Implementing the process
- The QA process should be integrated into an agency's policy development and Cabinet paper submission process. A possible model is provided in Annex B. Agencies may elect to internally review significant RISs before they are submitted to RIAT, but this is optional.
- The PIRA process provides an initial “hook” for engagement. Agencies may see benefit in tracking policy proposals from this initial stage, and internal RIA panels/reviewers may wish to be copied in to PIRA correspondence.
- Regulatory plans provide an additional platform for engagement, and can be used as a basis for communication with those staff likely to be involved in the development of regulatory proposals (i.e. identifying relevant staff and raising awareness of the RIA requirements).
- The reviewer should be provided with early warning and have sufficient time to undertake quality assurance (ideally 5-10 working days).
- Time should be allowed for iteration with the reviewer, so that comments and queries can be addressed.
- The reviewer should be provided with the completed disclosure statement, so that any issues raised in this statement can be factored in to their assessment.
- There should be an agreed process for when the reviewer's final assessment is that the RIS partially meets or does not meet the QA criteria. This process may include arrangements for briefing senior management and Ministers' offices.
- If using a pool or panel of reviewers, the terms of reference for the group should cover how a joint view, and hence final decisions, will be reached and deadlock avoided (e.g. electing a chair with final decision rights).
The reviewer's opinion should be considered independent and final. There may be instances when the policy team responsible for preparing the RIS is unhappy with the final assessment and/or the wording of the QA statement. In anticipation of such scenarios, agencies may wish to consider the process by which these situations will be managed (i.e. identifying the responsible senior management and how they will provide support to the reviewer).
