The purpose of this phase is to define, scope and size an issue to determine whether there is a compelling case for regulatory intervention and if so, to make a recommendation to the Minister that the issue proceed to Rule development.

This process starts when an issue has become a priority (perhaps due to high change, public image issues, timing, political imperative) and has been scheduled for policy investigation work.


The inputs to this process are:

  • A PIRA and other information collected during issue and risk assessment in Phase 1: Scoping.


The outcome of this process is that:

  • There is an agreed preferred option for addressing a particular issue, or it is agreed that no intervention is required.
  • If a Rule is the preferred option:
    • there is agreement from the Minister and/or Cabinet that there is a robust policy concept for development of the Rule, and/or
    • the Rule is included for the next Transport Rules Programme for Rule development.


Roles and responsibilities

Roles involved in this process, and responsibilities, are:  



Lead Organisation

i.e. Agency or Ministry

  • Lead policy investigation work, with legal input
  • Ensure adequate regulatory impact assessment is undertaken and outputs produced as appropriate i.e. PIRA, summary of analytical process, Regulatory Impact Statement (RIS) or other documentation. 


  • Ensure the quality and robustness of policy analysis and outcomes
  • Prepare briefing material for the Minister and papers for Cabinet Committees, if required
  • Have ongoing engagement with the Minister, if required
  • Update the Transport Rules Programme, where required.


  • Review and provide feedback on the briefing paper and associated documents
  • Endure that implementation issues are considered.

RIS Panel QA Adviser

Assure quality of the RIS and that:

  • adequate regulatory analysis has been undertaken
  • the RIS complies with Treasury quality requirements.


Agree to the recommendation to add a Rule onto the Rules Programme; and consult Cabinet colleagues, if required.  

Cabinet Economic Growth and Infrastructure Committee (EGI)/ Cabinet

Agree to the policy, and note the Minister’s intention to make the Rule.