Standards and regulations for a better management of risks
Plan of the presentation 1. Standards ≠ Regulations Referencing standards in regulations o Prescriptive regulations o Performance-based regulations o 2. Use of standards in policy work Implementation o Non-regulatory tools o Regulatory cooperation o 3. Standards and regulations as tools to manage risks n EURASEC o
WP6 on «Regulatory cooperation and std policies» What we are: • I ntergovernmental body • Participation by: authorities, regional & int’l org, standards- setting bodies, business, certification bodies, test houses, civil society • F rom all UN Member States • 1970 – 2 010 : 4 0+ years Our mandate: • Standardization Technical regulations Conformity assessment Accreditation Metrology Market surveillance Risk Management Education x standards Our activities • Share info & best practice • Capacity-building • D evelop and maintain a set of recommendations • I mplement a set of initiatives on specific industrial sectors
WP. 6: Five main areas of work/strategic priorities Forum for dialogue between •E nable and empower both Governments and UN UN & standards community initiatives with a knowledge base as regards standards Sectoral initiatives • Remove technical barriers to trade • Fight proliferation of counterfeit and non-compliant Market surveillance goods on the markets Risk Management in • Safer and more resilient communities and eco-systems Regulatory Frameworks E ducation on standards- •B ring toolbox of standards to the lay person related issues
Plan of the presentation Part 1 • Standards ≠ Technical Regulations («compulsory specifications»)
D efinitions ( WTO) • Technical regulations: document which lays down product characteristics (shape, labelling, design, performance etc.) or related processes and production methods with which compliance is mandatory • Standards: document approved by a recognized body that provides, for common and repeated use, rules, guidelines or characteristics for products or related processes and production methods with which compliance is voluntary
Standards ≠ regulations S tandards Technical Regulations (compulsory specifications) D eveloped by standards development D eveloped by regulatory agencies, by bodies ministries, by parlaments Reasons for development/uptake: Reasons for introduction: - Access to markets / supply chains - P rotect communities, the - Lower operational costs environment and workers from - Increased stability in operations hazards - Gaining public trust - Correct market failures - Regulations: Help monitor - Address public concerns compliance/ P reempt unfriendly reg. D evelopment Consensus-based process; D evelopment: Consensus-based process; P ublication of draft standards; review of P ublication of draft standards; review of approved standards every 3 or 5 years approved standards every 3 or 5 years
Standards ≠ technical regulations Regulations Examples WTO Appellate B ody ( E C - Asbestos and A law stating that only refrigerators that EX - Sardines ) three part test for are one meter high can be sold in State X determining if a measure is a technical regulation: A law stating that all product packaging 1 ) the document applies to an must be recyclable is an example of a identifiable product or group of technical regulation. products; 2 ) the document must lay down one or A government guideline saying that all more product characteristics; eggs weighing 62 grams or more are 3 ) compliance with these characteristics entitled to be labelled “Grade A” must be mandatory. A guideline defining what products can Sardines (EC – Sardines) WT/ D S23 1 /AB/R, display a “recyclable symbol” (products adopted 23 October 2 00 2, paras. 189 - 195 that do not bear the symbol may still be Asbestos (EC-Measures Affecting Asbestos- sold). Containing Products), WT/ D S 1 3 5 /AB/R, adopted 5 April 2 001 , paras. 66- 70 .
Standards ≠ regulations M andatory standards? – for the purposes of WTO – do not exist but… in fact they are widely used! China: «GB» standards • Australia/NZ: M andatory Product Safety Standards • on Consumer Products (Baby walkers/ bicycles/ children's nightwear and cots/children' toys/ Cigarette lighters standard) US: Electrical code • APEC: Building codes • UNECE: World vehicles regulations •
Use of standards in regulations Regulations Standards O R ? Standards ≠ regulations
Use of standards in regulation Regulatory authorities should whenever possible make use of international regional and national standards in regulatory work. Regulatory authorities should endeavour to apply “references to standards” methods that respect their voluntary nature
Methods of reference 1- E xclusive (direct ) references Specific standard quoted by: number and title Avoids reproduction of the standard in the legal text T wo forms: dated and undated D ated direct references: Undated direct references: Number , title and date of publication . Number, title but not the date This can help give legal certainty, More flexible assurance and clarity No update to legal text needed But: Law needs to be changed Authority loses its control on reg. instr. whenever the standard changes
Methods of referencing 2 – Indicative (or “indirect” reference ) R egulation : Essential Requirements + A clause : Product/process is presumed to comply with the requirements if it conforms to + A list: of applicable international standards that correspond as a whole or partially to the requirements List should be : external to regulatory text / kept up to date/ available to everyone
Reference to standards M ethod Example D irect dated reference T he waste hazardous material container shall conform to ISO/DIN/CEN XXXX:2003 T I TL E. D irect undated reference T he waste hazardous material container shall conform to the latest edition of ISO/DIN/CEN XXXX T I TL E Indirect reference Where the product meets the relevant ISO/DIN/CEN standard whose reference number has been published in (REFER T O OFFICIA L L IS T ING) the relevant authorities shall presume compliance with the requirements of this law. A product shall be presumed safe when it conforms to ISO/DIN/CEN standards, the references of which have been registered on (REFER T O OFFICIA L L IS T ING).
Standards and regulations Indicative P rescriptive reference regulations P erformance- E xclusive based reference regulations
Advantage of performance-based reg. Recent technological developments can be • fed into the national regulatory system Efficiency of regulatory work is enhanced • Ease the burden of compliance for economic • operators Puts responsibility on the individual firm for • meeting a specific target through its own criteria and systems “Good regulatory practice”. •
Plan of the presentation Part 2 • Use of standards in policy work
T here is more to regulations than a law!
Use of standards in policy work Standards - referenced in regulations • Are used throughout the system that • supports regulatory implementation Standards - support, enhance and help • evaluate policy action: procurement, voluntary certification schemes (e.g. cuts in insurance premiums) Standards as the basis of Regulatory • Cooperation
Use of standards in policy work M ethod Example Incentive U S: National Flood Insurance Program's (NFIP) offers reasonably priced flood insurance for homeowners of communities that comply with minimum standards for floodplain management. In addition, the Community Rating System (CRS) is a voluntary incentive program for communities that go beyond minimum requirements, entitling homeowners in their communities to cuts up to 45% on insurance P rocurement UK : Government Buying Standards (GBS) allow authorities to buy “green “ goods/services E valuate Emergency Management Accreditation Program (EMAP) to certify policy work state and local emergency management programs against standards such as the Standard on Disaster/Emergency Management and Business Continuity (jointly developed by ANSI – the American National Standards Institute – and the NFPA - National Fire Protection Association).
Standards for B etter and convergent regulations
Recommendation L
Recommendation L (continued ) • In sectors of high concern • Governments define “common regulatory objectives” i.e. they define legitimate government concerns (public health, safety, protection of the environment, interoperability, etc ) � • And agree on how to reach them • B y reference to international standards • Specifying: – how compliance is assessed – which conformity assessment bodies are recognized as competent, – what competence criteria are to be fulfilled – other flanking issues
Recommendation L • A set of tools • Countries can use to harmonize their technical regulations and regulatory systems in any sector at a regional or global level • It has also been used to harmonize regulations in all sectors between two countries or within a customs union • B uilds on the principles of the WTO T B T Agreement but goes further
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