Guide Questions To Legal And Regulatory Framework
Objective (for the whole section):
To assess the extent to which the rule of law applies, as manifest in a country’s legal and regulatory regimes.
Overall Assessment (for the whole section):
- Has the government established an adequate regulatory regime which it can enforce?
- Is the regulatory regime transparent? To what degree can the public seek redress?
- Has the government put in place a deregulation process which follows good practice?
- How effective are on-going reform efforts to address weaknesses?
- Is there political commitment to reforms and if so which areas are the most promising?
- How can ADB contribute (or further contribute) to the design and implementation of the reform process?
Guide Questions:
A. Legal Framework:
- Are politicians and officials subject to all normal civil and criminal laws, without immunity? Do legislators have immunity from prosecution?
- Can citizens bring charges against politicians and officials?
- What remedies are available for citizens affected by acts of mal-administration? Is there an ombudsman or equivalent?
- What mechanisms are there for citizens to bring cases against the government, without cost, e.g. consumer courts?
- Have any politicians been punished/censured for publicly known illegal acts in the last five years?
- Are there publicized whistle-blowing procedures for citizens to report departures from the laws?
- Can citizens be appointed to public boards, oversight bodies, local court operations, etc.?
- Are there legal mechanisms for alternative dispute resolution?
B. Regulatory Regimes
- Organizational issues:
- How are government regulations administered? By government departments? A separate bureau or independent regulatory agencies?
- Are government regulations clear, consistent, comprehensible and accessible to users?
- Are regulatory bodies fully funded through the national budget or can they raise revenues through fees? To what extent do they depend on the national budget for support of their operations.
- In which of the following areas have regulatory bodies been established: banking, insurance and finance; securities and stock exchange; competition and consumer protection; public utilities; environmental protection; corporate governance; professional associations; media/press?
- What organizational forms do such regulatory bodies have? To whom are they formally accountable?
- Does the government regulate the prices of utilities and public services? In what areas – energy and fuel, transport, water, drugs and health products?
- How does the government achieve compliance?
- Transparency and accountability:
- Do public agencies disclose information on their regulatory actions?
- Do they publish regular reports with financial statements?
- Are regulations a) published in a language that most citizens use in daily life, b) made available to any inquirer?
- Redress mechanisms:
- Is there a system of judicial review for challenging administrative actions and seeking redress?
- In addition to judicial review, what mechanisms exist for those challenging regulators’ actions to seek criminal prosecution, financial compensation for damages, or injunctive relief?
- Efficiency and effectiveness:
- Is the volume of government regulation increasing or decreasing?
- How “heavy” is the regulatory environment, e.g. price caps for utilities, public hearings, and environmental rules?
- What steps are being taken to deregulate, streamline and lighten the regulatory process, improve enforceability?
- What is the overall quality and appropriateness of government regulations?
- Does the government set time limits between the request for (e.g.) a license or price change for a utility or public service and the regulator’s ruling? Are these limits complied with?
- Property Rights:
- How well are property rights defined and administered? For example, how enforceable are contracts between private parties?
- Is land titled? How reliable is the titling system?
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