Decreto nº 10.411, de 30 de junho de 2020 (Decree No. 10,411 of 30 June 2020 (regulates regulatory impact analysis, AIR, under Law 13,874/2019 and Law 13,848/2019))

English translation of the Portuguese text from planalto.gov.br (the Portuguese text is the official one). Retrieved 2026-10-26.

Presidency of the Republic

General Secretariat

Subsecretariat for Legal Affairs

DECREE No. 10.411 OF 30 JUNE 2020

Entry into force

Regulates the

regulatory impact analysis, as provided for in art. 5 of Law No. 13,874 of 20 September 2019 and art. 6 of Law No. 13,848 of 25 June 2019.

THE PRESIDENT OF THE REPUBLIC, in the exercise of the power conferred upon him by art. 84, caput, item IV, of the Constitution, and in view of the provisions of art. 5 of Law No. 13,874 of 20 September 2019 and art. 6 of Law No. 13,848 of 25 June 2019,

DECREES:

Art. 1 This Decree regulates the

regulatory

impact analysis, as provided for in art. 5 of Law No. 13,874 of 20 September 2019 and art. 6 of Law No. 13,848 of 25 June 2019, and provides for its content, the minimum requirements to be examined, the circumstances in which it shall be mandatory and the circumstances in which it may be waived.

§ 1 The provisions of this Decree shall apply to the bodies and entities of the direct, autonomous and foundational federal public administration, when proposing normative acts of general interest to economic agents or users of the services provided, within the scope of their competences.

§ 2 The provisions of this Decree shall apply to proposals for normative acts formulated by collegiate bodies through the body or entity responsible for providing them with administrative support.

§ 3 The provisions of this Decree shall not apply to proposals for the issuance of decrees or to normative acts to be submitted to the National Congress.

Art. 2 For the purposes of the provisions of this Decree, the following are considered:

I - regulatory impact analysis - RIA - a procedure, starting from the definition of the regulatory problem, of prior assessment before the issuance of the

normative acts addressed by this Decree,

which shall contain information and data on their probable effects, in order to verify the reasonableness of the impact

and to support decision-making;

II - low-impact normative act - one that:

a) does not cause a significant increase in costs for economic agents or for users of the services provided;

b) does not cause a significant increase in budgetary or financial expenditure; and

c) does not substantially affect public health, security, environmental, economic or social policies;

III - regulatory outcome evaluation - ROE - verification of the effects resulting from the issuance of a normative act, taking into account the achievement of the originally intended objectives and the other impacts observed on the market and society as a result of its implementation;

IV - regulatory costs - estimate of the direct and indirect costs, identified using the specific methodology chosen for the specific case, that may be incurred by economic agents, users of the services provided and, where applicable, by other public bodies or entities, in order to comply with the new requirements and obligations to be established by the competent body or entity, in addition to the costs to be incurred by the competent body or entity to monitor and supervise compliance with these new requirements and obligations by economic agents and users of the services provided;

V - RIA report - the closing act of the RIA, which shall contain the elements that supported the choice of the most appropriate alternative to address the identified regulatory problem and, where applicable, the draft of the normative act to be issued; and

VI - regulatory stock updating - periodic examination of the normative acts under the responsibility of the competent body or entity, in order to ascertain the relevance of their maintenance or the need for their amendment or revocation.

Art. 3 The issuance, amendment or revocation of normative acts of general interest to economic agents or users of the services provided, by bodies and entities of the direct, autonomous and foundational federal public administration, shall be preceded by an RIA.

§ 1 Within the scope of the Union's tax and customs administration, the provisions of this Decree shall apply only to normative acts that institute or modify ancillary obligations.

§ 1 Within the scope of the Union's tax administration, the provisions of this Decree shall apply only to normative acts that institute or modify ancillary obligations.

(Wording given by Decree No. 11,243 of 2022)

Entry into force

§ 2 The provisions of the caput shall not apply to normative acts:

I - of an administrative nature, whose effects are restricted to the internal scope of the body or entity;

II - of concrete effects, intended to regulate a specific situation, whose addressees are individually identified;

III - that provide for budgetary and financial execution;

IV - that provide strictly on exchange rate and monetary policy;

V - that provide on national security; and

VI - that aim to consolidate other rules on specific matters, without amendment of substance.

Art. 4 The RIA may be waived, provided there is a reasoned decision by the competent body or entity, in the following circumstances:

I - urgency;

II - normative act intended to regulate rights or obligations defined in a hierarchically superior rule that does not allow, technically or legally, different regulatory alternatives;

III - normative act considered to be of low impact;

IV - normative act intended to update or revoke rules considered obsolete, without amendment of substance;

V - normative act intended to preserve liquidity, solvency or soundness:

a) of the insurance, reinsurance, capitalization and supplementary pension markets;

b) of the financial, capital and foreign exchange markets; or

c) of payment systems;

VI - normative act intended to maintain convergence to international standards;

VII - normative act that reduces requirements, obligations, restrictions, requests or specifications with the aim of decreasing regulatory costs; and

VIII - normative act that revises outdated norms to adapt them to technological development consolidated internationally, pursuant to the provisions of Decree No. 10.229, of 5 February 2020.

§ 1º In the cases of waiver of the AIR, a technical note or equivalent document shall be prepared to substantiate the proposal to issue or amend the normative act.

§ 2º In the case of waiver of the AIR due to urgency, the technical note or equivalent document referred to in § 1º shall, mandatorily, identify the regulatory problem to be solved and the objectives to be achieved, in order to support the preparation of the ARR, observing the provisions of art. 12.

§ 3º Except for information subject to access restrictions, pursuant to the provisions of Law No. 12.527, of 18 November 2011, the technical note or equivalent document referred to in § 1º and § 2º shall be made available on the electronic website of the

body or competent entity, as defined in its own rules.

Art. 5º The AIR shall be initiated after the assessment by the competent body or entity as to the mandatory nature or the convenience and opportunity for resolving the identified regulatory problem.

Art. 6º The AIR shall be concluded by means of a report containing:

I - an objective and concise executive summary, which shall use simple language accessible to the general public;

II - identification of the regulatory problem to be solved, presenting its causes and its scope;

III - identification of economic agents, users of the services provided, and others affected by the identified regulatory problem;

IV - identification of the legal basis that supports the action of the body or entity regarding the identified regulatory problem;

V - definition of the objectives to be achieved;

VI - description of the possible alternatives for addressing the identified regulatory problem, considering the options of inaction, normative solutions, and, whenever possible, non-normative solutions;

VII - presentation of the possible impacts of the identified alternatives, including as to their regulatory costs;

VII-A - the impacts on microenterprises and small enterprises;

(Included by Decree No. 11.243, of 2022)

Effective Date

VIII - considerations regarding the information and statements received for the AIR in any social participation processes or other processes for receiving input from interested parties in the matter under analysis;

IX - mapping of international experience regarding the measures adopted to resolve the identified regulatory problem;

X - identification and definition of the effects and risks arising from the issuance, amendment, or repeal of the normative act;

XI - comparison of the alternatives considered for resolving the identified regulatory problem, accompanied by a substantiated analysis containing the specific methodology chosen for the specific case and the alternative or combination of alternatives suggested, considered most adequate for resolving the regulatory problem and achieving the intended objectives; and

XII - description of the strategy for implementation of the suggested alternative, accompanied by the forms of monitoring and evaluation to be adopted and, when applicable, assessment regarding the need for amendment or revocation of norms in force.

Sole paragraph. The content of the RIA report shall, whenever possible, be detailed and complemented with additional elements specific to the concrete case, according to its degree of complexity, scope and repercussion of the matter under analysis.

(Revoked by Decree No. 11.243, of 2022)

Effectiveness

§ 1 The content of the RIA report shall be detailed and complemented with additional elements specific to the concrete case, according to its degree of complexity, the scope and the repercussion of the matter under analysis.

(Included by Decree No. 11.243, of 2022)

Effectiveness

§ 2 In observance of the provisions of item VII-A of the caput,

the RIA report shall include the analysis of the impacts on microenterprises and small businesses and shall provide for the measures that may be adopted to minimize these impacts.

(Included by Decree No. 11.243, of 2022)

Effectiveness

Art. 7 In the preparation of the RIA, one of the following specific methodologies shall be adopted for assessing the reasonableness of the economic impact, referred to in Art. 5 of Law No. 13.874, of 2019:

I - multicriteria analysis;

II - cost-benefit analysis;

III - cost-effectiveness analysis;

IV - cost analysis;

V - risk analysis; or

VI - risk-risk analysis.

§ 1 The choice of the specific methodology referred to in the caput shall be justified and present the comparison between the suggested alternatives.

§ 2 The competent body or entity may choose another methodology besides those mentioned in the caput, provided it justifies that it is the most adequate methodology for the resolution of the concrete case.

Art. 8 The RIA report may be subject to specific social participation carried out before the decision on the best alternative to address the identified regulatory problem and before the preparation of any draft normative act to be issued.

Art. 9 In the event that the competent body or entity opts, after the conclusion of the RIA, for the issuance, amendment or revocation of a normative act to address the identified regulatory problem, the preliminary text of the proposed normative act may be subject to public consultation or consultation with the social segments directly affected by the norm.

Sole paragraph. The holding of public consultation shall be mandatory in the event of Art. 9 of Law No. 13.848, of 2019.

(Revoked by Decree No. 11.243, of 2022)

Effectiveness

Art. 9 In the event that the body or entity opts, after the conclusion of the RIA, for the issuance, amendment or revocation of a normative act to address the identified regulatory problem, the preliminary text of the proposed normative act shall be subject to public consultation.

(Text given by Decree No. 11.243, of 2022)

Effectiveness

§ 1 The public consultation: (Included by Decree No. 11,243, of 2022)

Effective date

I - is an instrument to support decision-making; (Included by Decree No. 11,243, of 2022)

Effective date

II - is the means by which people have the opportunity to express themselves; (Included by Decree No. 11,243, of 2022)

Effective date

III - may include the submission of criticisms, suggestions and contributions by any persons, natural or legal, regarding a proposed norm; (Included by Decree No. 11,243, of 2022)

Effective date

IV - shall begin after the publication of the opening act in the Official Gazette of the Union and the disclosure on the website of the agency or entity; (Included by Decree No. 11,243, of 2022)

Effective date

V - shall have a period proportional to the complexity of the subject; and (Included by Decree No. 11,243, of 2022)

Effective date

VI - also applies to normative acts on licenses, authorizations or administrative requirements established due to the characteristics of goods as a requirement for carrying out import or export operations, pursuant to the provisions of § 1 of art. 10 of Law No. 14,195, of 26 August 2021. (Included by Decree No. 11,243, of 2022)

Effective date

§ 2 Except in cases of urgency, the period referred to in item V of § 1 shall be at least: (Included by Decree No. 11,243, of 2022)

Effective date

I - sixty days, for cases that significantly impact international trade; and (Included by Decree No. 11,243, of 2022)

Effective date

II - forty-five days, for other cases. (Included by Decree No. 11,243, of 2022)

Effective date

§ 3 The opening act of the public consultation shall include: (Included by Decree No. 11,243, of 2022)

Effective date

I - the period of the public consultation; (Included by Decree No. 11,243, of 2022)

Effective date

II - the forms of submission of manifestations; (Included by Decree No. 11,243, of 2022)

Effective date

III - the preliminary draft of the normative act; and (Included by Decree No. 11,243, of 2022)

Effective date

IV - the website on which the other information will be made available. (Included by Decree No. 11,243, of 2022)

Effective date

§ 4 The agency shall make available on the electronic portal referred to in art. 10, at the beginning of the public consultation: (Included by Decree No. 11,243, of 2022)

Effective date

I - the preliminary text of the normative act; (Included by Decree No. 11,243, of 2022)

Effective date

II - the RIA report, except in the hypotheses provided for in § 2 of art. 3 and in art. 4; (Included by Decree No. 11,243, of 2022)

Effective date

III - the studies, data and technical material used as the basis for the proposals submitted to public consultation, except those of a confidential nature; and (Included by Decree No. 11,243, of 2022)

Effective date

III - the studies, data and technical material used as the basis for the proposals submitted to public consultation, except those of a confidential nature or that may entail risk to the stability of the national financial system; and

(Wording given by Decree No. 11,259, of 2022)

Effective date

IV - the institutional contact of the person responsible for the area who can be consulted about questions related to the normative act. (Included by Decree No. 11,243, of 2022)

Effective date

§ 5 For the purposes of complying with the provisions of item IV of § 4, the name and email address of the responsible public agent shall be informed at a minimum. (Included by Decree No. 11,243, of 2022)

Effective date

§ 6 Manifestations by electronic means shall be admissible, in Portuguese, from any person, natural or legal, Brazilian or foreign, regardless of domicile, with anonymity prohibited. (Included by Decree No. 11,243, of 2022)

Effective date

Art. 9-A. The holding of a public consultation is optional in the hypotheses provided for in § 2 of art. 3 and in art. 4.

(Included by Decree No. 11,243, of 2022)

(Effective date)

§ 1 If the agency or entity decides to hold the public consultation in the hypotheses provided for in the caput, the provisions of art. 9 shall apply. (Included by Decree No. 11,243, of 2022)

(Effective date)

§ 2º In the cases provided for in items III, V, VI and VIII of the caput of art. 4, if a public consultation is not held, under the terms set forth in this article, another social participation mechanism shall be used. (Included by Decree No. 11.243, of 2022)

(Effectiveness)

§ 2º In the cases provided for in items III, VI and VIII of the caput of art. 4, if a public consultation is not held, under the terms set forth in this article, another social participation mechanism shall be used.

(Text given by Decree No. 11.259, of 2022)

Effectiveness

Art. 10. The competent body or entity may use the means and channels it deems appropriate to carry out the social participation and public consultation procedures referred to in art. 8 and 9.

Sole paragraph. The procedures referred to in the caput shall guarantee a period for public manifestation proportional to the complexity of the subject.

Art. 10. The social participation and public consultation procedures referred to in art. 8, art. 9 and art. 9-A shall be carried out through the electronic portal Participa +Brasil or the one that replaces it.

(Text given by Decree No. 11.243, of 2022)

(Effectiveness)

Sole paragraph. In the procedures referred to in the caput, a period for public manifestation proportional to the complexity of the subject shall be guaranteed, observing, in the case of public consultations, the provisions of item IV of § 1º and of § 2º of art. 9. (Text given by Decree No. 11.243, of 2022)

(Effectiveness)

Art. 11.

The making available of the preliminary text of the draft normative act subject to public consultation or consultation with the directly affected social segments

does not oblige its publication or condition the body or entity to adopt the predominant positions.

Art. 12. Normative acts whose AIR has been waived due to urgency shall be subject to ARR within three years, counted from the date of their entry into force.

Art. 13. The bodies and entities shall implement strategies to integrate the ARR into the normative elaboration activity with a view to, in isolation or jointly, proceeding to verify the effects obtained by normative acts of general interest to economic agents or users of the services provided.

§ 1º

The ARR may have a thematic character and be carried out only in relation to specific parts of one or more normative acts.

§ 2º

The bodies and entities of the direct, autarchic and foundational federal public administration, with competence to issue normative acts subject to the elaboration of AIR under the terms of this Decree, shall establish an ARR agenda and include in it, at a minimum, one normative act of general interest to economic agents or users of the services provided from their regulatory stock.

§ 3º The choice of normative acts that will integrate the ARR agenda referred to in § 2º shall observe, preferably, one or more of the following criteria:

I - broad repercussion on the economy or the Country;

II - existence of problems arising from the application of said normative act;

III - significant impact on specific organizations or groups;

IV - treatment of matter relevant to the strategic agenda of the body; or

V - in force for at least five years.

§ 4º The bodies and entities shall disclose, in the first year of each presidential term, on their electronic site, the ARR agenda, which shall be concluded by the last year of that term and contain the list of normative acts submitted to ARR, the justification for their choice and their schedule for elaboration of the ARR.

§ 5º Upon conclusion of the procedure referred to in this article, the ARRs elaborated shall be disclosed on the electronic site of the body or entity, except for information with restricted access under the terms of Law No. 12.527, of 2011.

Art. 14. In the event that the competent body or entity opts for the edition or alteration of a normative act as the most appropriate alternative available to address the identified regulatory problem, the maximum period for its verification as to the need to update the regulatory stock shall be recorded in the AIR report or, in the event of § 1º of art. 4, in the technical note or equivalent document.

Art. 15. The competent authority of the body or entity responsible for elaborating the AIR report shall manifest as to its formal adequacy and the intended objectives, so as to demonstrate whether the adoption of the suggested alternatives, considering their estimated impacts, is the most appropriate to address the identified regulatory problem.

§ 1º The AIR report has the objective of subsidizing the decision-making by the competent authority of the body or entity that elaborates it.

§ 2º The AIR report does not bind the decision-making referred to in § 1º and the competent authority of the body or entity is allowed to decide:

I - for the adoption of the alternative or combination of alternatives suggested in the AIR report;

II - for the need to complement the AIR; or

III - for the adoption of an alternative contrary to that suggested in the report, including as to the options of no action or non-normative solutions.

§ 3º Decisions contrary to the alternatives suggested in the AIR report shall be substantiated by the competent authority of the body or entity.

§ 4º Upon conclusion of the procedure referred to in this article or, if applicable, publication of the normative act of general character, the AIR report shall be published on the electronic site of the competent body or entity, except for information with restricted access under the terms of Law No. 12.527, of 2011.

Art. 16. For the purposes of § 2º of art. 6 of Law No. 13.848, of 2019, operationalization of AIR is understood as the definition of the organizational units involved in its elaboration and the scope of their competences.

Art. 17. The bodies and entities shall implement specific strategies for data collection and processing, in order to enable the elaboration of quantitative analysis and, where applicable, cost-benefit analysis.

Art. 17. The bodies and entities shall implement specific and efficient data collection and processing strategies, in order to enable the preparation of quantitative analysis and, where applicable, cost-benefit analysis.

(Text provided by Decree No. 11,243, of 2022)

Art. 18. The bodies and entities shall keep their RIA reports available for consultation on their electronic site and shall ensure easy access to their location and identification of their content to the general public, except those with restricted access under the terms of Law No. 12,527, of 2011.

Art. 19. The body or entity shall make available on its electronic site the analysis of the information and the manifestations received in the public consultation process after the final decision on the matter.

Art. 19. The body or entity shall make available on the electronic portal referred to in art. 10,

observing the legal hypotheses of confidentiality:

(Text provided by Decree No. 11,243, of 2022)

Effective Date

I - within thirty days, counted from the date of the closing of the public consultation:

(Included by Decree No. 11,243, of 2022)

Effective Date

a) the criticisms and suggestions received; and

(Included by Decree No. 11,243, of 2022)

Effective Date

b) the names of the persons, natural or legal, who sent the manifestations;

(Included by Decree No. 11,243, of 2022)

Effective Date

II - within thirty days, counted from the date of the final deliberation regarding the regulation by the highest authority of the body or entity:

(Included by Decree No. 11,243, of 2022)

Effective Date

a) the position of the body or entity on the criticisms or suggestions presented during the public consultation process; and

(Included by Decree No. 11,243, of 2022)

Effective Date

b) the relevant changes made in the normative act since its availability for public consultation and the grounds for said changes.

(Included by Decree No. 11,243, of 2022)

Effective Date

Sole paragraph. The body or entity is not obliged to comment on or consider individually the information and manifestations received and may group them by connection or eliminate the repetitive ones and those with content not connected or irrelevant to the matter under analysis.

Art. 20. The competence referred to in § 7 of art. 9 of Law No. 13,848, of 2019, shall be exercised by the Secretariat of Advocacy for Competition and Competitiveness of the Special Secretariat of Productivity, Employment and Competitiveness of the Ministry of Economy.

Sole paragraph. The provisions of the caput do not apply to the competence of the Secretariat of Evaluation, Planning, Energy and Lottery of the Special Secretariat of Finance of the Ministry of Economy when dealing with the energy sector.

Art. 21. Non-compliance with the provisions of this Decree does not constitute a valid excuse for non-compliance with the edited norm and does not entail the invalidity of the edited norm.

Art. 22. The obligation to prepare RIA does not apply to proposals for normative acts that, on the date of effect of this Decree, have already been submitted to public consultation or another mechanism of social participation.

Art. 23. The bodies and entities shall disclose on their electronic site, by 14 October 2022, an ARR agenda to be completed by 31 December 2022, accompanied by the list of normative acts to be submitted to ARR, the justification for their choice and the schedule for the preparation of the evaluations.

Art. 24. This Decree enters into force on the date of its publication and produces effects on:

I - 15 April 2021, for:

a) the Ministry of Economy;

b) the regulatory agencies referred to in Law No. 13,848, of 2019; and

c) the National Institute of Metrology, Quality and Technology - Inmetro; and

II - 14 October 2021, for the other bodies and entities of the direct, autarchic and foundational federal public administration.

Brasília, 30 June 2020; 199th of Independence and 132nd of the Republic.

JAIR MESSIAS BOLSONARO

Paulo Guedes

This text does not replace the one published in the DOU of 1 July 2020.

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