This section lists the key documents produced during the Rules processes. For each document it describes the audience, purpose and context, and identifies the phase in which the document is created and/or used. Click on a link to see an example of the document in Templates & examples.              

Document title

Audience

Purpose

Context

Created/used in…

Consultation document

See example

Stakeholders

To provide detailed information about the Rule and its impact so that interested parties may provide input.

Prepared and released by the Lead Organisation to the public and stakeholders when the draft Rule is ready for consultation. Usually part of a consultation package including the Draft Rule, overview document and summary of submissions.

  • Rule Development & Consultation

Letter of Transmittal (MNZ)

Statement of Compliance (NZTA)

Directors Letter (CAA)

Legal Adviser, Ministry

Confirms that the draft Rule:

  • complies with primary legislation authorising the Minister to make ordinary transport Rules
  • conforms with the current Legislation Advisory Committee Guidelines (Guidelines on Process and Content of Legislation; 2001 edition)
  • is legally effective and is, or will be, compatible with complementary legislation (including offences regulations)
  • is written in language that meets New Zealand standards for legislative drafting
  • has been consulted on in accordance with the relevant statutory
  • requirements and best practice guidelines.

Prepared by the Agency when the final draft Rule is passed to the Ministry to commence rule finalisation.

  • Rule Development & Consultation
  • Rule Finalisation & Signature

Legal Memorandum

Minister

Confirms to the Minister that the Rule:

  • complies with primary legislation authorising the Minister to make ordinary transport Rules
  • conforms with the current Legislation Advisory Committee Guidelines(external link)
  • is legally effective and is, or will be, compatible with complementary legislation (including offences regulations)
  • is written in language that meets New Zealand standards for legislative drafting and has been consulted on in accordance with the relevant statutory requirements and best practice guidelines.

Prepared by the Ministry when preparing the final draft Rule for submission to the Minister and or Cabinet for signing.

  • Rule Finalisation and Signature

Policy Investigation and Rule Production Project Plan

  • Ministry
  • Agency
  • Project Team

To plan the work required on a Rules project and to obtain sign-off from the Ministry and Agency on the project plan, timetable and resources.

Prepared by the project lead/manager and project team at the commencement of the phase, to guide the work and timing of the phase.

  • Policy Investigation
  • Rule Development & Consultation

Preliminary Impact and Risk Assessment (PIRA)

See example

  • Lead Organisation
  • Ministry
  • Treasury

For initial assessment of the issue, including to:

  • determine whether Cabinet's Regulatory Impact Analysis requirements apply to a policy initiative
  • identify the potential range of impacts and risks thatmight be presented by the regulatory options for a policy initiative or review, so that these can be appropriately addressed in the regulatory impact analysis undertaken
  • determine the level and sort of policy engagement that Treasury   policy teams wish to have with the lead agency on the initiative
  • confirm whether the nature and size of potential impacts and risks warrant Treasury Regulatory Impact Assessment Team involvement in providing independent assurance on the quality of the Regulatory Impact Statement.
  • Prepared by the Lead Organisation in Phase 1: Scoping.
  • Informs other documents throughout rule making process including RIS, project plan, drafting instructions
  • Scoping
  • Policy Investigation
  • Rule Development & Consultation
  • Rule Evaluation

 

 

 

 

 

 

Regulatory Impact Statement (RIS)

See example

  • Lead Organisation
  • Minister
  • Stakeholders
  • Public

Provides an objective, balanced presentation of analysis and impacts, with any conclusions reached by the Lead Organisation explained and justified. The document:

  • provides the basis for consultation with stakeholders, and with other government agencies
  • provides the basis for engagement with Ministers and thereby helping to inform and influence the policy discussion and Ministers' decisions
  • informs Cabinet about the range of feasible options and the benefits, costs and risks of the preferred option(s), and  enhances transparency and accountability for decision-making through public disclosure once decisions are taken.
  • Prepared by the Lead Organisation, usually during Phase 2: Policy investigation.
  • Informs legal briefing.
  • Treasury publishes on their website for public viewing once the Rule is in-force.
  • Policy Investigation
  • Rule Development & Consultation
  • Rule Finalisation & Signing
  • Rule Evaluation

Rule Drafting Instructions

See example

Rule Drafters – Lead Organisation or Parliamentary Counsel Office 

Provides guidance for drafting the Rule. Summarises the issue/problem being addressed and the legislative changes required.

Prepared by the Lead Organisation Legal Adviser using the Legislative Requirements or other relevant template, when rule development work is to commence.

  • Rule Development & Consultation

Transport Rules Programme

  • Minister
  • Cabinet
  • Agencies
  • Ministry
  • Public

A programme for Rules work presented to Cabinet by the Minister each June, detailing the rules that Transport Ministers expect to sign (or refer back to Cabinet before signing), in the coming year.

Also signals (as an appendix) the policy investigations being conducted or planned   that may also result in proposals to introduce or amend Rules.

Prepared by the Ministry in negotiation with agencies for presentation by the Minister to Cabinet. The programme drives approximately 75% of Rules work in the Ministry and agencies. The balance of work is on significant ‘ad hoc’ issues arising during the year at the Minister’s request or agreement. Once agreed, the programme is published on the Ministry’s website.

May be updated in any phase if a mandate is obtained from the Minister.