Phase 3: Rule development & consultation

Purpose

The objective of this phase is to:

  • prepare a draft Rule, together with explanatory and communications material
  • undertake public notification and consultation to meet statutory requirements to give interested persons and organisations an opportunity to make input which could inform development of the Rule.

Note:
The level of activity within this phase should be determined on a case-by case basis. When a Rule has been assessed as having ‘significant impact’ then more in-depth preparation, communications planning, and consultation is required.

This process starts when the sponsor at the lead organisation initiates work on a rules project which has a mandate for Rule development work.

Mandate for rule development work

Rule development activities must have the appropriate mandate from the Minister and Cabinet. The following table describes the forms of mandate, usually through the Minister and Cabinet agreeing to the Transport Rules Programme, and when additional mandate should be sought.

Rule Development Phase may commence if…

Public notification and consultation may commence…

The Rule is listed for rule development on the most recent Transport Rules Programme agreed by Cabinet.

Or

The issue is listed in the policy investigation appendix of the most recent annual Rules Programme agreed by Cabinet, and the Minister has since agreed to move the issue onto the Rules Programme.

Note:
It is unlikely that Cabinet would have ‘noted’ the Minister’s intention to make a rule for a policy investigation issue.

Without further mandate.

Note:
It would be desirable to advise the Minister nearer to commencement of public notification and consultation so that he/ she is aware and able to inform colleagues that the draft Rule is about to be released.

The Minister has either directed the Ministry, or has agreed to a Ministry proposal, to add a rule to the Rules Programme.

Note:
This rule/issue was not included, as a rule or a policy investigation, in the most recent Transport Rules Programme agreed by Cabinet.

When Cabinet has been informed and agreed to consultation.

Depending on timing, this could be agreed as part of the next Transport Rules Programme.

Inputs

The inputs to this process are (as relevant):

  • Preliminary Impact Risk Assessment (PIRA), Regulatory Impact Statement (RIS) and other information identified during Phase 1: Scoping and Phase 2: Policy investigation
  • Policy paper/ Cabinet paper
  • Ministerial directive (briefing paper)
  • Transport Rules Programme.

 

Outcomes

The outcome of this process is that a complete Rule package is sent to the Ministry to progress Rule finalisation and signature.

 

Related information

Transport Regulatory Policy Statement(external link)

 

Roles and responsibilities

The roles involved in this process and high level responsibilities are shown below. Detailed responsibilities are described as part of a RACI table within each procedure.

Organisation/Role

Responsibility

Lead Organisation

 

  • Prepare and review the draft Rule, overview and supporting documents; and communications plan.
  • Make any changes required to the consultation package following project team review.
  • Plan and manage the consultation process in accordance with relevant statutory requirements, consultation principles, and the organisation’s established procedures.
  • Ensure adequate communication with the project team and with the other organisation, where relevant.

Ministry

  • Prepare Rule drafting instructions and liaises with drafting agency, Parliamentary Counsel Office (PCO), if PCO is to draft the Rule, or new or amended regulations.
  • If the Lead Organisation, then ensure adequate communication with the Agency.
  • Review the consultation package, if part of the project team or requested by the Agency.
  • Prepare briefings for the Minister.
  • Review draft Rule and explanatory material.

Agency

If not the Lead Organisation, no specific role.

Project sponsors/ steering group

  • Approve the project plan and provide governance for the project. Review and sign-off on the draft Rule and overview.

Project lead or manager

 

Work with the project team to:

  • Prepare a project plan and timetable for the rule development project
  • Implement the project plan, and coordinate and manage the day-to-day rule development work between the Agency and the Ministry.
  • Monitor progress and identify issues that may have an impact on meeting timeframe.
  • Coordinate resolution of issues (including technical, process, timetabling).

Parliamentary Counsel Office (PCO)

Draft:

  • the Rule, if the Rule relates to driver licensing or road users
  • new or amended regulations, if required. 

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