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How the RIA Requirements Fit into Your Policy Development Process


Guidelines on the Regulatory Impact Analysis Requirements

Regulatory Impact Analysis Unit, Effective Markets Branch
[ Last Updated 20 April 2007 ]


Within this section …

Flow Chart for Determining Which RIA Requirements Apply to Your Policy Development Process

  • Step 1: Will the proposal result in changes to legislation or regulations?
    • If yes: Go to Step 2
    • If no: RIA requirements do not apply
  • Step 2: Do any of the exemptions apply (refer to paragraph 15)?
    • If no: Go to Step 3
    • If yes: RIA requirements do not apply
  • Step 3: Is the proposal likely to have significant impact on economic growth?
    • If yes: RIAU comment on discussion documents and review RIA analysis and RIS for adequacy, but departments still take overall responsibility
    • If no: RIA requirements apply but RIAU not involved - department solely responsible for ensuring requirements met

What You Need to Do at Each Stage of Policy Development

Stage in policy process RIA requirement RIAU involvement*
Discussion document drafted Must include substantive RIA elements or draft RIS. Must state that these are included. Submit discussion document to RIAU for comment.*
Discussion document submitted to Cabinet (if applicable) Cabinet paper must state whether the substantive RIA elements (or a draft RIS) have been included in the discussion document at a level that is reasonable given the stage of the policy development process and whether the approach in the discussion document complies with the Code of Good Regulatory Practice.  
Discussion document circulated to stakeholders Consultation must be adequate.  
Submissions received    
Submissions analysed Level of analysis must be adequate. Submit analysis to RIAU for review as to adequacy of analysis.*
Further analysis conducted
Analysis completed
RIS prepared RIS must contain the required information and reflect adequate analysis. Submit RIS to RIAU for review as to adequacy of RIS.*
Proposal submitted to Cabinet Requirements for Regulatory Impact Analysis section of Cabinet paper. Include RIAU statement as to adequacy of RIS and analysis.*

*Applies only if the proposal is "likely to have a significant impact on economic growth" (see paragraph 24).

Note that the requirement that the RIA analysis is adequate applies to the entire policy development process - right through the stages of developing and assessing options and choosing the preferred option.


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