Annex 5.1 QA questions and expectations

Does the ADS indicate how much confidence decision-makers should have in the RIS?

• Does the ADS briefly describe the nature and extent of the analysis undertaken, noting any limitations?
• Are all risks covered?
• Does the ADS identify any serious impacts of the preferred options?
• Have all serious impacts identified in the ADS been analysed in the RIS?
• Do any of the limitations noted in the ADS impact on the analysis in the RIS?
• Noting limitations to the RIA in the ADS does not automatically alter the standard for QA.
• Is the structure of the ADS clear? Are the issues prioritised?

Is a problem identified and explained?

• Describe the key features of the current situation (including any existing legislation, regulations, and relevant features of the market).
• Explain relevant decisions that have already been made.
• Identify the problem, and describe the costs and benefits under the status quo (ie, the outcomes expected without intervention).

Do the objectives describe the desired outcome?

• Identify relevant policy objectives in addition to the purpose of the RIS.
• State whether any constraints exists, such as time or budget

Are all possible options identified and described?

• Identify the full range of practical options (regulatory and non-regulatory) that may wholly or partly achieve the objectives.
• Within any regulatory options, identify the full (viable) range of regulatory responses, including the range of settings that could be adopted

Is an implementation path identified and explained?

• Summarise how the preferred option(s) will be given effect, including timing, communication, transitional arrangements, and any enforcement strategies.
• Outline plans for monitoring and evaluating the preferred option, including performance indicators and how the necessary data will be collected

Does the problem need to be addressed?

• Describe the scope of the problem and its impacts.
• Identify the root cause of the problem (not just the symptoms).
• Demonstrate the scale of the problem using empirical or anecdotal evidence.

Will the objectives identify the best option?

• Identify any potential trade-offs between the objectives.
• Explain the Government’s desired outcomes in the context of the problem, while ensuring specificity does not unduly limit the range of options.

Has the best option been selected?

• Evaluate the options against the objectives, ensuring the analysis is commensurate with the size and complexity of the problem, the magnitude of the impacts, and risks.
• Identify costs and benefits under preferred option(s) for stakeholders.
• Compare options against consistent criteria.

Is the implementation path realistic?

• Identify any implementation risks, and describe how these risks will be mitigated.
• Describe how the proposal would interact with, or impact on, existing regulation - including scope to reduce or remove any existing regulations.
• Explain how the monitoring and evaluation process will identify if any additional changes are needed.

Is the problem clearly described?

• Explain the problem in the context of the status quo.
• Use tables and subheadings where appropriate.

Is it clear how the objectives will be applied?

• Clearly identify hierarchy and any relationships between the objectives.

Is the analysis of options presented consistently?

• Summarise and present the outcome of the options analysis in a consistent format.

Are the implications clear for affected parties?

• The information is presented in a clear way for affected parties to understand any resulting implications.

• Explain who has been consulted and what form the consultation has taken. Summarise key feedback received, with emphasis on any significant concerns raised about the preferred option, and how the proposal has been altered to address these concerns
• If there was limited or no consultation undertaken, state the reasons why.