Evaluating the quality of Regulatory Impact Analysis

a literature review



análise de impacto regulatório, AIR, regulação, qualidade


Regulatory Impact Analysis (RIA) is an instrument that can provide information and knowledge to decision makers to assess whether a given regulation is capable of achieving its objectives, with acceptable impacts and reasonable costs. For RIA to be useful and guide good decisions, it is not enough that it is carried out; it needs to be of quality. This research aimed to understand the current stage of the literature on RIA quality evaluation and offer practical and theoretical contributions, as well as an agenda for future studies. Through literature review, 26 empirical articles were identified and examined. A decreasing pace of publications and the use of various dimensions and methods for evaluating the quality of RIA were identified. It was found that the RIAs performed in the last 40 years have shown important weaknesses and inconsistencies that can compromise their use. In order to advance the knowledge on the topic, new studies that evaluate the quality of the RIA in different countries and regions, with a critical approach to the methods used, and that identify political and institutional factors related to analyses of higher or lower quality were suggested.


Não há dados estatísticos.

Biografia do Autor

Flavio Saab, Universidade de Brasília - UnB

Doutorando em Administração, Mestre em Administração e Graduado em Economia,  pela Universidade de Brasília-UnB. É servidor público federal da Agência Nacional de Vigilância Sanitária - Anvisa.  Atua como Docente Externo no Departamento de Gestão de Políticas Públicas da UnB.

Suylan de Almeida Midlej e Silva, Universidade de Brasília (UnB), Brasília – DF, Brazil

Doutora em Sociologia pela Universidade de Brasília – UnB, Mestra em Comunicação e Cultura Contemporânea pela Universidade Federal da Bahia - UFBA e Graduada em Comunicação Social pela Pontifícia Universidade Católica de Minas Gerais – PUC/MG. Professora Adjunta do Departamento de Gestão de Políticas Públicas da UnB.


Achtnicht, M., Rennings, K., & Hertin, J. (2009). Experiences with integrated impact assessment - Empirical evidence from a survey in three European member states. Environmental Policy and Governance, 19(5), 321–335. https://doi.org/10.1002/eet.517

Adelle, C., & Jordan, A. (2014). Policy Coherence for Development in the European Union: Do New Procedures Unblock or Simply Reproduce Old Disagreements? Journal of European Integration, 36(4), 375–391. https://doi.org/10.1080/07036337.2013.845180

Adelle, C., Weiland, S., Dick, J., González Olivo, D., Marquardt, J., Rots, G., Wübbeke, J., & Zasada, I. (2016). Regulatory impact assessment: a survey of selected developing and emerging economies. Public Money and Management, 36(2), 89–96. https://doi.org/10.1080/09540962.2016.1118930

Bailey, P. D., Haq, G., & Gouldson, A. (2002). Mind the gap! Comparing ex ante and ex post assessments of the costs of complying with environmental regulation. European Environment, 12(5), 245–256. https://doi.org/10.1002/eet.303

Ballantine, B., & Devonald, B. (2006). Modern regulatory impact analysis: The experience of the European Union. Regulatory Toxicology and Pharmacology, 44(1), 57–68. https://doi.org/10.1016/j.yrtph.2005.06.016

Belcore, J., & Ellig, J. (2008). Homeland security and regulatory analysis: are we safe yet? Rutgers Law Journal, 40(01).

Belfield, C. R., Bowden, A. B., & Rodriguez, V. (2018). Evaluating Regulatory Impact Assessments in Education Policy. American Journal of Evaluation. https://doi.org/10.1177/1098214018785463

Bull, R., & Ellig, J. (2017). Judicial Review of Regulatory Impact Analysis: Why Not The Best? ABA Journal, 69(FEB4), 725–840.

Carroll, P. (2010). Does regulatory impact assessment lead to better policy? Policy and Society, 29(2), 113–122. https://doi.org/10.1016/j.polsoc.2010.03.009

Castro, C. M. de. (2014). Some aspects of implementing Regulatory Impact Analysis in Brazil. Revista de Administração Pública, 48(2), 323–342. https://doi.org/10.1590/0034-76121359

Cecot, C., Hahn, R. W., & Renda, A. (2007). A Statistical Analysis of the Quality of Impact Assessment in the European Union. Social Science Research, May.

Daskal, S., Ayalon, O., & Shechter, M. (2019). Closing the Loop: the Challenges of Regulation in Municipal Solid Waste Management. Detritus, In Press(0), 1. https://doi.org/10.31025/2611-4135/2019.13775

de Francesco, F. (2012). Diffusion of Regulatory Impact Analysis Among OECD and EU Member States. Comparative Political Studies, 45(10), 1277–1305. https://doi.org/10.1177/0010414011434297

Dudley, S., Belzer, R., Blomquist, G., Brennan, T., Carrigan, C., Cordes, J., Cox, L. A., Fraas, A., Graham, J., Gray, G., Hammitt, J., Krutilla, K., Linquiti, P., Lutter, R., Mannix, B., Shapiro, S., Smith, A., Viscusi, W. K., & Zerbe, R. (2017). Consumer’s Guide to Regulatory Impact Analysis: Ten Tips for Being an Informed Policymaker. Journal of Benefit-Cost Analysis, 8(2),187–204. https://doi.org/10.1017/bca.2017.11

Ellig, J. (2018). Why and how independent agencies should conduct regulatory impact analysis. Cornell Journal of Law and Public Policy, 28(1),1–34. https://doi.org/10.2139/ssrn.3169413

Ellig, J., & Conover, C. J. (2014). Presidential priorities, congressional control, and the quality of regulatory analysis: an application to healthcare and homeland security. Public Choice, 161(3–4), 305–320. https://doi.org/10.1007/s11127-014-0201-3

Ellig, J., & Fike, R. (2016). Regulatory Process, Regulatory Reform, and the Quality of Regulatory Impact Analysis. Journal of Benefit-Cost Analysis, 7(3), 523–559. https://doi.org/10.1017/bca.2016.20

Ellig, J., & Horney, M. (2019). Statutory delegation, agency authority, and the asymmetry of impact analysis. Theory and Practice of Legislation, 7(3), 227–256. https://doi.org/10.1080/20508840.2020.1730097

Ellig, J., & Mclaughlin, P. A. (2012). The Quality and Use of Regulatory Analysis in 2008. Risk Analysis, 32(5), 855–880. https://doi.org/10.1111/j.1539-6924.2011.01715.x

Ellig, J., Mclaughlin, P. A., & Morrall, J. F. (2013). Continuity, change, and priorities: The quality and use of regulatory analysis across US administrations. Regulation and Governance, 7(2), 153–173. https://doi.org/10.1111/j.1748-5991.2012.01149.x

Fraas, Art, & Lutter, R. (2011). The challenges of improving the economic analysis of pending regulations: The experience of OMB circular A-4. Annual Review of Resource Economics, 3(December),71–85. https://doi.org/10.1146/annurev-resource-083110-120042

Fraas, Arthur. (1991). The Role of Economic Analysis in Shaping Environmental Policy. Law and Contemporary Problems, 113–126. https://doi.org/10.1007/978-1-349-04722-2_5

Fritsch, O., Kamkhaji, J. C., & Radaelli, C. M. (2017). Explaining the content of impact assessment in the United Kingdom: Learning across time, sectors, and departments. Regulation and Governance, 11(4), 325–342. https://doi.org/10.1111/rego.12129

Fritsch, O., Radaelli, C. M., Schrefler, L., & Renda, A. (2013). Comparing the content of regulatory impact assessments in the UK and the EU. Public Money and Management, 33(6), 445–452. https://doi.org/10.1080/09540962.2013.836007

Goodstein, E. (1995). Benefit-cost analysis at the EPA. Journal of Socio-Economics, 24(2), 375–389. https://doi.org/10.1016/1053-5357(95)90026-8

Hahn, R. W., Burnett, J. K., Chan, Y. H. I., & Mader, E. A. (2000). Assessing regulatory impact analyses: The failure of agencies to comply with executive order 12,866. Harvard Journal of Law and Public Policy.

Hahn, R. W., & Dudley, P. M. (2004). How Well Does the Government Do Cost-Benefit Analysis? SSRN Electronic Journal. https://doi.org/10.2139/ssrn.495462

Hahn, R. W., & Tetlock, P. C. (2008). Has Economic Analysis Improved Regulatory Decisions? Journal Of Economic Perspectives, 22(1), 67–84.

Hansson, L., & Nerhagen, L. (2019). Regulatory measurements in policy coordinated practices: The case of promoting renewable energy and cleaner transport in Sweden. Sustainability (Switzerland), 11(6). https://doi.org/10.3390/su11061687

Harrington, W. (2006). Grading Estimates of the Benefits and Costs of Federal Regulation. Resources for The Future. https://doi.org/10.2139/ssrn.937357

Harrington, W., Morgenstern, R. D., & Nelson, P. (2000). On the accuracy of regulatory cost estimates. Journal of Policy Analysis and Management, 19(2), 297–322. https://doi.org/10.1002/(sici)1520-6688(200021)19:2<297::aid-pam7>3.3.co;2-o

Humpherson, E. (2004). The National Audit Office’s evaluation of RIAs: Reflections on the pilot year. Public Money and Management, 24(5), 277–282. https://doi.org/10.1111/j.1467-9302.2004.00434.x

Jacobs, S. (2004). Regulatory impact assessment and the economic transition to markets. Public Money and Management, 24(5), 283–290. https://doi.org/10.1111/j.1467-9302.2004.00435.x

Jarrar, A. G. (2018). Regulatory Impact Assessment Role in Developing Participatory Work between Civil Society Organizations and Jordanian Ministry of Political and Parliamentary Affairs. Journal of Politics and Law, 11(1), 88. https://doi.org/10.5539/jpl.v11n1p88

Kirkpatrick, C., Parker, D., & Zhang, Y. F. (2004). Regulatory impact assessment in developing and transition economies: A survey of current practice. Public Money and Management, 24(5), 291–296. https://doi.org/10.1111/j.1467-9302.2004.00436.x

Letens, G., Van Nuffel, L., Heene, A., & Leysen, J. (2008). Towards a balanced approach in risk identification. EMJ - Engineering Management Journal, 20(3), 3–9. https://doi.org/10.1080/10429247.2008.11431771

Lussis, B. (2004). EU extended impact assessment review. Institut Pour Un Développement Durable.

Meneguin, F. B., & Saab, F. (2020). Análise de Impacto Regulatório: Perspectivas a partir da Lei da Liberdade Econômica. Textos Para Discussão, Senado, 271.

Mota, D., Saab, F., Vazzoler, R., Schunig, K., Donagema, E., & Troncoso, G. (2020). Regulatory Impact Assessment in Pandemic Times: a practical exercise on the COVID-19 context. 71, 165–188. http://dx.doi.org/xx.xxxxx/rsp.xxxx

Nweke, O. C. (2011). A framework for integrating environmental justice in regulatory analysis. International Journal of Environmental Research and Public Health, 8(6), 2366–28385. https://doi.org/10.3390/ijerph8062366

OECD. (2019). Indicators of Regulatory Policy and Governance, Latin America 2019, El Salvador. http://oe.cd/ireg-lac

Opoku, C., & Jordan, A. (2004). Impact assessment in the EU: a global sustainable development perspective. Conference on the Human Dimension of Global Environmental Change, December. http://userpage.fu-berlin.de/ffu/akumwelt/bc2004/download/opoku_jordan_f.pdf

Peci, A., & Sobral, F. (2011). Regulatory Impact Assessment: How political and organizational forces influence its diffusion in a developing country. Regulation and Governance, 5(2), 204–220. https://doi.org/10.1111/j.1748-5991.2011.01105.x

Posner, E. A. (2003). Transfer regulations and cost-effectiveness analysis. Duke Law Journal, 53(3), 1067–1110.

Radaelli, C. M. (2004a). Getting to grips with quality in the diffusion of regulatory impact assessment in Europe. Public Money and Management, 24(5), 271–276. https://doi.org/10.1111/j.1467-9302.2004.00433.x

Radaelli, C. M. (2004b). The diffusion of regulatory impact analysis - Best practice or lesson-drawing? European Journal of Political Research, 43(5), 723–747. https://doi.org/10.1111/j.0304-4130.2004.00172.x

Radaelli, C. M. (2005). Diffusion without convergence: How political context shapes the adoption of regulatory impact assessment. Journal of European Public Policy, 12(5), 924–943. https://doi.org/10.1080/13501760500161621

Radaelli, C. M. (2010). Rationality, Power, Management and Symbols: Four Images of Regulatory Impact Assessment. Scandinavian Political Studies, 33(2), 164–188. https://doi.org/10.1111/j.1467-9477.2009.00245.x

Radchenko, T., & Parshina, E. (2014). Regulatory Impact Assessment in Russia: Application and Lessons from Economic Theory. Economic Policy.

Renda, A. (2006). Impact Assessment in the UE. The State of the Art and the Art of the State.

Reyes, R., Romano, A., & Sottilotta, C. E. (2015). Regulatory Impact Assessment in Mexico: A Story of Interest Groups Pressure. Law and Development Review, 8(1), 99–121. https://doi.org/10.1515/ldr-2014-0030

Rissi, C., & Sager, F. (2013). Types of knowledge utilization of regulatory impact assessments: Evidence from Swiss policymaking. Regulation and Governance, 7(3), 348–364. https://doi.org/10.1111/rego.12002

Robinson, L. A., & Levy, J. I. (2011). The [R]Evolving Relationship Between Risk Assessment and Risk Management. Risk Analysis, 31(9), 1334–1344. https://doi.org/10.1111/j.1539-6924.2011.01653.x

Russel, D., & Turnpenny, J. (2009). The politics of sustainable development in UK government: What role for integrated policy appraisal? Environment and Planning C: Government and Policy, 27(2), 340–354. https://doi.org/10.1068/c0810j

Saab, F., Bermejo, P. H. de S., Garcia, G. C., Pereira, J. S., & e Silva, S. de A. M. (2018). Does public consultation encourage social participation? Journal of Enterprise Information Management, JEIM-11-2017-0169. https://doi.org/10.1108/JEIM-11-2017-0169

Shapiro, S., & Morrall, J. F. (2012). The triumph of regulatory politics: Benefit-cost analysis and political salience. Regulation and Governance, 6(2), 189–206. https://doi.org/10.1111/j.1748-5991.2012.01131.x

Silva, A. B., Godoi, C. K., & Bandeira-de-Mello, R. (2006). Pesquisa qualitativa em estudos organizacionais: paradigmas, estratégias e métodos, São Paulo, Ed. Saraiva.

Souto-Otero, M. (2013). Is “better regulation” possible? Formal and substantive quality in the impact assessments in education and culture of the European Commission. Evidence and Policy, 9(4), 513–529. https://doi.org/10.1332/174426413X662725

Staronova, K. (2016). Regulatory impact assessment in Slovakia: performance and procedural reform. Impact Assessment and Project Appraisal, 34(3), 214–227. https://doi.org/10.1080/14615517.2016.1176410

Staroňová, K. (2009). Better regulation and regulatory quality: The case of RIA in Slovakia. Sociologia, 41(3), 247–264.

Staroňová, K. (2010). Regulatory impact assessment: Formal institutionalization and practice. Journal of Public Policy, 30(1), 117–136. https://doi.org/10.1017/S0143814X09990201

Staroňová, K., Pavel, J., & Krapež, K. (2007). Piloting regulatory impact assessment: A comparative analysis of the Czech Republic, Slovakia and Slovenia. Impact Assessment and Project Appraisal, 25(4), 271–280. https://doi.org/10.3152/146155107X246314

Vibert, F. (2006). The limits of regulatory reform in the EU. Economic Affairs, 26(2), 17–21. https://doi.org/10.1111/j.1468-0270.2006.00626.x

Vinuto, J. (2014). a Amostragem Em Bola De Neve Na Pesquisa Qualitativa: Um Debate Em Aberto. Temáticas, 22(44), 203–220. https://doi.org/10.20396/tem

Zentner, R. D. (1984). Chemical Industry Perspectives on Regulatory Impact Analysis. 161–173. https://doi.org/10.1021/bk-1984-0239.ch011




Como Citar

Saab, F., & de Almeida Midlej e Silva, S. (2021). Evaluating the quality of Regulatory Impact Analysis: a literature review. Revista Do Serviço Público, 72(b), 34 - 57. Recuperado de https://revista.enap.gov.br/index.php/RSP/article/view/5875



Special Issue on Public Policy and Regulation (closed)

Artigos mais lidos pelo mesmo(s) autor(es)