Phase 3: Rule development & consultation

Set up Rules project


When to use

Follow these steps to establish the project team, resources, governance, plan and timetable for a new Rules development project, when the sponsor initiates the project.

The Lead Organisation will have already been confirmed. This is usually the same (usually the Agency) as for Phase 2: Policy Investigation.



This RACI table describes the roles involved, or potentially involved, in this activity:





Project Lead/Manager

Relevant Sector Policy Manager  

Relevant Sector General Manager

Sponsors at both organisations

Rules Coordinator

Senior Policy Manager, Ministry

Managers of project team members

Related sector teams at the Ministry and Agency(ies)

Sector stakeholders

Compliance Auditors


Tools, templates and guidelines

Policy Investigation and Rules Production Project Plan template [DOCX, 30 KB].

CAA only:

  • Project Scope Statement

Ministry only:



This procedure involves the following activities:


Establish a project team and project governance structure

  • Use the table below as guidance to identify roles required in the project team and governance structure, and who should be appointed to those roles. Refer also to the RACI tables within Phase 3 procedures.

The nature and impact of the issue and/or Rule, will guide the size and composition of the project team and governance structure. For example, if a:

  • Minor issue, then most roles may be from the Agency, and could be performed by only a few people.
  • Significant issue, then the project team is likely to include both Agency and Ministry people in all roles from advisers to sponsors.


Table: Project team and Governance Structure



Project Lead /

Project Manager

  • May have to work with a team across the Agency and/or Ministry.
  • If a minor issue, could be a policy adviser, or if a major issue, a more senior role.

Project Team

  • Should include representatives from the following areas, as required:
    • Policy
    • Technical/operations  
    • Legal
    • Communications (if a high profile issue)
    • Finance
    • Governance
  • May also include other government departments, entities, local government, groups such as Police, Worksafe, ACC, Local Government New Zealand, Treasury, MBIE, MFE, either generally or for specific workstreams.

Steering Group

  • If a significant level issue, then need to be senior managers or others able to provide expert oversight.
  • Must include as a minimum, a policy/technical manager
  •   Could   also include:
    • Rules coordinator or legal manager
    • Relevant sector team managers (or equivalent)
    • Ministry General Managers or Regulatory Reform Programme Manager.


  • There should always be a sponsor from both the Ministry and the Agency
  • This is a very important role required to drive the success of the project and to work through roadblocks.
  • If a significant issue, then must be at general manager (or equivalent level), or their delegate, to ensure awareness of the proposed Rule throughout the organisation(s).
  • If a minor or operational issue, sponsors may be less senior.

RIS Panel Adviser

  • If required, an adviser from the RIS QA Panel who could be from the Ministry or any agency. 

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Prepare a project plan for Phase 3: Rule Development

  • This task is led by the project lead/manager and involves project team members. 
  • Use the relevant project planning tools, as outlined below.


Use this template...




Project Scope Statement

  • Refer also to the RACI tables within Phase 3 procedures to identify relevant roles for the project.
  • Record in the plan:
    • key tasks, deliverables and target completion dates.
    • resources (including time) required to complete the work.
    • who all the appointments are for the project team and governance structure.
    • confirmed internal sign-off processes for the Agency and Ministry.
  • Obtain sign-off on the project plan from project sponsor(s).


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Initiate project

Undertake the project set-up, as required by the internal project methodology of the Lead Organisation, for example:


Use this tool...


Go Plan(external link)

Use the procedures and tools in the phases for:

These will facilitate set up, planning and obtaining resources for your Rules project including logging the project in the i-lign system.

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What happens next?

The project team work on the consultation package and legal or policy advisers prepare rule drafting instructions.

Back to Process map