning.
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 CAPABILITY DEVELOPMENT ON
REGULATORY IMPACT ASSESSMENT
FOR LOCAL GOVERNMENT UNITS

Figure 1 provides the flow of project activities.

Attendance to
Basic Course on
RIA

Attendance to • Technical
Advanced Course Assistance on the
on RIA Development of
the RIS

Approval of RIA
Action Plan by
the LGU
Head/Supervisor

Conduct of
• Technical
Consultation by
the LGU on the Assistance on the
Development of
Selected
the RIS
Regulation

• Technical
Presentation on
Assistance on the
the Results of Development of
RIA
the RIS

III. ADMISSION GUIDELINES

A. Participation Requirements

1. This project is open to all LGUs.

2. Interested LGU shall submit the following prescribed forms:
a. Attachment A: Expression of Interest to be signed/approved by the
City/Municipal/Provincial Administrator or Vice-Mayor or Mayor or
Governor and submit in accordance with the application guidelines and by
the specified closing date. Note that only one (1) Expression of Interest
shall be submitted. By submitting the Expression of Interest, the LGU
ensures commitment to complete project activities and conduct RIA.
b. Attachment B: List of Participants to be endorsed by the head of the Human
Resource Development Office and approved by the
City/Municipal/Provincial Administrator or Vice-Mayor or Mayor or
Governor. Nominated participants should be a minimum of eight (8) and
maximum 12 personnel.6
c. Attachment C: Summary of Selected Regulatory Proposal to be endorsed
by City Administrator or Vice-Mayor or Mayor which shall indicate the
regulation that will be subjected to RIA.
3. Target participants7 of the training project are officers, directors, division chiefs,
and technical staff of LGUs who:

6
This is required to facilitate group workshop and exercises especially in the development of RIS.
7
It is important that there are at least 1-2 nominated participants that are directly involved in the development
and implementation of the selected regulatory proposal.
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 CAPABILITY DEVELOPMENT ON
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FOR LOCAL GOVERNMENT UNITS

a. are members and key staff of the Sangguniang Bayan/Panlungsod/

Panlalawigan;
b. have direct involvement in development, amendment, implementation,
monitoring, and evaluation of regulations at the following offices, among
others:
• Business Permits and Licensing Office
• Planning and Development Office
• Health Office
• Social Welfare and Development Office
• Agriculture Office
• Engineering Office
c. have relevant experience in one or a combination of the following: planning,
economics, legislation, regulation, policy research, industry research,
operations of markets.
4. In case the LGU cannot meet the required minimum number of participants, the
following maybe explored:
a. An LGU could team up with other LGUs in similar jurisdiction (e.g., a certain
municipality can be grouped with its provincial government or other
municipalities or cities of the same jurisdiction).
b. An LGU could be grouped with other LGUs and they need to find a common
ground on what regulation will be subjected to RIA. They will be grouped
as such throughout all the courses, technical guidance up to the
presentation of their final output.

B. Screening, Confirmation, and Notification

1. The deadline for submission of the Expression of Interest and other

documentary requirements is at the end of office hours of 19 October
2023.
2. The DAP shall conduct the screening of agencies’ nominated participants
subject to the submitted requirements.
3. The DAP shall confirm the final list of Beneficiary LGUs including their
nominated participants. The following are the key considerations in the
screening process:
i. Checking if the minimum number of nominated participants is met and
if 1-2 participants are directly involved in developing and implementing
the identified regulatory proposal.
The DAP Project Team checks this information first to establish if the
minimum number of eight (8) participants per agency is reached. As the
course is integrated with exercises and workshop, an agency should
have enough participants and information to accomplish the required
output.
ii. Checking if the regulation can be subjected to RIA; and,
The DAP Project Team checks this information second to establish if
the regulatory proposal is within the scope of RIA. Exempted from the
ambit of RIA are:
• Programs and projects
• Taxation measures solely for revenue-raising purposes (taxation
measures for non-revenue outcomes fall within the coverage of
the RIA process)
• Rearrangements of functions within government
iii. Date of receipt of application documents
If multiple agencies have reached the minimum number of nominations
and have proposals that can be analyzed through RIA, the DAP Project

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 CAPABILITY DEVELOPMENT ON
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Team checks the date of receipt in which case consideration will be

given to agencies that have submitted nomination at earlier dates.
4. Qualified agencies not on the list shall be on a waiting list in case there are
problems or issues with any of the selected Beneficiary LGUs prior to
commencement of implementation of the project and can be considered in the
next batch of capacity building project of the MGR Program.
5. The confirmed final list of the Beneficiary LGUs shall be notified through a letter
on or before 20 October 2023.
6. Applicant LGUs which will not pass the screening will receive an email of regret.

IV. RESPONSIBILITIES

A. DAP

The DAP shall:

1. Organize a team who will facilitate the implementation of the project within the
agreed time frame;
2. Prepare the designs for all the training and workshops;
3. Conduct the project activities free of charge to the LGUs;
4. Provide certificates of participation or completion, as appropriate, for qualified
participants of training courses conducted8;
5. Provide resource persons/technical experts during training and workshops;
6. Provide technical assistance on conducting full-blown RIA to the beneficiary
LGUs; and,
7. Shoulder the cost of training venue and meals 9 to the participants in the in-
person/face-to-face implementation of the Advanced Course on RIA

B. Beneficiary LGU

The beneficiary LGU shall:

1. Ensure that the participants will work closely with the DAP Project Team
regarding technical and administrative requirements of the project, including
the monitoring of the progress of the various project activities, and attend the
training sessions, workshops, and other activities necessary in the course of
the project;
2. Ensure that the participants have the necessary equipment (e.g., hardware and
software, speakers, microphones, webcams, etc.) and Internet connection
(with a minimum download speed of 5.00 Mbps) to participate in the
synchronous online activities;
3. Shoulder the cost of necessary logistical requirements for the in-person/face-
to-face implementation of the Advanced Course on RIA including, but not
limited to, transportation of all the participants to and from the venue,
accommodations, and daily subsistence allowance (if necessary).
4. Ensure implementation of relevant project activities, availability of information,
and policy support for the conduct of full-blown RIA;
5. Conduct full-blown RIA, including Public Consultation, on identified regulations
and, consequently, develop RIS with guidance from the DAP Project Team;

8
Certificates will be provided to the participants who successfully completed the entire capability building
intervention.
9
The DAP will only provide meals during the training which include morning and afternoon snacks and lunch.
Breakfast and dinner will be shouldered by the participants.
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 CAPABILITY DEVELOPMENT ON
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6. Shoulder the cost of conducting Public Consultation 10 on the identified

regulations;
7. Share the experiences in the conduct of RIA in an event that may be organized
by the DAP; and,
8. Provide the DAP a copy of the enhanced/completed RIA.

V. SCHEDULE

The schedules for the project activities are indicated below:

Activity Duration Date Venue

Basic Course on RIA Four (4) days of
synchronous online
session
Advanced Course Five (5) consecutive
on RIA days of in-person
lectures and
workshops and one
(1) day of
synchronous online
presentation of the
draft RIS
Technical 16 non-continuous
Assistance on the hours per
Development of the beneficiary LGU
RIS spread over one (1)
month
Consultation by the To be identified by
LGU on the the beneficiary LGU
Selected RIA
(Optional)
Presentation on the Two (2) hours per
Results of RIA beneficiary LGU
* Date may be subject to change.
24-27 October via Zoom
2023
20-24 November Cagayan de Oro
2023 for the in- City (to be
person lectures and communicated once
workshops venue is finalized)
29 November 2023
for the presentation
of the draft RIS
29 November - 18 via email
December 2023 correspondence or,
as necessary, online
meeting
To be identified by
the beneficiary LGU
19 December 2023* via Zoom

VI. FEES

The DAP will shoulder project costs which include course and technical assistance fees. The
Beneficiary LGU will shoulder the costs related to participating in the following:

A. Online activities such as necessary equipment for online learning and internet
connection
B. In-person/face-to-face implementation of the Advanced Course on RIA including, but
not limited to, transportation of all the participants to and from the venue,
accommodations, and daily subsistence allowance (if necessary). If the beneficiary
LGU decides to lodge the participants at the same location of the training, the DAP can
assist in the coordination with the hotel.

VII. EXPECTED BENEFITS TO THE BENEFICIARY LGU

The following are the expected benefits of selected LGUs that will participate in the Capability
Development on RIA.

10
During this health crisis, consultation with all potentially affected parties on urgent measures becomes
challenging. Due to the limitations of conducting in-person activities, consultations can be done online.
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A. For each beneficiary LGU, a minimum of eight (8) up to a maximum of 12 personnel

certified to be trained on RIA
B. At least one (1) full-blown RIA conducted by the beneficiary LGU

MGRP 2023 Admission Guidelines – RIA Project for LGUs / Page 8 of 8