MEMORANDUM CIRCULAR NO.

2021-06

15 August 2021

FOR : ALL HEADS OF GOVERNMENT OFFICES AND AGENCIES, INCLUDING

LOCAL GOVERNMENT UNITS (LGUS), GOVERNMENT-OWNED-OR-
CONTROLLED CORPORATIONS (GOCCS), AND OTHER GOVERNMENT
INSTRUMENTALITIES

SUBJECT: INTERIM GUIDELINES AND UPDATES ON THE IMPLEMENTATION OF

THE REQUIREMENT FOR REGULATORY IMPACT ASSESSMENT (RIA)
AND REQUEST FOR REGULATORY MAPPING

1. BACKGROUND AND OVERVIEW

Republic Act (RA) No. 11032, otherwise known as the Ease of Doing Business and Efficient
Government Service Delivery Act of 2018, designates the Anti-Red Tape Authority (ARTA) under
the Office of the President to plan, implement, and oversee national policy on anti-red tape and
ease of doing business which includes the development and institutionalization of a regulatory
management system (RMS).

Pursuant to its legal mandate to recommend policies, processes and systems to improve
regulatory management, ARTA intends to implement a policy that shall institutionalize a National
Regulatory Management System for the Philippine government. It shall provide a
comprehensive, organized, and systematized framework in the issuance, implementation, and
review of regulations and set expectations in the behavior of regulators in the country.

As identified in the Philippine Development Plan 2017-2022, there is a need to modernize the
regulatory processes of the Philippine government through the establishment of a National
Regulatory Architecture composed of an institutional infrastructure to manage regulations, and a
regulatory making and review process. This will create a whole-of-government approach on
regulatory reform.

2. LEGAL BASIS
a. Republic Act No. 11032 dated 28 May 2018, “An Act Promoting Ease of Doing
Business and Efficient Delivery of Government Services”, amending for the purpose,
Republic Act No. 9485 otherwise known as the “Anti-Red Tape Act of 2007” and its
implementing rules and regulations (IRR):
i. Section 5 of RA 11032, Reengineering of Systems and Procedures – “All
offices and agencies which provide government services are hereby
mandated to regularly undertake cost compliance analysis, time and motion
studies, undergo evaluation and improvement of their transaction systems
and procedures and reengineer the same if deemed necessary to reduce
bureaucratic red tape and processing time.”
 "The Anti-Red Tape Authority, created in this Act, shall coordinate with all
government offices covered under Section 3 of this Act in the review of
existing laws, executive issuances and local ordinances, and recommend the
repeal of the same if deemed outdated, redundant, and adds undue
regulatory burden to the transacting public.

"All proposed regulations of government agencies under Section 3 of this Act

shall undergo regulatory impact assessment to establish if the proposed
regulation does not add undue regulatory burden and cost to these agencies
and the applicants or requesting parties: Provided, that when necessary, any
proposed regulation may undergo pilot implementation to assess regulatory
impact.

"Upon effectivity of this Act, all LGUs and NGAs are directed to initiate review
of existing policies and operations and commence with the reengineering of
their systems and procedures in compliance with the provisions of this Act,
pending the approval of the implementing rules and regulations (IRR)
thereof."

ii. Sec. 17. Anti-Red Tape Authority. - The Authority shall have the following
powers and functions:

"(f) Recommend policies, processes and systems to improve regulatory

management to increase the productivity, efficiency, and effectiveness of
business permitting and licensing agencies;

"(g) Review proposed major regulations of government agencies, using

submitted regulatory impact assessments, subject to proportionality rules to
be determined by the Authority;

"(i) Prepare, in consultation with the appropriate agencies, regulatory

management manuals for all government agencies and/or instrumentalities
and LGUs;

"(k) Ensure the dissemination of and public access to information on

regulatory management system and changes in laws and regulations
relevant to the public by establishing the Philippine Business Regulations
Information System;

b. Sections 5, 6, 7 of the Implementing Rules and Regulations of RA 11032.

c. Administrative Order No. 23, series of 2020 entitled “Eliminating Overregulation to

Promote Efficiency of Government Processes
 i. Section 1. Elimination of Overregulation – “All national government agencies
covered by Section 3 of RA No. 9485, as amended, are directed to hasten
the reform of their processes in order to eliminate overregulation.”
ii. Section 2. Compliance – “The ARTA, pursuant to its mandates under RA No.
9485, as amended, in coordination with the Anti-Red Tape Unit established
per covered agency, shall monitor and ensure compliance with this directive
to eliminate overregulation.”

3. OBJECTIVES

This Memorandum Circular intends to:

a. Inform and provide interim guidance for regulatory government agencies and the
public on the implementation of the National Regulatory Management System;
particularly on the: (a) pilot-implementation of RIA for proposed and existing
regulations and the Philippine Business Regulations Information System (PBRIS),
and (b) the regulatory processes and practices ARTA is implementing and intends to
implement subsequently;
b. Develop a high-level mapping of the regulatory regimes in the Philippines (including
the structure of regulators, practices, processes, policies, tools). Although information
in the form of journals, articles, reports are readily available, ARTA deems it
necessary to consult and solicit the formal response of government agencies and
instrumentalities covered by the system. The response shall be their official position
in the implementation of the National Regulatory Management System;
c. Develop a systematic and thematic grouping of regulatory regimes based on: (i) the
sector/activity regulated, (ii) roles and functions and (iii) experience with
implementing good regulatory practices;
d. Through the baseline information: (i) develop guidance on the full-implementation of
RIA for proposed regulations and the Philippine Business Regulations Information
System (PBRIS), (ii) design policies and processes to: (1) improve the management
of regulatory stock and the review of existing regulations, (2) monitor the adoption of
good regulatory practices, and (3) incentivize and reward best regulatory practices;
and

4. SCOPE/COVERAGE

This memorandum circular shall apply to all agencies covered by Section 3 of RA 11032. It intends
to inform all the covered agencies of the ongoing and planned initiatives of ARTA, to provide
guidelines for the agencies identified herein undergoing the pilot implementation of the RIA Process,
and to provide guidance on the process of regulatory review.
5. UPDATES ON ONGOING INITIATIVES ON RIA

a. Pilot Implementation of the RIA Process - To determine the usability of information

materials regarding the RIA Process, a pilot implementation which started last May
2021, is being conducted by ARTA involving selected agencies (ANNEX A). The
selected agencies are undergoing RIA Training, in partnership with the UP Public
Administration Research and Extension Services Foundation, Inc. - Regulatory
Reform Support Program for National Development (UPPAF-RESPOND) and the
Center for Policy and Executive Development (CPED). The selected agencies shall
adhere to the RIA Process identified in the attached supplementary guidelines
(ANNEX B). A post-implementation activity shall be implemented where the selected
pilot agencies will provide their comments, issues, challenges, and lessons learned
implementing the RIA Process. These findings and recommendations gathered
during the pilot implementation will feed into the National Policy on Regulatory
Management System (NPRMS), which shall operationalize RIA and other RMS
elements.

Further, ARTA may expand the pilot implementation process to other selected
agencies, as necessary.

Please note that the scope of the regulations subjected to the pilot implementation of
the RIA Process, pursuant to Section 5 of RA 11032, are regulations intended to
impose any form of regulatory instrument/s to the agency's regulated entities.
Regulations intended for internal administrative and organizational operations, or any
form of such policy, promulgated within the agency shall not be covered by the pilot
implementation process and regulatory review.

b. Formulation of the RIA Manual – Pursuant to Section 17(I) of RA11032, that ARTA
shall "prepare, in consultation with the appropriate agencies, regulatory management
manuals for all government agencies and/or instrumentalities and LGUs," ARTA has
been working on the development of the Regulatory Impact Assessment (RIA)
Manual in partnership with the UP Public Administration Research and Extension
Services Foundation, Inc. (UPPAF) - Regulatory Reform Support Program for
National Development (RESPOND) since the 1st Quarter of 2020.

The RIA Manual shall be the primary reference material of all government agencies
and instrumentalities in the conduct of RIA. It provides guidance and information on
the theoretical and empirical underpinnings of regulatory impact, and the steps and
processes involved in undertaking RIA which includes the conduct of Preliminary
Impact Assessment (PIA) and Full Regulatory Impact Assessment, processes that
are essential in the preparation of Preliminary Impact Statements (PIS) and
Regulatory Impact Statements (RIS) for submission to ARTA.

Adhering to good regulatory principles, the draft of the RIA Manual has undergone
stakeholder consultation, through the request for written comments and inputs, with
 138 department-level and some regulatory government agencies last March 2020.
ARTA has received 36 of responses and shall feed into the initial finalization of the
Manual, subject for release this October 2021.

c. Establishment of the PBRIS:

i. The PBRIS shall provide the public with information on the regulatory
management system and changes in laws and regulations relevant to the
public.
ii. To provide the public with this information, ARTA shall be requiring
government agencies to: (a) populate the PBRIS with their stock of existing
regulation, (b) use the PBRIS in the regulatory impact assessment process
and (c) submit requirements of the regulatory management system through
the PBRIS:

1. On the population of the PBRIS with the stock of existing regulation

a. Regulatory agencies shall be required to digitize their
regulations using the fields to be implemented in the PBRIS.
Scanned copies of regulations will not be allowed1
b. Regulatory agencies are encouraged to begin the stocktaking
and classification of their regulations based on the activity
regulated:
i. Business-related2
ii. Non-Business-related3
iii. Government-related4
Those that have undergone the stocktaking and classification
required by ARTA, through Project Repeal, need only to
stocktake government related regulations.

c. ARTA will be releasing a prioritization list of regulatory stock

for uploading in a separate memorandum.

2. On the use of the PBRIS as the online platform for the Regulatory
Impact Assessment Process
a. Regulatory agencies shall be required to use the PBRIS in
the regulatory impact assessment process; primarily on the
submission of the Regulatory Notification Form, Preliminary
Impact Statement and Regulatory Impact Statement and the
scheduling and conduct of public consultation

1
Sketches/Images/Graphs are allowed to be uploaded as annexes
2
A set of regulatory requirements that a business entity must comply with to engage, operate or continue to operate a business
3
A set of regulatory requirements that an individual must comply with to conduct an activity and/or avail of a government service/benefit
4
A set of regulatory requirements that government agencies must comply with to render government service
 b. Proposed Regulations that have completed the regulatory
impact assessment process and reached its designated date
of effectivity shall automatically be added by the system to the
agency‟s stock of existing regulations
c. These requirements shall take into effect once the PBRIS is
fully developed

3. On the submission of requirements through the PBRIS - The PBRIS

shall serve as the submission portal for the requirements to be
required by ARTA in the implementation of good regulatory practices

iii. The information to be submitted in the regulatory mapping (to be discussed

below) shall be used by ARTA in the tagging and classification of government
agencies in the system, as well as the content of its pages.

iv. The Anti-Red Tape Authority shall be issuing a separate memorandum for
the pilot-implementation of the PBRIS once it is live and ready for roll-out.

6. REQUEST FOR REGULATORY MAPPING OF PROCESSES & PRACTICES

a. To develop a holistic mapping of regulatory processes and practices, ARTA has

created a mapping form that shall serve as a „profile‟ of the agency for reference and
use of ARTA. The form is attached with this memorandum circular as ANNEX C.
b. Only national government agencies (NGAs) and GOCCs5 are requested to
accomplish and submit the form through their head/central offices. Attached
agencies that are independent by operation of law or those who independently issue
any legal instrument may submit the forms directly to ARTA.
c. The form may be accomplished and submitted either online via
https://bit.ly/ARTARegulatoryMapping or sent through email as an attachment via
regulatorymanagement@arta.gov.ph with subject line: “Mapping 2021”. An
automated response shall be sent acknowledging receipt of the form.
d. The forms are due twenty working days from the effectivity of this memorandum
circular. Submissions may be tracked using the link provided in the automated
response.

7. CONDUCT OF REGULATORY REVIEW

a. As stated in Section 7 of the IRR or RA 11032, "all offices , agencies, and local
government units covered by Section 3 of the Act, shall review and harmonize their
existing regulations relative to business-related and non-business transactions and
repeal unnecessary and redundant policies to lessen regulatory burdens."
5
SUCs, LGUs, Water Districts, and Hospitals are exempted
 "The Authority, motu proprio or upon receipt of a complaint that a regulation is
outdated, redundant, or adds undue regulatory burden to the transacting public, may
exercise its power of review in accordance with the Act and recommend the repeal of
the reviewed law, executive issuance, and/or local ordinance, if warranted."

b. The aforesaid provision on regulatory review applies to both proposed and existing
regulations. ARTA shall request the agency to conduct an impact assessment and
accomplish the template (ANNEX D) for submission to ARTA. If ARTA deems that
the information provided herein is insufficient, a clarificatory meeting with the
concerned agency shall be conducted. ARTA, shall provide recommendation on the
appropriate policy option, basing on the evidences and information provided in the
impact assessment and provided during the clarificatory meeting. In cases of major
regulations, the matter shall be taken up with the Ease of Doing Business and Anti-
Red Tape Advisory Council.

c. Please note that the scope of the regulations that shall be subjected to the regulatory
review process, pursuant to Section 5 of RA 11032, are regulations intended to
impose any form of regulatory instrument/s to the agency's regulated entities.
Regulations intended for internal administrative and organizational operations, or any
form of such policy, promulgated within the agency shall not be covered by the pilot
implementation process and regulatory review.

8. WAYS FORWARD
a. The RIA Manual shall be disseminated on or before October 2021 for reference of all
agencies in the conduct of RIA.
b. Following the pilot implementation of the RIA Process, a workshop with the selected
pilot agencies shall be conducted. Lessons learned, issues, challenges faced during
the process shall feed in to the drafting of the National Policy on RMS.
c. The issuance and dissemination of the National Policy on RMS that shall provide the
guidelines on the compliance to the RIA requirement.
d. After the development of PBRIS, this shall likewise be pilot-tested to selected
agencies prior to national roll-out. Separate guidelines and user manual shall be
issued accordingly.

9. AMENDMENTS TO THE GUIDELINES

The guidelines outlined in this Memorandum are subject to change as may be deemed
necessary by the Authority and shall be issued through a supplemental Memorandum.
 10. EFFECTIVITY

This Memorandum shall take effect upon publication and registration with the University of the
Philippines-Office of the National Administrative Register and publication in a newspaper of
general circulation or in the Official Gazette.

RECOMMENDED BY:

ATTY. ERNESTO V. PEREZ, CPA

Deputy Director General for Operations

APPROVED BY:

ATTY. JEREMIAH B. BELGICA, REB, EnP

Director General
 Annex A.
LIST OF IDENTIFIED PILOT AGENCIES UNDERGOING RIA TRAINING UNDER NCPAG TRACK

1. Department of Finance
2. National Economic and Development Authority
3. Bangko Sentral ng Pilipinas
4. Department of Labor and Employment
5. Department of Tourism
6. Department of Budget and Management
7. Home Development Mutual Fund
8. Department of Energy
9. Energy Regulatory Commission
10. National Housing Authority
11. Department of Health
12. Department of Science and Technology
13. Department of Transportation
14. Department of Social Welfare and Development
15. National Privacy Commission
16. Department of Education
17. Bureau of Fisheries and Aquatic Resources
18. Professional Regulation Commission
19. Philippine Statistics Authority
20. Department of Foreign Affairs
21. Bureau of Fire Protection
22. Cooperative Development Authority
23. Department of Trade and Industry – Bureau of Philippine Standards
24. Department of Information and Communications Technology
 Annex B.

SUPPLEMENTARY GUIDELINES FOR THE PILOT IMPLEMENTATION OF REGULATORY

IMPACT ASSESSMENT (RIA) FOR IDENTIFIED REGULATORY AGENCIES

A. BACKGROUND

Republic Act (RA) No. 11032 otherwise known as the Ease of Doing Business and Efficient Government
Service Delivery Act of 2018 aims to establish effective practices aimed at efficient turnaround of
government services delivery and red tape reduction. All National Government Agencies (NGAs), Local
Government Units (LGUs), and Government-Owned and Controlled Corporations (GOCCs)1 are mandated
to reengineer their systems and procedures, including cutting unnecessary rules and regulations.

RA 11032 creates the Anti-Red Tape Authority (ARTA), an agency under the Office of the President, which
is tasked to plan, implement and oversee a national policy on anti-red tape and ease of doing business
which includes the development and institutionalization of a regulatory management system (RMS).

This Information Guidance Document is developed to provide guidelines to the pilot proponent agencies
on the overview of the Philippine Regulatory Environment, rationale for the institutionalization of
regulatory impact assessment (RIA) in the Philippines, and the process and implementation arrangements
on how RIA will be piloted with the Authority as the regulatory oversight body. This document likewise
outlines the core regulatory principles that Agencies should adhere to in the development and
implementation of regulations.

1. Regulatory Impact Assessment in the Philippines

In the Philippine context, the regulations refer to circulars, memorandums, and orders issued by
governmental regulatory bodies, national government agencies, and local government units for
implementation2. Regulations serves a legal instrument that enforces policy interventions.

Governments propose regulations in order to attain the policy objectives of a country. The goal is to come
up with an efficient and effective regulation that will help the country achieve its policy objectives towards
growth, investment, and innovation. For this reason, varying tools and processes are being utilized by
governments of different countries to assess the quality and possible impacts of proposed and existing
regulations.

Prior the enactment of RA 11032, there are already present initiatives to review3 and revoke laws4 and
regulations that increase the costs of doing business in the country. However, there is no standard practice
being followed by government agencies to review and assess possible impacts of proposed and existing

1 Per Section 3 of Republic Act 11032 – the act applies to all government offices and agencies including local government units,
government-owned or controlled corporations, and other instrumentalities whether located in the Philippines or abroad that
provide services covering business and non-business related transactions
2 Executive Order No. 292 [BOOK III/Title I/Chapter 2-Ordinance Power]: GOVPH. (1987, July 25). Retrieved November 16, 2020,

from https://www.officialgazette.gov.ph/1987/07/25/executive-order-no-292-book-iiititle-ichapter-2-ordinance-power/
3 i.e. Modernizing Government Regulations Program of DAP, DBM and NEDA; EODB Taskforce (AO38 s. 2013)
4 i.e. Project Repeal of the National Competitiveness Council

1
regulations to citizens and business firms. The conduct of Regulatory Impact Assessment (RIA) in the
Philippines has only been institutionalized upon the enactment EODB Act.

Under Section 5 of RA 11032, government agencies are mandated to conduct RIA to determine the costs
and benefits of proposed and existing regulations. It aims to eliminate unnecessary regulatory burden and
costs to agencies and applicants or requesting parties.

The RIA Manual will serve as an explanatory document on how to undertake Regulatory Impact Assessment
which includes Preliminary Impact Assessment and Full Regulatory Impact Assessment that are required to
prepare the Regulatory Impact Statement (RIS) for submission to ARTA.

2. Regulatory Management System

RA 11032 designates ARTA to coordinate, with the Act’s covered agencies and LGUs, the review of both
existing and proposed regulations. The review is aimed to measure the impact of regulations; thereby
providing ARTA and the agencies a picture of effectiveness of a regulation. This shall inform them on
whether, or not, to pursue push through with the implementation of a regulation.

The practice of reviewing regulations aimed to improve regulatory quality is not an entirely new concept in
the Philippines. Per Llanto (2016), government agencies have conducted reviews and assessments of
regulations. In some instances, ad-hoc committees composed of multiple government agencies, were
organized for such purposes. Despite these efforts, the Philippine regulatory review has notable
weaknesses. Most prevalent among them are: (1) the varying quality of assessment and consultation
conducted by government agencies, (2) the lack of coordination amongst government agencies and
stakeholders, and (3) the sporadic nature of the reviews which presents an image of a reactive government.

To address these concerns, the Duterte Administration outlined in the 2017-2022 Philippine Development
Plan the need to develop a whole-of-government approach on regulatory reform. Thus, they recommend
the establishment of a National Regulatory Architecture composed of an institutional infrastructure to
manage regulations and a regulatory making and review process. Congress then enacted RA 11032 which
formed and designated ARTA as the central oversight body for the review of new and existing regulations
and to be hold accountable for promoting a whole-of-government approach on regulatory reform.

Building on the recommendations of the Organization for Economic Cooperation and Development (OECD),
the Association of Southeast Asian Nations Good Regulatory Practice Core Principles (ASEAN-GRP) and the
initiatives of the National Economic and Development Authority (NEDA), the Philippine Institute for
Development Studies (PIDS) and the Department of Trade and Industry (DTI), ARTA with support from the
UPPAF-RESPOND5 is working on the development of the Philippine Regulatory Management System (RMS)
which shall serve as the National Regulatory Architecture for the Philippine Government. The Philippine
RMS shall be composed of elements, which are policies, processes, tools and institutions, designed to
establish a systematic and organized implementation of regulations and regulatory review for the
improvement of regulatory quality. Complementing the framework for the conduct of regulatory review,

5
University of the Philippines Public Administration Research and Extension Services Foundation, Inc - Regulatory Support
Program for National Development (UPPAF-RESPOND) is US Agency for International Development Grantee Project

2
capacity building programs and activities shall also be provided by the RMS. This shall support agencies in
the implementation of the different elements of the system.

Definition of Terms 6
Policies Formal government regulations that prescribe the use of regulatory instruments,
regulatory processes and regulatory tools in the government.
Processes Administrative procedures or controls (i.e. due process requirement, rules on giving
notice and communication, training, etc.)
Tools Instruments and techniques designed to ensure the quality of regulations (i.e.
Regulatory Impact Assessment, Standard Cost Model Calculator)
Institutions Entities tasked to oversee and foster regulatory quality

3. The Life Cycle Approach

The foundation of the regulatory management system is the adoption of the Regulatory Life Cycle approach
amongst all government agencies. The Regulatory Life Cycle details the different stages in the “life” of a
regulation. The literature provided by regulatory management experts detail four common stages:

Learning Planning

Delivery Design

Stages7
Planning – The initial stage of the life cycle wherein agencies inform citizens, businesses, and fellow
government agencies of current and future regulatory developments. Planning promotes coordination
amongst all stakeholders. For government, it prevents duplication and inefficiencies8.
Design - The second stage of the life cycle wherein impact analysis is applied to the development of
regulations prior to implementation. Impact analysis will determine if regulation is the most effective means
of achieving a policy objective.

Delivery – The third stage of the life cycle wherein activities and functions needed to support the
implementation of and compliance to regulations are identified and undertaken.

6
(Gill, 2016)
7
Unless otherwise stated, based on (Gill, 2019)
8
(Jacobzone, Choi, & Miguet, 2007)

3
 Learning – The last stage of the life cycle wherein the regulatory action is assessed for relevancy and
necessity through activities such as monitoring, reviews, audit and evaluation. The information gathered
shall provide a baseline for the next regulatory cycle.

The life cycle approach shall provide ARTA and the government agencies a common framework in
understanding regulations and all the activities involved that both agencies and stakeholders have the
responsibility to participate in. The regulatory management system shall provide elements9 per each stage
of the life cycle that shall guide all agencies in the conduct of the activities. Specific elements are also
applied across all stages of the life cycle such as stakeholder consultation and engagement, and capacity
building.

4. RIA and RMS

RIA is a core element of the RMS applied during Regulatory Design and Learning. Through RIA, ARTA and
the government agencies can systematically examine the impact of regulations prior and after its
implementation. RIA applied in the design stage (ex-ante RIA) shall ensure that regulations to be
implemented are those that are necessary and of good quality. Thereby minimizing, (and if possible, fully-
prevent) the implementation of ineffective and burdensome regulations. On the other hand, RIA applied
in the learning stage (ex-post) shall provide agencies concrete information on the actual costs and benefits
of a regulation resulting from its implementation. It shall provide a handle for government agencies to
improve future regulations. Through the information resulting from RIA, agencies are better informed in
the development of its next regulatory action.

B. OVERALL OBJECTIVES

The creation of the RMS and institutionalization of RIA are aligned with Chapter 5 of the Philippine
Development Plan 2017-2022 on “Ensuring People-Centered, Clean, and Efficient Governance.” One of the
strategies identified under the sub-chapter outcome on “Seamless Service Delivery Achieved” is to
Implement Regulatory Reforms through (i) modernizing government regulatory processes which will
develop an overarching National Regulatory Architecture, (ii) enhancing Project Repeal, and (iii)
institutionalizing regulatory impact assessment within government.

The institutionalization of RIA will help ensure that the regulations produced and implemented will be
efficient and effective. As emphasized by OECD, effective regulations “achieve the policy objective that led
to it being made and efficient regulations achieve these objectives at the lowest total cost – to all members
of society10.”

Further, the institutionalization of RIA will aid in enhancing the current regulatory process towards
becoming a more evidence-based, transparent, accountable, inclusive, and coherent regulatory regime.
These regulatory reform initiatives shall ultimately result to reducing limits to entrepreneurship and

9
which can be a regulatory policy (i.e. Memorandum Circular) /regulatory process /regulatory tool (i.e RIA) /
regulatory institution (i.e. ARTA)
10
OECD. (2008, October). Introductory Handbook for Undertaking Regulatory Impact Analysis (RIA). Retrieved from
https://www.oecd.org/gov/regulatory-policy/44789472.pdf

4
barriers to entry thereby providing an enabling environment for the creation, retention, and expansion of
economic and employment opportunities necessary to promote competition and increase
competitiveness.

C. LEGAL BASES

1. Republic Act No. 11032 dated 28 May 2018, “An Act Promoting Ease of Doing Business and Efficient
Delivery of Government Services”, amending for the purpose, Republic Act No. 9485 otherwise
known as the “Anti-Red Tape Act of 2007” and its implementing rules and regulations (IRR):
a. Section 3 of RA 11032 Coverage – “government offices and agencies including local
government units (LGUs), government-owned and controlled corporations and other
government instrumentalities, whether located in the Philippines or abroad, that provide
services covering business and non-business-related transactions as defined in this Act."
b. Section 5 of RA 11032, Reengineering of Systems and Procedures – “All offices and agencies
which provide government services are hereby mandated to regularly undertake cost
compliance analysis, time and motion studies, undergo evaluation and improvement of
their transaction systems and procedures and reengineer the same if deemed necessary to
reduce bureaucratic red tape and processing time.”

"The Anti-Red Tape Authority, created in this Act, shall coordinate with all government
offices covered under Section 3 of this Act in the review of existing laws, executive issuances
and local ordinances, and recommend the repeal of the same if deemed outdated,
redundant, and adds undue regulatory burden to the transacting public.

"All proposed regulations of government agencies under Section 3 of this Act shall undergo
regulatory impact assessment to establish if the proposed regulation does not add undue
regulatory burden and cost to these agencies and the applicants or requesting parties:
Provided, That when necessary, any proposed regulation may undergo pilot
implementation to assess regulatory impact.

"Upon effectivity of this Act, all LGUs and NGAs are directed to initiate review of existing
policies and operations and commence with the reengineering of their systems and
procedures in compliance with the provisions of this Act, pending the approval of the
implementing rules and regulations (IRR) thereof."

c. Sec. 17. Anti-Red Tape Authority. - The Authority shall have the following powers and
functions:

"(f) Recommend policies, processes and systems to improve regulatory management to

increase the productivity, efficiency, and effectiveness of business permitting and licensing
agencies;

5
 "(g) Review proposed major regulations of government agencies, using submitted
regulatory impact assessments, subject to proportionality rules to be determined by the
Authority;

"(h) Conduct regulatory management training programs to capacitate NGAs and LGUs to
comply with sound regulatory management practices;

"(i) Prepare, in consultation with the appropriate agencies, regulatory management

manuals for all government agencies and/or instrumentalities and LGUs;

"(j) Provide technical assistance and advisory opinions in the review of proposed national
or local legislation, regulations or procedures;

"(k) Ensure the dissemination of and public access to information on regulatory

management system and changes in laws and regulations relevant to the public by
establishing the Philippine Business Regulations Information System;

d. Section 5 of the Implementing Rules and Regulations of RA 11032 – “Pursuant to the

mandate of the Authority under this Act, and to ensure the compliance with the obligations
set forth, the Authority requires all agencies to conduct a Regulatory Impact Assessment
(RIA) for the purpose of reviewing, simplifying, modifying, modernizing regulations, laws,
issuances, and ordinances to reduce regulatory burden and cost. All agencies shall conduct
a RIA for all its proposed major regulations subject to proportionality rules. It shall likewise
apply to existing regulations or regulatory changes that are outdated, redundant, and adds
undue regulatory burden to the transacting public.

Each agency shall conduct a RIA and draft the Regulatory Impact Statement (RIS). The RIS
is a document prepared by a regulatory body before a new regulation is introduced, or an
existing regulation is modified or repealed. The RIS assists in decision-making by presenting
the RIA in a clear, concise, and structured framework.

The Authority shall review the quality of a RIA in order to avoid the overlapping of
regulations across agencies and to reduce regulatory burden and cost.

When necessary, a proposed regulation may undergo pilot implementation to assess

regulatory impact subject to the clearance of heads and agencies.”

e. Section 6 of the Implementing Rules and Regulations of RA 11032 - Notification and

Regulations Review Process

“a) Compulsory notification. All government agencies covered under Section 3 of the Act
shall notify the Authority of every formulation, modification, and repeal of regulations. The
submission of an intent to formulate, modify, or repeal a regulation to the Authority by a
regulatory agency shall include the rationale for the proposed and existing regulation and
all the necessary documentations used in conducting the research for the proposed and
existing regulation.

6
 b) RIA requirement. All government agencies covered under Section 3 of the Act shall
conduct a RIA. The agencies shall conduct consultations to ensure the quality of a
regulation. The regulatory agency shall properly disseminate the result of the RIA on a
particular regulation as a feedback and feedforward mechanism.

c) Submission of RIS to the Authority. RIS submitted by any agency shall be reviewed by the
Authority. Meetings shall be organized, as deemed necessary by the Authority, for the
purpose of reviewing the results of the RIA.

d) Approval of RIS by the Authority. The Authority shall approve or disapprove the RIS, based
on the results of the review.

e) Provide RIA to Congress. The Authority, if it deems necessary, may forward the RIA and
the results of its review to Congress, for appropriate action.”

f. Section 7 of the Implementing Rules and Regulations of RA 11032 - Review, Impact Analysis,
and Repeal of Regulations

“Within six (6) months from the effectivity of the Rules, all offices, agencies, and local
government units covered by Section 3 of the Act, shall review and harmonize their existing
regulations relative to business-related and non-business transactions and repeal
unnecessary and redundant policies to lessen regulatory burdens, subject to the
corresponding guidelines issued by the Authority.”

“The Authority, motu proprio or upon receipt of a complaint that a regulation is outdated,
redundant, or adds undue regulatory burden to the transacting public, may exercise its
power of review in accordance with the Act and recommend the repeal of the reviewed law,
executive issuance, and/or local ordinance, if warranted.”

2. Administrative Order No. 23, series of 2020 entitled “Eliminating Overregulation to Promote
Efficiency of Government Processes
a. Section 1. Elimination of Overregulation – “All national government agencies covered by
Section 3 of RA No. 9485, as amended, are directed to hasten the reform of their processes
in order to eliminate overregulation.”
b. Section 2. Compliance – “The ARTA, pursuant to its mandates under RA No. 9485, as
amended, in coordination with the Anti-Red Tape Unit established per covered agency, shall
monitor and ensure compliance with this directive to eliminate overregulation.

D. COVERAGE

Recognizing the need for both ARTA and the government agencies to adapt to the intricacies in conducting
RIA, ARTA will be implementing RIA in phases. For its first phase, RIA shall be applied to identified priority
government agencies as identified in ARTA Memorandum Circular 2021-06.

7
E. ROLE OF THE ANTI-RED TAPE AUTHORITY

The Anti-Red Tape Authority (ARTA), hereinafter referred to as the “Authority”, is the lead agency that will
oversee the implementation of the RIA process. ARTA is the regulatory oversight body that shall review the
Preliminary Impact Statements (PIS) and Regulatory Impact Statements (RIS) submitted by the
government agencies.

1. Better Regulations Office (BRO)

The Better Regulations Office Sectoral Divisions, is the main office responsible for the oversight of the RIA
process and the review of the PIS and RIS. BRO is part of the Office of the Deputy Director General for
Operations of ARTA. It will review the regulatory proposals of the agencies through the submitted PIS and
RIS and coordinate the review of existing laws, executive issuances, and local ordinances, and recommend
the repeal of the same if deemed, outdated, redundant, and adds undue regulatory burden to the public.

The review will be submitted to the Deputy Director General for Operations for approval and
recommendation whether the proposed regulation in the submitted PIS should undergo full-blown RIA or
not. The ARTA Director-General has the power to approve/disapprove the RIS based on the
recommendations of the DDG of Operations.

2. Regulatory Management and Training Division (RMTD)

The Regulatory Management and Training Division under the Better Regulations Office will conduct
regulatory management training programs to capacitate all government offices and agencies including local
government units (LGUs), government-owned or controlled corporations and other government
instrumentalities to comply with sound regulatory practices.

F. IMPLEMENTATION ARRANGEMENTS

1. GENERAL GUIDELINES
a. The process set herein is for the pilot implementation of the Regulatory Impact Assessment Process
and only the identified Pilot Proponent Agencies shall be subjected to the pilot implementation.
b. Prior to the commencement of the implementation, the Authority shall conduct an initial meeting
to provide a brief overview of the RIA Process and the Regulatory Impact Assessment (RIA) Manual
for guidance of the Agencies.
c. The following prescribed processing times shall be followed by the Agencies:
i. Submission of the Preliminary Impact Statement – within ten (7) working days from
receipt of the Authority’s approval of the Regulatory Proposal based on the submitted
Regulatory Notification Form
ii. Submission of the Regulatory Impact Statement – within fifteen (20) working days from
receipt of the notification from the Authority that the regulatory proposal needs to
undergo full-RIA

8
2. PILOT IMPLEMENTATION PROCESS
The Authority deems that the RIA Process should first undergo pilot implementation to determine potential
problem areas that may need reassessment or re-tweaking later on. The pilot is also aimed to determine
the usability of information materials provided by the Authority. The results of the pilot-implementation
will feed into the National Policy on Regulatory Management System (NPRMS) which shall operationalize
RIA and other RMS elements.

For purposes of this Information Paper, only covered agencies mentioned in ARTA MC # 2021-06 shall
follow the regulatory process described herein. The RIA Manual provides further detail and other essential
tools on how to conduct RIA.

Step 1. Convening of the Pilot Proponent Agencies

The Authority shall convene the Pilot Proponent Agencies to provide an overview of the implementation
arrangements set forth and to provide a brief background on the RIA Process.

Step 2. Selection of Regulation to be Subjected to Pilot Implementation

The Agencies can either propose a regulation or propose to review an existing regulation to be subjected
to the RIA Process. In cases wherein an existing regulation has been raised to the Authority for regulatory
review, the subject existing regulation shall be selected to undergo the RIA process herein.

Step 3. Regulatory Notification

Once the Agency has selected a regulation to be subjected for the pilot implementation, the Agency shall
submit the Regulatory Notification Form (ANNEX A) with the attached draft or copy of the selected
regulation (if available) to the Authority for review. In cases wherein the Authority selected the regulation
to undergo the RIA Process, the same Regulatory Notification Form shall be submitted by the Agency.

Step 4. Review of Regulatory Notification Form

Upon receipt of the Regulatory Notification Form, the Authority shall review based on clarity and
completeness of inputs in the Form. Once reviewed and covered by the proportionality rules11, the
Authority shall notify the Agency to proceed with the conduct of the Preliminary Impact Assessment.

Step 5. Agency Conducts Preliminary Impact Assessment and Submits Preliminary Impact Statement to the
Authority
The Agency shall conduct a Preliminary Impact Assessment (PIA)12. The RIA Manual contains further
guidance on how to conduct PIA. Following the conduct of PIA, the Agency submits the Preliminary Impact
Statement (PIS) (ANNEX B) to the Authority for review.

11
Criterion will be discussed during the trainings to be conducted by ARTA. Materials shall be provided by ARTA
accordingly.
12
Preliminary Impact Assessment is a process that the agencies should first undertake whenever a new regulation
or a change to an existing regulation is being considered. The PIA helps the ARTA to determine whether or not a
RIS will be required.

9
Step 6. The Authority Reviews the Submitted PIS
The Authority shall review the submitted PIS and assess whether the conduct of a full-blown RIA will be
required in the assessment of a proposed regulation. If found sufficient, the Agency proceeds to Step 10. If
not, the Agency proceeds to the next step.

Step 7. The Agency Conducts RIA

The Agency conducts a RIA, providing a more detailed quantitative and qualitative assessment of policy
options and its corresponding impacts.

Step 7.1. The Agency Conducts Stakeholder Consultations on the Draft Regulatory Impact Statement (RIS)
A step embedded in the conduct of RIA is the stakeholder consultation process. This is to ensure that all
regulatory proposals are designed through active engagement and participation of stakeholders for
transparency and inclusivity in the policy-making process. The Agency may conduct the consultations in
different modalities with the objective of considering the needs, expertise, inputs of the stakeholders in
the Agency’s decision of the best possible policy option.

Step 8. The Agency Submits the Regulatory Impact Statement (RIS)

The Agency submits the RIS (ANNEX C) to the Authority for review and approval.

Step 9. The Authority Reviews the Submitted RIS

The Authority reviews the RIS for adequacy and quality assurance, and determine whether or not the
analysis assessed different policy options and arrived at the best possible regulatory option that will
produce benefits that will justify costs. Should the Authority deem that the submitted RIS is
incomplete/lacking, the Authority will provide recommendations on how the Agency can further improve
the RIS and recommend to the Agency to defer the implementation of the regulatory proposal or
revoke/repeal an existing regulation. The Authority may request to set a meeting with the Agency should
there be further clarifications on the submitted RIS.

Step 10. The Agency Proceeds with the Implementation of the Regulation
Following the approval of the RIS, the Agency proceeds to the implementation of the regulation. The
Agency and the Authority, shall agree on a target date for the conduct of a post-implementation review
and evaluation of the regulation.

10
ANNEX A. REGULATORY NOTIFICATION FORM

A. PROPONENT AGENCY DETAILS

1. PROPONENT AGENCY
2a. Name
2. Accountable/contact 2b. Designation
officer: 2c. Phone
Number
2d. Email
3. Date
B. TITLE OF REGULATORY PROPOSAL

C. STAGE IN RULEMAKING ☐ Proposed or New ☐ Existing Regulation

If proposed or new regulation, has this been If existing regulation, has this undergone
subjected to stakeholder consultation and/or review by the Agency or been subjected to a
comments? Technical/Post-Implementation Review?

☐ Yes ☐ No ☐ Yes ☐ No

If yes, is the commenting period still open? If no, What is the policy option being considered
when does the Agency plan to conduct the by the Agency following the results of the
consultation/request for comments? review, if applicable?

☐ Repeal
☐ Amendment
☐ Consolidation with another related
issuance
☐ Unsure/Subject to further review

D. PROBLEM ADDRESSED BY THE REGULATION (Describe the nature and extent of the problem
that is being addressed)

E. STAKEHOLDERS/SECTORS AFFECTED (Enumerate the sectors of society to be affected

(applicable for a proposed regulation)/presently affected by the existing regulation. If business-
related, please specify industry sectors [preferably based on PSIC])

F. TIMELINE OF PIA AND RIA PROCESS (Indicate key or target dates of actions involved for the
conduct of RIA e.g. conduct of stakeholder consultation, meeting with technical review
committee, etc.)

12
ANNEX B. PRELIMINARY IMPACT STATEMENT FORM

A. PROPONENT AGENCY DETAILS

1. PROPONENT AGENCY
2a. Name
2. Accountable/contact 2b. Designation
officer: 2c. Phone
Number
2d. Email
3. Date
B. TITLE OF REGULATORY PROPOSAL

C. STAGE IN RULEMAKING ☐ Proposed or New ☐ Existing Regulation

D. Summary of the regulatory proposal:

Briefly describe the proposal in a clear and concise statement:

• Explain the policy problem and the objectives of any government action.
• Identify alternative options considered to address the policy problem and
summarize their impacts.
• Provide a justification for the recommended option and rejection of
other options.

Section 1 – Identification of the policy problem

Briefly explain the problem.
• Provide a clear and concise problem statement.
• Show evidence of the magnitude or risk of harm of the problem and/or
number of affected stakeholders.
• Explain how current regulation or lack thereof fails to address the
policy problem.

Section 2 – Objectives of government action

Briefly identify clear and specific policy objectives of government action.
• State the objectives of the proposal in terms of what is to be achieved
• The objectives should be SMART (specific, measurable,
accountable, realistic, time-bound)

Section 3 – Consideration of alternative options

Briefly identify alternative options to address the policy problem:

13
 • The options being considered (including Do-Nothing or Status Quo Approach)
to achieve the objective
• Identify any options which are limited or constrained (e.g., due to election
commitments, other regulations)

Section 4 – Impact analysis of policy options

Undertake an impact analysis of the different options and state the following:
• Which of the following sectors will the proposed options impact?
o Social (marginalized groups, women, citizens, employees,
consumers, etc.)
o Environment
o Disaster risk reduction objectives
o Economic
▪ Enterprise size (large, MSME)
▪ Types (service, manufacturing, merchandise, hybrid)
▪ Industries affected
• Information on economic, social, or environmental, disaster risk and gender and
social inclusion impacts on stakeholders (specifically identify who these
are and provide brief documentation on impacts by attaching the accomplished
lenses templates to this form)
• A brief and concise description of benefits and costs of each option
o Cost of compliance by affected stakeholder, e.g., firms
o Costs to be incurred by the proponent agency to implement the
preferred option (e.g. conducting information campaigns, developing
auditing systems for monitoring, hiring new staff etc.)

Section 5 – Consultation
Provide information on the following:
• List of stakeholders consulted, categorized according to gender, age and
income class (for individuals), and size of firms (micro, small, medium and
large)
• Issues and concerns raised by stakeholders
• Action taken by Agency on issues and concerns

Section 6 – Conclusion and recommended option

State clearly the recommended option:
• Provide a summary of the impact analysis of the different policy options.
• State the recommended option and explain briefly how it will confer the
greatest net benefit for the stakeholders, and the economy as a whole.
• Explain briefly how stakeholders will comply with the
recommended option.

14
ANNEX C. REGULATORY IMPACT STATEMENT FORM

A. PROPONENT AGENCY DETAILS

1. PROPONENT AGENCY
2a. Name
2. Accountable/contact 2b. Designation
officer: 2c. Phone
Number
2d. Email
3.Section
Date 1- POLICY PROBLEM AND NEED FOR GOVERNMENT ACTION
Description
B. of the
TITLE OF REGULATORY Describe the present situation and what is likely to
PROPOSAL
policy problem occur without government action.

C. STAGE IN RULEMAKING ☐Describe

Proposedtheor New ☐ Existing
nature, size Regulation
and causes of the
problem/s. Identify the groups impacted or likely to be
impacted by the problem/s.
Evidence of the problem/s List any evidence that shows that the problem/s exist
Existing regulation or List existing regulations or other government
other government measures related to the problem/s and explain why
measures relevant to they are not adequately addressing the problem/s.
the problem/s
Rationale for Provide a compelling case for government action
government action

Section 2- POLICY OBJECTIVE

Objective of State the ends that government action would seek
government action to achieve (goals, targets, or the broad policy
outcomes desired).

Section 3- POLICY OPTIONS

List of different policy List the possible options for addressing the problem
options and achieving the objective. One option should be
(regulatory and non- the status quo that describes expected outcome if
regulatory) no additional government action is taken.

Describe key features of each option.

15
Section 4- ASSESSMENT OF IMPACTS OF POLICY OPTION/S
Analysis of
expected impacts of
policy options
Which of the following sectors will the proposed options
impact?
Section 5- CONSULTATION
List of stakeholders
consulted and their views
on the proposed regulation
or option
Section 6- RECOMMENDED OPTION
The option being
recommended to the
decision maker
(department
secretary/head of agency)
Assess the impacts (costs and benefits) of each of the
options on consumers, businesses, government,
community and other relevant stakeholders.
Assess the socio-economic, environmental, gender
and social inclusion, and disaster risk impacts where
relevant.
Assess the likely impact on competition and equity.
Quantify impacts in monetary terms where feasible
and cost effective; otherwise, rigorous qualitative
analysis should be used to demonstrate impacts.
o Social (marginalized groups, women,
citizens, employees, consumers,
etc.)
o Environment
o Disaster risk reduction objectives
o Economic
▪ Enterprise size (large, MSME)
▪ Types (service, manufacturing,
merchandise, hybrid)
▪ Industries affected
• Information on economic, social, or
environmental, disaster risk and gender and
social inclusion impacts on stakeholders
(specifically identify who these are and provide
brief documentation on impacts by attaching the
accomplished lenses templates to this form)
Describe how consultations were done, the
results/information from those consultations, and the
action taken by the Agency on the views/suggestions
given by stakeholders.
State clearly why the chosen option is being
recommended. Indicate how the recommended
provides the greatest net benefit to the people of the
Philippines/relevant stakeholders.
16
Section 7- IMPLEMENTATION AND ENFORCEMENT
Description of Describe the implementation and enforcement plan
implementation and for the recommended option. Discuss any
enforcement plan implementation and/or enforcement issues or risks
and strategies for dealing with them.

Section 8- MONITORING AND EVALUATION

Description of monitoring Describe a strategy for monitoring, reviewing and
and evaluation plan evaluating the recommended option post-
implementation.

17
 Annex C.

Sectoral Mapping of Regulators

Pursuant to the Section 5 of Republic Act 11032, all proposed regulations of government agencies under Section 3 of
this Act shall undergo regulatory impact assessment to establish if the proposed regulation does not add undue
regulatory burden and cost to these agencies and the applicants or requesting parties. Further, the same section
mandates the Anti-Red Tape Authority (ARTA), to coordinate with all government offices covered under Section 3 of
this Act in the review of existing laws, executive issuances and local ordinances, and recommend the repeal of the
same if deemed outdated, redundant, and adds undue regulatory burden to the transacting public:

Page 1 Page 2

In order to optimize the policy making and review process between the regulatory government agencies and the Anti-Red
Tape Authority, we would like to request information on the internal regulatory processes being implemented by each
agency. The information gathered will be used as baseline by ARTA in the drafting of the National Policy on Regulatory
Management System and the Philippine Business Regulations Information System.

Data Privacy Consent

The Anti-Red Tape Authority (ARTA) is guided by the principles of transparency, respect and proactive protection of
personal information of our employees, co-workers in government, service providers, clients and other stakeholders in
accordance with the requirements of RA 10173 or Data Privacy Act of 2012 and its Implementing Rules and Regulations
including the Circulars and Advisories issued by the National Privacy Commission (NPC). You are afforded certain rights
and protection according to the Republic Act 10173 also known as the Data Privacy Act of 2012 and that I may email the
ARTA Data Protection Officer at artadRo@arta.gov.Rh for more information. The complete ARTA Privacy Policy is
accessible at: httRs://arta.gov.RhlRages/dataRrivacy:

By providing the following data, I hereby consent to the following:

1. Processing of my email address to receive emails and invitations to meetings needed for the implementation of the
Regulatory Impact Assessment and the Philippine Business Regulations Information System as deemed necessary by
ARTA; and
2. Processing of the data provided herein for the editing and finalization of the RIA Manual, the National Policy on
Regulatory Management System and the Philippine Business Regulations Information System

Consent: *
O Agree O Disagree

Agency Profile
The following set of questions pertain to your agency. Please provide your agency details below

Agency Classification
@ Central Office O Attached Agency/Bureau O Constitutional Commission

Department *

Name of Agency Representative *

First Last

Designation * Email

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 Sectors Regulated
Following the 2009 Philippine Standard Industrial Classification System, please SELECT ALL (applicable or its equivalent)
Industrial Sections or business/non-business activities/government activities that your agency regulates *
O Agriculture, Forestry and Fishing O Mining and Quarrying
O Manufacturing O Electricity, Gas, Steam and Air Conditioning Supply
O Water Supply; Sewerage, Waste Management and O Construction
Remediation Activities
O Wholesale and Retail Trade; Repair of Motor Vehicles
and Motorcycles

O Transportation and storage O Accommodation and Food Service Activities

O Information and Communication O Financial and Insurance Activities
O Real Estate Activities O Professional, Scientific and Technical Activities
O Administrative and Support Service Activities O Public Administration and Defense; Compulsory Social
Security

0 Education O Human Health and Social Work Activities

O Arts, Entertainment and Recreation O Other Service Activities
O Activities of Households as Employers; Undifferentiated O Activities of Extra-territorial Organizations and Bodies
Goods-and Services-producing Activities of
O Others
Households for Own Use

For additional information and reference the Sections of the 2009 PSIC is available at: htt1J.s://1J.sa.gov.1J.h/classification/1J.sicl?
g=IJ.siclsection

Next

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Sectoral Mapping of Regulators
Pursuant to the Section 5 of Republic Act 11032, all proposed regulations of government agencies under Section 3 of
this Act shall undergo regulatory impact assessment to establish if the proposed regulation does not add undue
regulatory burden and cost to these agencies and the applicants or requesting parties. Further, the same section
mandates the Anti-Red Tape Authority (ARTA), to coordinate with all government offices covered under Section 3 of
this Act in the review of existing laws, executive issuances and local ordinances, and recommend the repeal of the
same if deemed outdated, redundant, and adds undue regulatory burden to the transacting public:

Page 1 Page 2

Divisions/Units Regulated
Please identifY. all divisions/grouP-s/classes that your agency regulates by providing an entry below. If regulatory
processes/practices per division are unique, please submit them as separate entries through the button at the end of the
section.

Divisions Regulated

0 Division 1
Please select the specific division for this entry (Agriculture, Forestry and Fishing) *
O Crop and Animal Production, Hunting and Related Service Activities
O Forestry and Logging
O Fishing and Aquaculture

Please select the specific division for this entry (Financial and Insurance
Activities)
r.i Financial Service Activities, Except Insurance and Pension Funding

O Insurance, Reinsurance and Pension Funding, Except Compulsory Social Security

O Activities Auxiliary to Financial Service and Insurance Activities

Legal Bases
To ensure that regulations imposed in the sector/division/unit are legal and necessary, kindly provide the legal bases of your
agency in regulating the sector/division/activity. Each ent[Y. counts for one legal basis.

0 Legislation 1
Legislation Type and Number

Legislation Short
Title

Provision

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 + Add Legislation

Regulatory Design (Proposed Regulations)

This sub-section refers to the processes and practices of your agency in the drafting and enactment of regulations.

Please provide the specific Bureau/Office/Division/Unit in charge of Policymaking.

Offices assigned to craft/develop regulations and conduct regulatory impact assessment.

Please identify the approving authority *

----�
Choose or Input

Does your agency publish its regulation with ONAR Does your agency utilize a pilot-implementation phase for
QYes @No new regulations?
QYes @No

Does your agency publish proposed regulations on your Does your agency publish existing regulations on your
website? website?
QYes @No QYes @No

Does your agency identify the specific sections of existing Does your agency conduct stakeholder consultations?
regulations to be repealed by a new regulation? QYes @No
QYes @No

Does your agency review its own existing Does your agency review existing agency/department­
agency/department-level regulations prior to issuing level regulations (issued by other agencies) prior to
regulations? issuing regulations?
QYes @No QYes @No

Please provide the policymaking process of your agency (from drafting to implementation)

� or drag files here.

Please provide the consultation process implemented by your agency

Upload ] or drag files here.

Taxonomy of Regulations
Please identify the activities affected by the regulations issued by your agency
O Business Related Activities (Regulations affect opening, operating and closing a business)

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 O Non-Business Related Activities (Regulations affect the public and/or non-business entities)
O Government Related Activities (Regulations affect the operations/service delivery of fellow government
agencies)

For Business Related Regulations: Please provide the specific case-uses wherein your regulations apply
O Opening A Business O Operating a Business O Closing A Business

Forms/Instruments of Regulation
Regulations issued by government agencies are come in different forms/instruments. Kindly identify all forms/ instruments
issued by_Y.our government agency.,_ For each, please provide its purpose and/or case-use. This will be used to determine the
scope and limitation of each instrument as practiced by your agency.

0 Instrument 1
Instrument/Form

Purpose/Case-Use/Legal Effect

Does this form/instrument have a special Please provide the policymaking process of the
policymaking process that deviates to the process assigned agency (from drafting to implementation)
identified above?
Upload ] or drag files here.
QYes @No

+ Add Instrument

Monitoring & Implementation

Please provide the specific Bureau/Office/Division/Unit in charge of monitoring the compliance of regulated entities to
regulations (if any).

Offices assigned to craft/develop regulations and conduct regulatory impact assessment.

Does your agency implement a risk-based framework for Please upload your policy on the implementation of risk­
monitoring compliance? based monitoring (from drafting to implementation) *
QYes @No
� or drag files here.

Please provide the specific Bureau/Office/Division/Unit in charge for the enforcement of regulations to non-complying
entities *

Offices assigned to impose sanctions for non-compliance (i.e. fines, warning leters, notices, prosecutions, imprisonment)
banning activities

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 Regulatory Review (Existing Regulations)
Does your agency include the following clauses/practices in its regulations?
O Sunset Clause ("Expiration Date" for regulations
O Embedded Review Clause (Date/Event triggering a regulatory review)
O Regulatory offsetting (One-in One Out Rules/Regulatory Cost Thresholds)
O Red Tape Reduction Targets

When are regulations issued by your agency subjected to regulatory review? (Select all that apply)
O When the regulation is scheduled for its routinary review as specified in its text
O When the regulation is scheduled for its routinary review as specified by internal procedures
O When there is general public clamor for the review of a regulation
O When there is clamor by fellow government agencies for the review of a regulation
O When the regulatory costs imposed on a sector reaches a certain threshold
O When a regulation is a subject of a complaint
D Other

On average, how many regulations are subjected by your On average, how many of the regulations subjected to
agency to regulatory review per year regulatory review are repealed
+
I + I I I
What are the primary considerations of your agency in the repeal/revocation/amendment of a regulation?
O The age of the regulation O The costs imposed to regulatees
O Public Consultation/Feedback O Lack of funding/resources to implement a regulation
O New technology for adoption O Re-engineering of processes in the delivery of
regulations

O Economic Impact of Regulation O Alignment with the PDP and Agenda of the
incumbent adminstration

O Problematic implementation of regulation O Unintended effects/consequences of regulation

D Other

Are the results of the regulatory review published? Please select all channels wherein the results are
QYes @No published.
O Government Website
O Physical Publication/Journal
O Notice
O Private Correspondence
D Other

Please upload the process used by your agency in the review of existing regulations *
Upload or drag files here.

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 Forward Planning
Does your agency develop a plan on laws to propose (new legislation), modify or repeal (existing legislation) within a
specific timeframe?
QYes @No

How is this plan (laws) prepared?

Does your agency develop a plan on agency/department-level regulations to introduce, modify or repeal?
QYes @No

How is this plan (regulations) prepared?

+ Add Division

�--B_ac_k _�] [�__s_u_bm_i_t -�

Please do not submit passwords through Cognito Forms.

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 Annex D.

IMPACT ANALYSIS FORM

A. PROPONENT AGENCY DETAILS

1. PROPONENT AGENCY
2a. Name
2. Accountable/contact 2b. Designation
officer: 2c. Phone
Number
2d. Email
3. Date
B. TITLE OF REGULATORY PROPOSAL

C. STAGE IN RULEMAKING ☐ Proposed or New ☐ Existing Regulation

Section 1- POLICY PROBLEM AND NEED FOR GOVERNMENT ACTION

Description of the Describe the present situation and what is likely to
policy problem occur without government action.

Describe the nature, size and causes of the

problem/s. Identify the groups impacted or likely to be
impacted by the problem/s.
Evidence of the problem/s List any evidence that shows that the problem/s exist
Existing regulation or List existing regulations or other government
other government measures related to the problem/s and explain why
measures relevant to they are not adequately addressing the problem/s.
the problem/s
Rationale for Provide a compelling case for government action
government action

Section 2- POLICY OBJECTIVE

Objective of State the ends that government action would seek
government action to achieve (goals, targets, or the broad policy
outcomes desired).

Section 3- POLICY OPTIONS

List of different policy List the possible options for addressing the problem
options and achieving the objective. One option should be
(regulatory and non- the status quo that describes expected outcome if
regulatory) no additional government action is taken.

Describe key features of each option.

Section 4- ASSESSMENT OF IMPACTS OF POLICY OPTION/S
Analysis of
expected impacts of
policy options
Which of the following sectors will the proposed options
impact?
Section 5- CONSULTATION
List of stakeholders
consulted and their views
on the proposed regulation
or option
Section 6- RECOMMENDED OPTION
The option being
recommended to the
decision maker
(department
secretary/head of agency)
Assess the impacts (costs and benefits) of each of the
options on consumers, businesses, government,
community and other relevant stakeholders.
Assess the socio-economic, environmental, gender
and social inclusion, and disaster risk impacts where
relevant.
Assess the likely impact on competition and equity.
Quantify impacts in monetary terms where feasible
and cost effective; otherwise, rigorous qualitative
analysis should be used to demonstrate impacts.
o Social (marginalized groups, women,
citizens, employees, consumers,
etc.)
o Environment
o Disaster risk reduction objectives
o Economic
▪ Enterprise size (large, MSME)
▪ Types (service, manufacturing,
merchandise, hybrid)
▪ Industries affected
• Information on economic, social, or
environmental, disaster risk and gender and
social inclusion impacts on stakeholders
(specifically identify who these are and provide
brief documentation on impacts by attaching the
accomplished lenses templates to this form)
Describe how consultations were done, the
results/information from those consultations, and the
action taken by the Agency on the views/suggestions
given by stakeholders.
State clearly why the chosen option is being
recommended. Indicate how the recommended
provides the greatest net benefit to the people of the
Philippines/relevant stakeholders.
Section 7- IMPLEMENTATION AND ENFORCEMENT
Description of Describe the implementation and enforcement plan
implementation and for the recommended option. Discuss any
enforcement plan implementation and/or enforcement issues or risks
and strategies for dealing with them.

Section 8- MONITORING AND EVALUATION

Description of monitoring Describe a strategy for monitoring, reviewing and
and evaluation plan evaluating the recommended option post-
implementation.