Publications

This report is published in the context of AI Watch, the European Commission knowledge service to monitor the development, uptake and impact of Artificial Intelligence (AI) for Europe, launched in December 2018 as part of the Coordinated Plan on the Development and Use of AI Made in Europe. The report presents the results of the mapping of the use of AI in support of public services in the EU. The analysis serves to contribute landscaping the current state of the art in the field, and provide a preliminary overview of Member States efforts to integrate AI in their government operations and adopt AI-enabled innovations in the public sector. From the analysis it emerges that the interest on the use of AI within governments to support redesigning governance processes and policy-making mechanisms, as well as to improve public services delivery and engagement with citizens is growing. Governments across the EU are exploring the potential of AI use to improve policy design and evaluation, while reorganising the internal management of public administrations at all levels. Indeed, when used in a responsible way, the combination of new, large data sources with advanced machine learning algorithms could radically improve the operating methods of the public sector, thus paving the way to pro-active public service delivery models and relieving resource constrained organisations from mundane and repetitive tasks.

The EU has unveiled an ambitious plan to regulate online platforms, and the European Commission is proposing to introduce ex ante regulation to ensure that markets characterised by large platforms acting as digital gatekeepers remain fair and competitive for innovators, businesses, and new market entrants. The introduction of an ex ante regulatory framework that could limit online platforms' commercial freedom and give wide-ranging enforcement powers to regulators would be a far-reaching step. Against this background, this briefing explains the rationale for regulating digital gatekeepers in the EU and provides an overview of the key policy questions currently under discussion. Recent reports and studies have shown how a few large platforms have the ability to apply a range of practices that raise significant competition issues. The limitation of competition law – essentially applied ex-post after the anti-competitive practices have been implemented – has sparked a debate on whether EU competition rules are still fit for purpose and whether such platforms should not instead be regulated ex ante so as to provide upfront clarity about what behaviour towards users and competitors is acceptable. In this respect, the policy discussion focuses on a number of issues, in particular, how to identify online gatekeepers that should be subject to ex ante regulation, what conduct should be outlawed for those gatekeepers, what obligations should be placed on them (such as data portability and interoperability), and how such innovative regulations should be enforced. Finally, the briefing highlights the initial views of a number of stakeholders.

This report presents the final results of the research “Exploring Digital Government Transformation in the EU: understanding public sector innovation in a data-driven society”, in short DigiGov. After introducing the design and methodology of the study, the report provides a summary of the findings of the comprehensive analysis of the state of the art in the field, conducted reviewing a vast body of scientific literature, policy documents and practitioners generated reports in a broad range of disciplines and policy domains, with a focus on the EU. The scope and key dimensions underlying the development of the DigiGov-F conceptual framework are then presented. This is a theory-informed heuristic instrument to help mapping the effects of Digital Government Transformation and able to support defining change strategies within the institutional settings of public administration. Further, the report provides an overview of the findings of the empirical case studies conducted, and employing experimental or quasi-experimental components, to test and refine the conceptual framework proposed, while gathering evidence on impacts of Digital Government Transformation, through identifying real-life drivers and barriers in diverse Member States and policy domains. The report concludes outlining future research and policy recommendations, as well as depicting possible scenarios for future Digital Government Transformation, developed as a result of a dedicated foresight policy lab. This was conducted as part of the expert consultation and stakeholder engagement process that accompanied all the phases of the research implementation. Insights generated from the study also serve to pave the way for further empirical research and policy experimentation, and to contribute to the policy debate on how to shape Digital Europe at the horizon 2040.

Stakeholder participation in regulatory processes has become increasingly common. The literature on citizen, customer and consumer participation in regulation shows a rise in these types of engagement, based primarily on individual case studies. However, we lack a solid empirical base for the discussion of this trend. This paper asks to what extent and why this rise in participation in regulatory policy-making occurs, creating a cross-sector, cross-country map of participatory regulation. The research is based on a quantitative, dictionary-based analysis of regulatory agencies' annual reports from 1998 to 2017 (n = 781). The findings show a rise in the use of terms related to participation over time, with the notable exceptions of financial and environmental regulators. These terms are most commonly used in EU level agencies, in Australia and France, while being rarely used in the German and Austrian cases. Our analysis shows that polity level variation is a key driver of how regulators use terms related to participation, and argues that such participation is less common in countries in which stakeholder participation is carried out at the national level through centralized corporatist institutions.

This working paper introduces the key concepts and features of anticipatory innovation governance– i.e. the structures and mechanisms to allow and promote anticipatory innovation alongside other types of innovation in the public sector. This paper draws on academic literature and OECD work on a range of areas including public sector innovation, foresight, anticipatory governance and emerging technologies. The paper starts outlining an emerging framework to guide policy making in complex and uncertain contexts and sets out some questions for further research in the area of anticipatory innovation governance.

Regulations are often made during times of uncertainty and/or with haste in responding to an emergency of some kind. Ex post evaluation allows policymakers to assess whether regulations have led to the intended results that were espoused when they were first made. This recognises that all regulations are, to some extent, experiments and that some experiments fail, and others need adjusting, before the desired results materialise. As a core component of any regulatory management system, ex post evaluation is ultimately about ensuring that regulations maximise community well-being over time.
This report provides guidance on the key elements of a sound ex post evaluation system. It illustrates practical elements of ex post evaluation that policymakers should follow when designing ex post evaluation systems, as well as how evaluations themselves can be conducted. As such, this report is a useful tool for countries embarking on ex post evaluations as well as for entities responsible for conducting evaluations in practice.

This policy paper was developed by the Regulatory Policy Division of the OECD Public Governance Directorate, with inputs from behavioural practitioners and policy makers in the International COVID-19 Behavioural Insights and Policy Group. It discusses from a regulatory governance perspective why behavioural insights (BI) should be considered as part of a holistic response to the COVID-19 pandemic, what governance challenges involved in deploying BI against the pandemic, and how some countries have responded to these challenges. Reflecting on these challenges and opportunities allows governments to promote resiliency by preparing the BI field for future crises.

The pace and scope of emerging technologies are creating a sea change for governments and for regulators. They challenge economic regulation by blurring the traditional definition of markets, for example, and by transcending administrative boundaries domestically and internationally. At the same time, the digital transformation is an excellent opportunity for regulators themselves to harness the power of data and digital tools to improve regulation and its delivery. Seizing this opportunity will require fit-for-purpose regulatory frameworks and governance arrangements. This report brings together case studies submitted by members of the OECD Network of Economic Regulators that highlight how regulators have analysed and tackled these issues. The case studies span nine countries and a wide range of sectors (communication, transport, energy, environmental protection) and provide concrete examples of how regulators are responding to innovation in the sectors that they oversee.

Reviving Rationality: Saving Cost-Benefit Analysis for the Sake of the Environment and Our Health explains how Donald Trump destabilized the decades-long bipartisan consensus that federal agencies must base their decisions on evidence, expertise, and analysis. Administrative agencies are charged by law with protecting values like stable financial markets and clean air. Their decisions often have profound consequences, affecting everything from the safety of workplaces to access to the dream of home ownership. Under the Trump administration, agencies have been hampered in their ability to advance these missions by the conflicting ideological whims of a changing cast of political appointees and overwhelming pressure from well-connected interest groups. Inconvenient evidence has been ignored, experts have been sidelined, and analysis has been used to obscure facts rather than inform the public. The results are grim: incoherent policy, social division, defeats in court, a demoralized federal workforce, and a loss of faith in government’s ability to respond to pressing problems. This experiment in abandoning the norms of good governance has been a disaster. Reviving Rationality explains how and why our government has abandoned rationality in recent years, and why it is so important for future administrations to restore rigorous and even-handed cost-benefit analysis if we are to return to a policymaking approach that effectively tackles the most pressing problems of our era.

olicy evaluation is a critical element of good governance, as it promotes public accountability and contributes to citizens’ trust in government. Evaluation helps ensure that decisions are rooted in trustworthy evidence and deliver desired outcomes. Drawing on the first significant cross-country survey of policy evaluation practices covering 42 countries, this report offers a systemic analysis of the institutionalisation, quality and use of evaluation across countries and looks at how these three dimensions interrelate. The report also covers cross-cutting aspects related to regulatory assessment and performance budgeting. The analysis illustrates the role and functions of key institutions within the executive, such as centres of government and ministries of finance. It also underlines the role of supreme audit institutions.

The Justice Department released a report today on the need for Congress to update and improve the Administrative Procedure Act (APA), the 74-year-old statute setting forth the procedures agencies must follow when regulating individuals, businesses, non-profits, and state and local government entities. The report, entitled Modernizing the Administrative Procedure Act, discusses how the administrative state has developed in ways not foreseen by the APA in 1946, how the APA might be legislatively improved, and how this Administration’s improvements to agencies’ regulatory processes could inform modernizing the APA. The Justice Department, which significantly shaped the original APA, hopes that the ideas and insights discussed in the report will encourage and inform much needed action by Congress to modernize the APA.

The report released today is based on a summit held at the Justice Department on December 6, 2019. The summit brought together leading regulatory practitioners, policymakers, and scholars to discuss how best to reform the APA, which remains largely unchanged since its enactment in 1946. These experts offered a variety of ideas, from a variety of perspectives, on how Congress could reform the APA so that regulation better serves the needs of the American people.

“This report aims to disseminate the many good ideas for modernizing the APA offered by participants in the summit,” said Deputy Attorney General Jeff Rosen. “The Justice Department is eager to build on the many improvements the Trump Administration has already made to the regulatory process by working with leaders in Congress to modernize the APA.”

“This important report contributes to the ongoing dialogue about how to make the American administrative system less burdensome, more accountable to the people, and more respectful of the rights of Americans,” said Paul Ray, Administrator of the White House Office of Information and Regulatory Affairs. “It follows on a number of critical reforms by President Trump and is essential reading for anyone who shares a commitment to vindicating the principles of limited, accountable government and the rule of law in today’s world.”