Requirements for Discussion Documents
35. Main requirement. Departments must include questions and/or discussion of the substantive RIA elements (problem, what the range of feasible options is, impacts of those options) or they could include a draft RIS in all discussion documents for proposals to which the RIA requirements apply (or may apply). This requirement is not intended to add significant length to discussion documents. The questions and/or discussion need to be at a level that is reasonable given the stage of the policy development process (see frequently asked question 5 below).
36. The discussion document should state that the substantive RIA elements have been included.
Discussion Document Requirements - Frequently Asked Questions
1. What is the purpose of the requirement to include the RIA elements or a draft RIS in discussion documents?
To ensure that analysis of the problem, options, and impacts of those options is considered early in the policy development process and to ensure that stakeholders are consulted on the department's analysis. This should result in better policy analysis.
2. What is a "discussion document"?
For the purposes of these guidelines, a "discussion document" is any written consultation that is undertaken for policy development purposes and is more than minor. If you are unsure whether your written consultation is more than minor, please contact the RIAU.
3. What is the difference between including the RIA elements and including draft RIS?
Including a draft RIS in the discussion document means including a document that takes the form of a RIS in the discussion document. Including questions and/or discussion of the RIA elements means ensuring that the substantive elements that are covered in a RIS (problem, options, and impacts of those options) are discussed in the discussion document and there are questions prompting submitters to comment on these matters.
4. What is the difference between a draft RIS for consultation purposes and a final RIS?
A final RIS will contain the conclusions on what the problem is, what the options are, and what the impacts of those options are. A draft RIS for consultation purposes will include a description of where the department has got to with its thinking on each of the topics covered in a RIS - in this sense it is a partial RIS. It does not need to include data, though if the department has data, this should be included as it helps submitters to provide more informed responses.
5. What does "at a level that is reasonable given the stage of the policy development process" mean?
As a guide, the level of detail should encourage feedback from stakeholders that will enable the department to carry out adequate analysis in the policy development process. For example, a preliminary discussion document may contain only a brief summary of the current thinking on the problem, feasible options, and costs and benefits of these options, with questions asking for comment on whether the outlined perceptions of the problem, options, and impacts of those options are accurate, including whether there are other feasible options or impacts of options identified. Further into the policy development process, the discussion document may contain a detailed problem definition, description of feasible options, and assessment of costs and benefits of these options, with questions asking for comment on whether the analysis is correct.
37. Text for Cabinet papers seeking agreement to release discussion documents. Cabinet papers seeking agreement to release discussion documents must include a Regulatory Impact Analysis section, which states whether the substantive RIA elements (or a consultation 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.
38. Further guidance. For more guidance on writing a good RIS for consultation purposes or a discussion document that contains the substantive RIA elements, see Appendix 2.
When Should the RIAU Be Involved?
39. For proposals that are likely to have a "significant impact on economic growth" (see the tests set out in paragraph 24), departments are required to submit discussion documents to the RIAU for comment. The RIAU will advise on whether the design of the discussion document is likely to enable the department to do adequate RIA analysis. Generally the RIAU will need 10 working days to comment on discussion documents. For a timeline, see paragraph 27.
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