{"id":29,"date":"2022-06-24T16:07:26","date_gmt":"2022-06-24T16:07:26","guid":{"rendered":"https:\/\/pennreg.org\/regulatory-excellence\/?page_id=29"},"modified":"2023-02-18T20:17:54","modified_gmt":"2023-02-18T20:17:54","slug":"papers-reports","status":"publish","type":"page","link":"https:\/\/pennreg.org\/regulatory-excellence\/papers-reports\/","title":{"rendered":"Papers &amp; Reports"},"content":{"rendered":"\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p>The Best-in-Class (BiC) Regulator Initiative identified core attributes of regulatory excellence to develop a forward-looking, generalizable framework that any regulator can use to track and improve its performance.&nbsp; The Initiative generated the following papers and reports: &nbsp;&nbsp;<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"#strategic\" target=\"_blank\" rel=\"noreferrer noopener\">Strategic Plans Paper<\/a><\/li>\n\n\n\n<li><a href=\"#research\" target=\"_blank\" rel=\"noreferrer noopener\">Research Papers on the \u201cRegulatory Core\u201d<\/a><\/li>\n\n\n\n<li><a href=\"#discussion\" target=\"_blank\" rel=\"noreferrer noopener\">Discussion Papers on \u201cWhat Makes a Regulator Best in Class?\u201d<\/a><\/li>\n\n\n\n<li><a href=\"#dialogue\" target=\"_blank\" rel=\"noreferrer noopener\">Dialogue Session Reports<\/a><\/li>\n\n\n\n<li><a href=\"#convenor\" target=\"_blank\" rel=\"noreferrer noopener\">Convenor\u2019s Report<\/a><\/li>\n<\/ul>\n\n\n\n<p>As these papers and reports were drafted, they were linked to on this page and on the \u201c<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/research\/\">Research<\/a>\u201d page. Their release was announced on our \u201c<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/news\/\" target=\"_blank\" rel=\"noreferrer noopener\">News<\/a>\u201d page. We invite comment on any of these projects.<br><\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h2 class=\"wp-block-heading\" id=\"strategic\"><a href=\"https:\/\/www.law.upenn.edu\/live\/files\/4460-finkel-walters-corbett-strategic-plan-analysis-ppr\" target=\"_blank\" rel=\"noreferrer noopener\">Strategic Plans Paper<\/a><\/h2>\n\n\n\n<div style=\"height:10px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p>This paper identifies regulator-identified attributes of excellence by reviewing strategic plans for common themes and attributes related to superior performance. It identifies common issues and themes, and points to best features and deficiencies in the plans.\u00a0 This paper distills from what these other agencies identify in their own\u00a0<a rel=\"noreferrer noopener\" href=\"https:\/\/upenn.box.com\/s\/k4ggur5gnbfr118i4x6qksnb0hvd670l\" target=\"_blank\">strategic plans<\/a>\u00a0to be the common attributes or frameworks that appear to be used in practice to define superior regulatory performance around the world, developing a coherent set of complementary attributes drawn from the overall review.\u00a0 The full paper is available\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/wp-content\/uploads\/sites\/5\/2023\/01\/finkel-walters-corbett-strategic-plan-analysis-ppr.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">online<\/a>.<\/p>\n\n\n\n<p><strong>Principal Researchers:<\/strong><\/p>\n\n\n\n<p><a href=\"https:\/\/urldefense.com\/v3\/__https:\/\/sph.umich.edu\/faculty-profiles\/finkel-adam.html__;!!IBzWLUs!XRqrgklR4H_o_d4ZFJ4Fgcpr3WY7dxe05m777ODsIzZM8C-HMSN2tzvP8oWmkuq-KeVfbGZNvgsp0BUWCi2fMSdYaKs$\" target=\"_blank\" rel=\"noreferrer noopener\">Adam Finkel<\/a>, Penn Program on Regulation<br><a href=\"https:\/\/urldefense.com\/v3\/__https:\/\/law.tamu.edu\/faculty-staff\/find-people\/faculty-profiles\/daniel-e.-walters__;!!IBzWLUs!XRqrgklR4H_o_d4ZFJ4Fgcpr3WY7dxe05m777ODsIzZM8C-HMSN2tzvP8oWmkuq-KeVfbGZNvgsp0BUWCi2fZWgvJQE$\" target=\"_blank\" rel=\"noreferrer noopener\">Dan Walters<\/a>, Penn Program on Regulation<br><a href=\"https:\/\/www.law.upenn.edu\/faculty\/corbetta\/\" target=\"_blank\" rel=\"noreferrer noopener\">Angus Corbett<\/a>, Penn Program on Regulation<\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h2 class=\"wp-block-heading\" id=\"research\"><a href=\"https:\/\/pennreg.org\/regulatory-excellence\/research\/#research\" target=\"_blank\" rel=\"noreferrer noopener\">Research Papers on the \u201cRegulatory Core\u201d<\/a><\/h2>\n\n\n\n<div style=\"height:15px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p>In addition, we commissioned research papers on four primary dimensions of a regulator\u2019s work:\u00a0<em>Priority Setting<\/em>,\u00a0<em>Problem Solving<\/em>,\u00a0<em>People<\/em>\u00a0(internal management), and the\u00a0<em>Public<\/em>\u00a0(external engagement).\u00a0 As illustrated in the figure on this page, each of these four areas interact to result in the outcomes of concern to the public and to the policymakers who established the regulator to solve particular problems.<br><br>By surveying existing research, the work on these \u201cregulatory core\u201d\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/research\/#research\" target=\"_blank\" rel=\"noreferrer noopener\">papers<\/a> informed PPR\u2019s identification of possible attributes a BiC regulator might exhibit in each of these core areas.\u00a0 They also provide a research base for further progress by the AER and other regulators toward the achievement of continuous improvement.\u00a0 A total of five comprehensive\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/research\/#research\" target=\"_blank\" rel=\"noreferrer noopener\">research papers<\/a>\u00a0were prepared for this part of the project.<\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h4 class=\"wp-block-heading\">Priority-Setting<\/h4>\n\n\n\n<p>Selecting a regulator\u2019s priorities from the universe of possible problems within the scope of the regulator\u2019s authority (<em>risk analysis, risk management decision analysis<\/em>).<\/p>\n\n\n\n<p><strong>Principal Researchers:<\/strong><\/p>\n\n\n\n<p><a href=\"https:\/\/risksciences.com\/greg-paoli\/\" target=\"_blank\" rel=\"noreferrer noopener\">Greg Paoli<\/a>\u00a0and Anne Wiles, Risk Sciences International<\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h4 class=\"wp-block-heading\">Problem-Solving<\/h4>\n\n\n\n<p>The tools of regulation and how they are applied (<em>regulatory instrument choice and strategies of regulatory enforcement<\/em>)<\/p>\n\n\n\n<p><strong>Principal Researchers:&nbsp;<\/strong><\/p>\n\n\n\n<p><a href=\"http:\/\/tspppa.gwu.edu\/christopher-carrigan\" target=\"_blank\" rel=\"noreferrer noopener\">Christopher Carrigan<\/a>, George Washington University Trachtenberg School of Public Policy and Public Administration<br><a href=\"https:\/\/www.hhh.umn.edu\/directory\/elise-harrington\" target=\"_blank\" rel=\"noreferrer noopener\">Elise Harrington<\/a>, University of Minnesota Hubert H. Humphrey School of Public Affairs<\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h4 class=\"wp-block-heading\">People<\/h4>\n\n\n\n<p>Management of a regulator\u2019s internal resources (<em>organizational structure and culture<\/em>).&nbsp;<\/p>\n\n\n\n<p><strong>Principal Researchers:&nbsp;<\/strong><\/p>\n\n\n\n<p><a href=\"https:\/\/www.jbs.cam.ac.uk\/faculty-research\/faculty-a-z\/jennifer-howard-grenville\/\" target=\"_blank\" rel=\"noreferrer noopener\">Jennifer Howard-Grenville<\/a>, University of Cambridge Judge Business School<br>Brooke Boren, University of Oregon Lundquist College of Business<br><a href=\"http:\/\/beedie.sfu.ca\/profiles\/StephanieBertels\" target=\"_blank\" rel=\"noreferrer noopener\">Stephanie Bertels<\/a>, Simon Fraser University Beedie School of Business\u00a0\u00a0<br><a href=\"http:\/\/tspppa.gwu.edu\/christopher-carrigan\" target=\"_blank\" rel=\"noreferrer noopener\">Christopher Carrigan<\/a>\u00a0and Lindsey Poole, George Washington University Trachtenberg School of Public Policy and Public Administration<\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h4 class=\"wp-block-heading\">Public<\/h4>\n\n\n\n<p>Interaction with affected individuals and organizations when making and implementing decisions (<em>transparency and public participation<\/em>).<\/p>\n\n\n\n<p><strong>Principal Researchers:&nbsp;<\/strong><\/p>\n\n\n\n<p><a href=\"https:\/\/www.radcliffe.harvard.edu\/people\/jennifer-c-nash\" target=\"_blank\" rel=\"noreferrer noopener\">Jennifer Nash<\/a>, Harvard Radcliffe Institute<br><a href=\"https:\/\/urldefense.com\/v3\/__https:\/\/law.tamu.edu\/faculty-staff\/find-people\/faculty-profiles\/daniel-e.-walters__;!!IBzWLUs!XRqrgklR4H_o_d4ZFJ4Fgcpr3WY7dxe05m777ODsIzZM8C-HMSN2tzvP8oWmkuq-KeVfbGZNvgsp0BUWCi2fZWgvJQE$\" target=\"_blank\" rel=\"noreferrer noopener\">Dan Walters<\/a>, Penn Program on Regulation<\/p>\n\n\n\n<p>Each paper has identified key issues, providing the reader with a thorough background on what is known about each topic and what are the important factors that a regulator seeking excellence should consider.&nbsp;<\/p>\n\n\n\n<p>These research papers on the \u201cregulatory core,\u201d which have been\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/research\/#research\" target=\"_blank\" rel=\"noreferrer noopener\">posted online<\/a>, are intended to provide a menu of options for a regulator to address \u2013 the pros and cons of each, or the conditions under which some options are better than others. The purpose is not necessarily to recommend any particular approach, especially since the research literature is not yet be definitive on some issues.\u00a0<\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h2 class=\"wp-block-heading\" id=\"discussion\"><a href=\"https:\/\/pennreg.org\/regulatory-excellence\/research\/#expert\" target=\"_blank\" rel=\"noreferrer noopener\">Expert Papers on \u201cWhat Makes a Regulator Excellent?\u201d<\/a><\/h2>\n\n\n\n<div style=\"height:15px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p>Defining, and then attaining, regulatory excellence raises a series of questions that the Best-in-Class Regulator Initiative was designed to answer.\u00a0 We assembled a group of internationally recognized experts on regulation who answered the question of \u201cWhat Makes a Regulator Excellent?\u201d in a series of\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/international-expert-dialogue\/#discussion\" target=\"_blank\" rel=\"noreferrer noopener\">discussion papers<\/a>\u00a0that later were expanded into\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/research\/#expert\" target=\"_blank\" rel=\"noreferrer noopener\">chapters<\/a>\u00a0for a <a href=\"https:\/\/www.brookings.edu\/book\/achieving-regulatory-excellence\/\" target=\"_blank\" rel=\"noreferrer noopener\">book<\/a> published by the Brookings Institution Press.\u00a0<\/p>\n\n\n\n<p>These discussion papers approach the general question of regulatory excellence from the distinct disciplinary and research-based perspectives of the individual authors.&nbsp; Collectively, these papers touch on a variety of key issues involved in defining and assessing best-in-class regulatory performance, including:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Which type of problems or risks should a regulator prioritize?<\/li>\n\n\n\n<li>How should a regulator organize resources, implement routines, and pursue efforts to promote compliance or other desired behavior?<\/li>\n\n\n\n<li>How should it measure its own performance and adapt to changing circumstances?<\/li>\n\n\n\n<li>How should the regulator interact with regulated entities and with a wide range of other interested groups and members of the public?<\/li>\n<\/ul>\n\n\n\n<p>Drafts of the discussion papers framed the discussion at the\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/international-expert-dialogue\/\" target=\"_blank\" rel=\"noreferrer noopener\">International Expert Dialogue<\/a>\u00a0held in March, 2015, at the University of Pennsylvania Law School. We invite you to review these papers and welcome feedback or comment on them.<\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h2 class=\"wp-block-heading\" id=\"dialogue\"><a href=\"https:\/\/pennreg.org\/regulatory-excellence\/dialogues\/\" target=\"_blank\" rel=\"noreferrer noopener\">Dialogue Reports<\/a><\/h2>\n\n\n\n<div style=\"height:15px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p>We hosted three key\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/dialogues\/\" target=\"_blank\" rel=\"noreferrer noopener\">dialogue sessions<\/a>\u00a0during the winter and spring of 2015 to foster interactive discussion among both international experts and interested individuals and organizations in Alberta on the attributes of a best-in-class regulator and the metrics for evaluating a regulator\u2019s success in achieving best-in-class status. Each of these sessions was followed by the public release of a\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/research\/#dialogue\" target=\"_blank\" rel=\"noreferrer noopener\">detailed report<\/a>\u00a0synthesizing the key issues discussed, the main themes from each dialogue, and the perspectives shared and trade-offs identified.<\/p>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h2 class=\"wp-block-heading\" id=\"convenor\"><a href=\"https:\/\/kleinmanenergy.upenn.edu\/wp-content\/uploads\/2020\/08\/Listening-Learning-Leading_Coglianese-1.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Convenor\u2019s Report<\/a><\/h2>\n\n\n\n<div style=\"height:15px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p>The various papers and reports of the Best-in-Class Regulator Initiative informed the <a href=\"https:\/\/kleinmanenergy.upenn.edu\/wp-content\/uploads\/2020\/08\/Listening-Learning-Leading_Coglianese-1.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">final convenor\u2019s report<\/a>, developed by\u00a0<a href=\"https:\/\/www.law.upenn.edu\/coglianese\/\" target=\"_blank\" rel=\"noreferrer noopener\">Cary Coglianese<\/a>, which draws on the findings of the other papers and the various dialogue sessions to produce a framework that regulators can use to pursue and measure best-in-class regulatory performance.<\/p>\n\n\n\n<p>The convenor\u2019s report, as with the entire Best-in-Class Initiative, is not an evaluation of the AER\u2019s current or past performance, but rather identifies evidence-based metrics and methodologies that the AER or any regulatory authority could use to guide its management and decision-making.<\/p>\n\n\n\n<p>The final convenor&#8217;s report builds on an\u00a0<a href=\"https:\/\/pennreg.org\/regulatory-excellence\/wp-content\/uploads\/sites\/5\/2023\/01\/bic-regulator-initiative-interim-report-march.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">interim convenor\u2019s report<\/a>,\u00a0which was posted online for public comment.<\/p>\n\n\n\n<p>Following the various dialogue sessions, a draft of the final convenor\u2019s report was subjected to peer review with experts on regulation from around the world.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>The Best-in-Class (BiC) Regulator Initiative identified core attributes of regulatory excellence to develop a forward-looking, generalizable framework that any regulator can use to track and improve its performance.&nbsp; The Initiative generated the following papers and reports: &nbsp;&nbsp; As these papers and reports were drafted, they were linked to on this page and on the \u201cResearch\u201d [&hellip;]<\/p>\n","protected":false},"author":4,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"class_list":["post-29","page","type-page","status-publish","hentry"],"_links":{"self":[{"href":"https:\/\/pennreg.org\/regulatory-excellence\/wp-json\/wp\/v2\/pages\/29","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/pennreg.org\/regulatory-excellence\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/pennreg.org\/regulatory-excellence\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/pennreg.org\/regulatory-excellence\/wp-json\/wp\/v2\/users\/4"}],"replies":[{"embeddable":true,"href":"https:\/\/pennreg.org\/regulatory-excellence\/wp-json\/wp\/v2\/comments?post=29"}],"version-history":[{"count":0,"href":"https:\/\/pennreg.org\/regulatory-excellence\/wp-json\/wp\/v2\/pages\/29\/revisions"}],"wp:attachment":[{"href":"https:\/\/pennreg.org\/regulatory-excellence\/wp-json\/wp\/v2\/media?parent=29"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}