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PFA SECTION 04D 200607 SOI GUIDANCE

By Shane Ross,2014-04-05 04:04
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Help Treasury policy teams determine the level and sort of policy engagement they of the regulatory impact statement (RIS) that informs the policy proposals. services, investment and ideas to and from New Zealand; impact on the

Preliminary impact and risk assessment

    A preliminary impact and risk assessment (PIRA) is intended to:

     Help agencies determine whether Cabinet’s Regulatory Impact Analysis (RIA) requirements

    apply to a policy initiative for which they are responsible.

     Help agencies identify the potential range of impacts and risks that might be presented by the

    policy options for a policy initiative or review, in order that these can be appropriately addressed

    in the regulatory impact analysis undertaken.

     Help Treasury policy teams determine the level and sort of policy engagement they wish to

    have with the lead agency on this policy initiative.

     Help Treasury confirm whether the nature and size of the potential impacts and risks warrant

    RIAT involvement in providing independent assurance on the quality of the regulatory impact

    statement (RIS) that informs the policy proposals.

    It should be started as early as possible in the policy process and should be provided to your

    Treasury policy team as soon as the agency thinks it has enough information to help Treasury

    make a call about the “significance” of the initiative. This may not require definitive answers to all

    questions.

    Name of the responsible government agency:

    Title of policy work programme or proposal:

If known, the title(s) of the main Act and/or Regulations that could be amended or created:

    Agency contact name and phone number:

Date completed:

    Preliminary Impact and Risk Assessment - Template | 1

Do the RIA requirements apply? Yes/No/Not sure

    Is this policy initiative expected to lead to a Cabinet paper?

     Will this policy initiative consider options that involve creating, amending

    or repealing either primary legislation, or delegated legislation that is a

    regulation for the purposes of the Regulations (Disallowance) Act 1989?

If you can answer “no” to either of these two questions, the RIA requirements do not apply. There is

    no need to complete a PIRA (though the questions might still provide useful prompts).

Additional exemptions from the RIA requirements Yes/No/Not sure

     If this initiative includes legislative options, are they covered by one or

    more of the following exemptions?

     ? Technical “revisions” or consolidations that substantially re-enact the

    current law in order to improve legislative clarity or navigability

    (including the fixing of errors, the clarification of the existing legislative

    intent, and the reconciliation of inconsistencies).

     ? Suitable for inclusion in a Statutes Amendment Bill (if not already

    covered by the point above).

    ? Would repeal or remove redundant legislative provisions.

     ? Provides solely for the commencement of existing legislation or

    legislative provisions.

     ? Needs to be authorised in an Appropriation Bill, an Imprest Supply Bill,

    or a Subordinate Legislation Confirmation and Validation Bill.

     ? Implements Deeds of Settlement for Treaty of Waitangi claims, other

    than those that would amend or affect existing regulatory

    arrangements.

     ? Essential (the minimum necessary) in order to comply with existing

    international obligations that are binding on New Zealand.

     ? Has no or only minor impacts on businesses, individuals or not-for-

    profit entities (such as might be the case for certain changes to the

    internal administrative or governance arrangements of the

    New Zealand government, like the transfer of responsibilities, staff or

    assets between government agencies).

If all the legislative options associated with this policy initiative qualify for one of these exemptions,

    then the RIA requirements do not apply.

    If claiming a full exemption, please confirm this assessment with your Treasury policy team. You do not

    need to submit a PIRA for this purpose, but you will need to provide information in support of this claim.

    If some aspects of the legislative options for this initiative can stand independently from the rest, and

    qualify for one of these exemptions, then the RIA requirements do not apply to those aspects. Since a

    PIRA will still need to be completed and submitted to your Treasury policy team, it should note any

    important aspects of the initiative for which an exemption is claimed.

    2 | Preliminary Impact and Risk Assessment - Template

The policy issue

    What is the intended scope of the policy initiative?

    Brief description:

What are the main underlying policy issues/problems to which this policy initiative is responding?

    Brief description:

    What is known about the magnitude of these policy issues/problems? Brief description:

    What is the type or nature of the evidence supporting the problem definition? Brief description:

The policy process

    Who has commissioned this work? Who is responsible for its delivery? Brief description:

    What is the expected policy process, and expected timing of key deliverables? (Is this initiative in your current regulatory plan? Is this policy process constrained by any commitments or

    existing obligations?)

    Brief description:

    What consultation process is planned, and who will be consulted? Brief description:

If any established methodology or form of analysis is to be followed or incorporated, please identify

    Brief description:

    Preliminary Impact and Risk Assessment - Template | 3

The policy options

    If the range of policy options to be considered is already constrained by existing legislation or

    previous Cabinet decisions, what are those constraints?

    Brief description:

    If this involves only delegated legislation, what is the legislative authority under which it must be made? Brief description:

Which groups are likely to be noticeably affected (either through benefits or costs) by the policy

    options being considered?

    Individuals, families and/or households? Consumers? Employees? Businesses? Not-for-profit organisations (including charities, voluntary organisations and incorporated societies)? People who live in particular regions?

    Users of resources eg, recreational fishers, road-users? Members of particular groups of the population (eg, ethnicities, genders, age groups etc) Central government agencies? Local government? Other? Brief description:

    Policy impacts Yes/No/Not sure Will any policy options that may be considered, potentially: ? Take or impair existing private property rights? ? Affect the structure or openness of a particular market or industry? For example, assist or hinder businesses to provide a good or service;

    establish or remove a licence, permit or authorisation process; create or

    remove barriers for businesses to enter or exit an industry?

     ? Impact on the environment, such as regulations that affect the use and

    management of natural resources?

    ? Have any significant distributional or equity effects? For example, where significant costs are imposed or significant benefits

    conferred on different sectors of the population?

    ? Alter the human rights or freedoms of choice and action of individuals? 4 | Preliminary Impact and Risk Assessment - Template

Policy impacts Yes/No/Not sure

    ? Have any other significant costs or benefits on businesses, individuals

    or not-for-profit organisations?

    For example impose additional compliance costs; introduce or alter government cost recovery arrangements; impact on New Zealand’s

    international capital flows or trade including the flows of goods, services,

    investment and ideas to and from New Zealand; impact on the incentives to

    work or the mobility of labour, or to invest in education or skills; impact on

    resource allocation, saving or investment?

For the major types of impacts you have identified, please provide brief information about the

    nature and likely magnitude of the impacts (in whatever dimensions seem most useful and available).

Policy, design and implementation risks Yes/No/Not sure

     Is the evidence-base for the effectiveness of different policy options weak

    or absent?

     Are the expected benefits or costs of the policy options likely to be highly uncertain?

     Is the success of any of the options likely to be dependent on other policy

    initiatives or legislative changes?

     Are any of the legislative options likely to have flow-on implications for the future form or effectiveness of related legislation?

    Are any of the legislative options likely to be novel, or unprecedented?

     Are any of the legislative options likely to be inconsistent with

    fundamental common law principles?

     Are any of the legislative options likely to be inconsistent with New Zealand’s international obligations, or New Zealand’s commitment

    toward a single economic market with Australia?

     Are any of the legislative options likely to include a new power to create

    delegated legislation, or grant a broad discretionary power to a public body?

     Are any of the legislative options likely to include provisions that depart

    from existing legislative norms for like issues or situations?

     Are there other issues with the clarity or navigability of, or costs of

    compliance with, the current legislation that it might be good to address at

    the same time?

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    Policy, design and implementation risks Yes/No/Not sure

     Will people with expertise in implementation provide input on the policy

    design before policy decisions are taken?

    Are implementation timeframes likely to be challenging?

     Are the actual costs or benefits highly dependent on the capability or

    discretionary action of the regulator?

    Agency’s preliminary assessment Treasury confirmation Do the RIA requirements apply to this policy process or proposal?

Would any resulting regulatory proposal be likely to have a significant impact or risk and therefore

    require RIAT involvement?

6 | Preliminary Impact and Risk Assessment - Template

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