Regulatory Impact Assessment checklist
Download and print versions: PDF [PDF 30KB, 2 pages] MS Word [MS Word 55KB, 2 pages].
Remember that the RIA should be a stand-alone document.
Sections 1-8
Sections 1-8 should be completed for the initial, partial and full RIA.
- Title of proposal
Full title including any document reference, e.g. that of the EC directive.
- Purpose and intended effect
- Objectives
Say clearly what the proposal intends to achieve and in what timescale.
- Background
Outline the existing situation and whether there is currently a framework in place addressing the issue.
- Rationale for government intervention
Describe the impact on the current situation if there is no government intervention. This is the 'do nothing' option.
- Consultation
- Within government
List the government agencies and departments that you have consulted.
- Public consultation
Record the consultation's results and the impact on the decision being taken.
- Options
Identify all the options and the potential of each to achieve the objective. The 'do nothing' option should be included, not only because the implications of not acting should be clear but also because it acts as a baseline for the other options. Flag up any risks associated with each option, the likelihood of these risks occurring and ways that these risks could be mitigated. Outline implementation and delivery plans for each option.
- Costs and benefits
- Sectors and groups affected
List the sectors and groups most likely to be affected by the proposal. These may be groups of individuals, charities, or public or private sector organisations. Consider those groups who may have a disproportionate impact on them.
It may be often be difficult to predict accurately the exact costs and benefits. You should consider presenting a range and stating whether this represents extreme values or the most likely range of outcomes.
- Benefits
It is just as important to identify and quantify the benefits of the policy as well the costs. You can identify the benefits by thinking about the aim of the proposal and the risks being addressed.
- Costs
The analysis should reflect the split between policy and administrative costs. Identify the costs by thinking about the aim of the proposal and what you will be requiring firms and consumers or the public sector to do.
- Small Firms Impact Test
Consider the impacts of each option on small firms and record the details of the Small Firms Impact Test. Make sure you speak to the Small Business Service.
- Competition assessment
Provide an assessment of the competition impacts for each option. Speak to the Office of Fair Trading for advice.
- Enforcement, sanctions and monitoring
How will the proposal be enforced? Who will enforce it? What will the sanctions be? How will you monitor whether your policy meets the original objective?
Sections 9-12
Sections 9-12 should be completed after consultation and included in the full RIA.
- Implementation and delivery plan
Include as an annex to the RIA a robust plan of how the change in policy will be brought about, who is responsible for what and when will it happen.
- Post-implementation review
How and when will you measure the effectiveness of the policy proposal? Major new regulations will have to be reviewed within three years of coming into force.
- Summary and recommendation
Which option is being recommended and why? Refer to analysis of the costs and benefits in reaching the decision. Summarise in a table the information gathered for each option.
Summary costs and benefits table
| Option |
Total benefit per annum:
economic, environmental, social
|
Total cost per annum:
- economic, environmental, social
- policy and administrative
|
| 1 |
|
|
| 2 |
|
|
| 3 |
|
|
| 4 |
|
|
- Declaration and publication
The minister must declare that 'I have read the Regulatory Impact Assessment and I am satisfied that the benefits justify the costs.'
Provide a contact point for enquiries and comments. This should consist of a name, address, telephone number and email address.
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