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RIAS Writer's Guide 2009 (view source)

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[[fr:Agents_libres_du_Canada]]
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<div style="float: right"> </div><div style="float: right">
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<span class="plainlinks">[[Guide de rédaction du REIR 2009|Français]]</span>
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</div>
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<blockquote style="background-color: yellow; border: solid thin grey;">
 
<blockquote style="background-color: yellow; border: solid thin grey;">
 
'''<big>We have archived this page and will not be updating it.</big>'''
 
'''<big>We have archived this page and will not be updating it.</big>'''
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You can use it for research or reference. Consult our [https://www.canada.ca/en/treasury-board-secretariat/services/federal-regulatory-management/guidelines-tools.html Cabinet Directive on Regulations: Policies, guidance and tools] web page for the policy instruments and guidance in effect.</blockquote>
 
You can use it for research or reference. Consult our [https://www.canada.ca/en/treasury-board-secretariat/services/federal-regulatory-management/guidelines-tools.html Cabinet Directive on Regulations: Policies, guidance and tools] web page for the policy instruments and guidance in effect.</blockquote>
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== Purpose ==
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==Purpose==
   −
=== This guide ===
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===This guide===
 
The purpose of this guide is to help departments and agencies<ref>Throughout this guide, the term "departments and agencies" is often used for departments, agencies, or other regulation-making entities.</ref> better understand the regulatory impact analysis requirements of the ''Cabinet Directive on Streamlining Regulation'' (CDSR) and to improve the quality of regulatory impact analysis statements (RIAS) prepared in support of their regulatory proposals. This guide establishes the expectations of the Regulatory Affairs Sector, Treasury Board of Canada Secretariat (TBS-RAS), as to the content and quality expected in a RIAS.
 
The purpose of this guide is to help departments and agencies<ref>Throughout this guide, the term "departments and agencies" is often used for departments, agencies, or other regulation-making entities.</ref> better understand the regulatory impact analysis requirements of the ''Cabinet Directive on Streamlining Regulation'' (CDSR) and to improve the quality of regulatory impact analysis statements (RIAS) prepared in support of their regulatory proposals. This guide establishes the expectations of the Regulatory Affairs Sector, Treasury Board of Canada Secretariat (TBS-RAS), as to the content and quality expected in a RIAS.
    
This guide should answer most questions about preparing a RIAS. However, further assistance is available from TBS-RAS regarding the following:
 
This guide should answer most questions about preparing a RIAS. However, further assistance is available from TBS-RAS regarding the following:
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* Advice and guidance on the CDSR and the regulatory process; and
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*Advice and guidance on the CDSR and the regulatory process; and
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* Assistance with the initial assessment of regulatory proposals (see the "Triage and the RIAS" section in this document) to determine the level of analysis required for the regulatory proposal and the RIAS.  
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*Assistance with the initial assessment of regulatory proposals (see the "Triage and the RIAS" section in this document) to determine the level of analysis required for the regulatory proposal and the RIAS.
    
This guide is based on the Government of Canada's core principles for regulatory impact analysis, which are designed to ensure that regulatory proposals maximize net benefits to Canadians. However, it is '''not''' a guide on how to analyze regulatory impacts. Instead, it sets out the parameters for presenting and explaining regulatory impact analysis in a RIAS.  
 
This guide is based on the Government of Canada's core principles for regulatory impact analysis, which are designed to ensure that regulatory proposals maximize net benefits to Canadians. However, it is '''not''' a guide on how to analyze regulatory impacts. Instead, it sets out the parameters for presenting and explaining regulatory impact analysis in a RIAS.  
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In addition to this guide, the following resources can also help with the preparation of a RIAS:
 
In addition to this guide, the following resources can also help with the preparation of a RIAS:
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* ''Triage Statement'' guide;
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*''Triage Statement'' guide;
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* ''Canadian Cost-Benefit Analysis Guide: Regulatory Proposals'';
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*''Canadian Cost-Benefit Analysis Guide: Regulatory Proposals'';
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* ''Assessing, Selecting, and Implementing Instruments for Government Action'';
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*''Assessing, Selecting, and Implementing Instruments for Government Action'';
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* ''Handbook for Regulatory Proposals: Performance Measurement and Evaluation Plan'';
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*''Handbook for Regulatory Proposals: Performance Measurement and Evaluation Plan'';
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* ''Guidelines for Effective Regulatory Consultations'';
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*''Guidelines for Effective Regulatory Consultations'';
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* ''Guidelines on International Regulatory Obligations and Cooperation''; and
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*''Guidelines on International Regulatory Obligations and Cooperation''; and
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* ''Guide to the Federal Regulatory Development Process'' (forthcoming).
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*''Guide to the Federal Regulatory Development Process'' (forthcoming).
    
These resources are available at the [https://www.canada.ca/en/treasury-board-secretariat/corporate/organization.html Regulatory Affairs website].
 
These resources are available at the [https://www.canada.ca/en/treasury-board-secretariat/corporate/organization.html Regulatory Affairs website].
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When needed, the writer of a RIAS should also consult with the appropriate analyst from TBS‑RAS.  
 
When needed, the writer of a RIAS should also consult with the appropriate analyst from TBS‑RAS.  
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=== The RIAS ===
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===The RIAS===
 
The RIAS is a summary of the expected impact of a regulatory initiative that addresses each of the requirements of the federal government's regulatory policy, i.e., the CDSR. The use of regulatory impact analysis has long been recognized as an international best practice, and the RIAS has been used in Canada for over 20 years.  
 
The RIAS is a summary of the expected impact of a regulatory initiative that addresses each of the requirements of the federal government's regulatory policy, i.e., the CDSR. The use of regulatory impact analysis has long been recognized as an international best practice, and the RIAS has been used in Canada for over 20 years.  
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* Synthesize information;
 
* Synthesize information;
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* Improve their understanding of regulatory impacts; and
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*Improve their understanding of regulatory impacts; and
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* Better communicate the impacts of regulation to stakeholders.
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*Better communicate the impacts of regulation to stakeholders.
    
Outside the government, the RIAS gives the public and affected parties information that can be used to do the following:
 
Outside the government, the RIAS gives the public and affected parties information that can be used to do the following:
    
* Evaluate proposed regulations;
 
* Evaluate proposed regulations;
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* Better understand the regulation and obligations it imposes;
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*Better understand the regulation and obligations it imposes;
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* Generate questions and comments about the regulation.
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*Generate questions and comments about the regulation.
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=== The RIAS and the ''Cabinet Directive on Streamlining Regulation'' ===
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===The RIAS and the ''Cabinet Directive on Streamlining Regulation''===
 
On April 1, 2007, the CDSR came into force, bringing new requirements for departments and agencies on preparing new regulatory proposals. These include elements such as performance measurement and evaluation, service standards, enhanced international regulatory cooperation, and more robust cost-benefit analysis.
 
On April 1, 2007, the CDSR came into force, bringing new requirements for departments and agencies on preparing new regulatory proposals. These include elements such as performance measurement and evaluation, service standards, enhanced international regulatory cooperation, and more robust cost-benefit analysis.
    
When consulted on the CDSR, Canadians and businesses expressed a strong interest in seeing analysis in a clearer, more transparent RIAS. These views are reflected in the updated format of the RIAS, which is designed to be more informative, transparent, and accessible to decision makers, stakeholders, and the Canadian public.  
 
When consulted on the CDSR, Canadians and businesses expressed a strong interest in seeing analysis in a clearer, more transparent RIAS. These views are reflected in the updated format of the RIAS, which is designed to be more informative, transparent, and accessible to decision makers, stakeholders, and the Canadian public.  
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== Preparing a RIAS ==
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==Preparing a RIAS ==
 
In summary, a RIAS:
 
In summary, a RIAS:
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* Accompanies each proposed and final regulation published in the ''Canada Gazette'';
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*Accompanies each proposed and final regulation published in the ''Canada Gazette'';
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* Summarizes information that ministers require to decide on proposed regulations;
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*Summarizes information that ministers require to decide on proposed regulations;
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* Describes what the government will deliver, benefits and costs of the proposal, the consultation that has taken place, and opinions expressed during that consultation; and
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*Describes what the government will deliver, benefits and costs of the proposal, the consultation that has taken place, and opinions expressed during that consultation; and
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* Demonstrates that the federal department or agency has met the requirements of the CDSR.
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*Demonstrates that the federal department or agency has met the requirements of the CDSR.
    
The department or agency sponsoring the regulation is responsible for the content of the RIAS. Ultimate accountability rests with the minister or head of the sponsoring department or agency.
 
The department or agency sponsoring the regulation is responsible for the content of the RIAS. Ultimate accountability rests with the minister or head of the sponsoring department or agency.
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=== Getting started ===
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===Getting started===
 
The nature and amount of analysis appropriate for a regulatory proposal varies according to its significance and likely impact. The level of significance is determined in the Triage process, which establishes both the depth of analysis required and the specific content of the RIAS.
 
The nature and amount of analysis appropriate for a regulatory proposal varies according to its significance and likely impact. The level of significance is determined in the Triage process, which establishes both the depth of analysis required and the specific content of the RIAS.
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# Memoranda to Cabinet;
 
# Memoranda to Cabinet;
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# Drafting instructions to Justice Canada;
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#Drafting instructions to Justice Canada;
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# Treasury Board submissions;
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#Treasury Board submissions;
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# Ministerial presentations, memoranda, and briefing notes;
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#Ministerial presentations, memoranda, and briefing notes;
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# Main Estimates—Reports on Plans and Priorities;
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#Main Estimates—Reports on Plans and Priorities;
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# Risk assessments;<ref>A risk assessment is the process of identifying events and circumstances and characterizing their impact (on health, safety, security, the environment, or social and economic well-being).</ref>
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#Risk assessments;<ref>A risk assessment is the process of identifying events and circumstances and characterizing their impact (on health, safety, security, the environment, or social and economic well-being).</ref>
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# Triage Statement;
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#Triage Statement;
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# Cost-benefit analysis studies;
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#Cost-benefit analysis studies;
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# Performance Measurement and Evaluation Plan;
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#Performance Measurement and Evaluation Plan;
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# Communications plans;
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#Communications plans;
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# Consultation documents;
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#Consultation documents;
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# Policy documents and internal decision documents;
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#Policy documents and internal decision documents;
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# Profiles of affected industries or other groups;
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#Profiles of affected industries or other groups;
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# Departmental website materials;
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#Departmental website materials;
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# Other countries' regulations, RIASs, or cost-benefit analyses; and
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#Other countries' regulations, RIASs, or cost-benefit analyses; and
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# Other significant documents, such as general government policy statements or significant commentary by affected parties.
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#Other significant documents, such as general government policy statements or significant commentary by affected parties.
    
From these documents, prepare a short summary that details the following:
 
From these documents, prepare a short summary that details the following:
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* Affected or interested stakeholders;
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*Affected or interested stakeholders;
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* Key areas of impact; and  
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*Key areas of impact; and
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* Information that was used to assess impacts and whether there are any quality or data integrity issues with that information (e.g., dated information, sample size, methodology).
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*Information that was used to assess impacts and whether there are any quality or data integrity issues with that information (e.g., dated information, sample size, methodology).
    
A simple worksheet approach, as Table 1 below shows, can help organize this summary.
 
A simple worksheet approach, as Table 1 below shows, can help organize this summary.
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|+Table 1: Preliminary Impact Assessment Worksheet
 
|+Table 1: Preliminary Impact Assessment Worksheet
 
!Stakeholders affected
 
!Stakeholders affected
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!Benefit or cost
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! Benefit or cost
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!Qualitative description of impacts
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! Qualitative description of impacts
 
!Quantitative estimates
 
!Quantitative estimates
 
!Data sources
 
!Data sources
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|}
 
|}
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==== Basic structure of the RIAS ====
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====Basic structure of the RIAS====
 
The RIAS comprises a cover page along with the following sections:
 
The RIAS comprises a cover page along with the following sections:
 
{| class="wikitable"
 
{| class="wikitable"
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|-
 
|-
 
|
 
|
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# Executive summary
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#Executive summary
 
# Issue
 
# Issue
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# Objectives
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#Objectives
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# Description
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#Description
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# Regulatory and non-regulatory options
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#Regulatory and non-regulatory options
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# Benefits and costs
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#Benefits and costs
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# Rationale
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#Rationale
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# Consultation
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#Consultation
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# Implementation, enforcement, and service standards
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#Implementation, enforcement, and service standards
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# Performance measurement and evaluation
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#Performance measurement and evaluation
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# Contact
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#Contact
 
|
 
|
 
# Issue and objectives
 
# Issue and objectives
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# Description and rationale
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#Description and rationale
 
# Consultation
 
# Consultation
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# Implementation, enforcement, and service standards (as appropriate)
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#Implementation, enforcement, and service standards (as appropriate)
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# Contact
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#Contact
 
|}
 
|}
 
The Triage Statement of a regulatory proposal determines whether a low-impact or medium/high-impact RIAS must be prepared. One of the first things to do in preparing a RIAS is to check the results of the triage to determine which type of RIAS needs to be written.
 
The Triage Statement of a regulatory proposal determines whether a low-impact or medium/high-impact RIAS must be prepared. One of the first things to do in preparing a RIAS is to check the results of the triage to determine which type of RIAS needs to be written.
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=== Triage and the RIAS ===
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===Triage and the RIAS===
 
Under the CDSR, regulatory proposals are subject to an early stage assessment—or triage—to determine where analytical resources should be focussed and where approval processes can be streamlined. Information contained in the triage can be helpful in drafting the RIAS, including the following:
 
Under the CDSR, regulatory proposals are subject to an early stage assessment—or triage—to determine where analytical resources should be focussed and where approval processes can be streamlined. Information contained in the triage can be helpful in drafting the RIAS, including the following:
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* Potential impacts of the regulation on health and safety, security, the environment, and the social and economic well-being of Canadians;
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*Potential impacts of the regulation on health and safety, security, the environment, and the social and economic well-being of Canadians;
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* Costs or savings to government, businesses, or Canadians and the potential impact on the Canadian economy and its international competitiveness;
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*Costs or savings to government, businesses, or Canadians and the potential impact on the Canadian economy and its international competitiveness;
 
* Potential impacts on other federal departments and agencies, provincial or territorial governments in Canada, or on Canada's foreign affairs; and
 
* Potential impacts on other federal departments and agencies, provincial or territorial governments in Canada, or on Canada's foreign affairs; and
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* Degree of interest, contention, and support among affected parties and Canadians.
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*Degree of interest, contention, and support among affected parties and Canadians.
    
The Triage Statement describes the expected impacts of the proposed regulation in 10 key areas. For each area, an assessment is completed as to whether the expected impact is low, medium, or high. These descriptions can help in forming the RIAS, which is supplemented with additional detail based on the depth of the analysis required, resulting from the overall significance rating indicated by the Triage Statement.
 
The Triage Statement describes the expected impacts of the proposed regulation in 10 key areas. For each area, an assessment is completed as to whether the expected impact is low, medium, or high. These descriptions can help in forming the RIAS, which is supplemented with additional detail based on the depth of the analysis required, resulting from the overall significance rating indicated by the Triage Statement.
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The responses to the triage questions determine both the level of effort that is expected in terms of analysis and RIAS contents. For more information, please refer to the ''Triage Statement'' guide.
 
The responses to the triage questions determine both the level of effort that is expected in terms of analysis and RIAS contents. For more information, please refer to the ''Triage Statement'' guide.
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== The RIAS writing style ==
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==The RIAS writing style==
 
It is helpful to think of the RIAS as a presentation. Rather than a dry narrative, the RIAS should build arguments toward logical conclusions based on the entire range of evidence available.
 
It is helpful to think of the RIAS as a presentation. Rather than a dry narrative, the RIAS should build arguments toward logical conclusions based on the entire range of evidence available.
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The following are some guidelines to apply in drafting a RIAS:
 
The following are some guidelines to apply in drafting a RIAS:
   −
* Use everyday language.
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*Use everyday language.
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* Avoid long, complicated sentences and paragraphs, technical terms, jargon, or unfamiliar acronyms.
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*Avoid long, complicated sentences and paragraphs, technical terms, jargon, or unfamiliar acronyms.
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* Be concise and stick to the key points.
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*Be concise and stick to the key points.
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* Build arguments step by step, based on facts and evidence.
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*Build arguments step by step, based on facts and evidence.
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* Rework each sentence until every word counts—edit, reread after a few days, and edit once again.
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*Rework each sentence until every word counts—edit, reread after a few days, and edit once again.
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* Use the conditional verb tense ("the proposed regulations would") for a RIAS that is prepared for pre-publication in the ''Canada Gazette'', Part I. Use the future verb tense ("the regulations will") for final publication in the ''Canada Gazette'', Part II.
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*Use the conditional verb tense ("the proposed regulations would") for a RIAS that is prepared for pre-publication in the ''Canada Gazette'', Part I. Use the future verb tense ("the regulations will") for final publication in the ''Canada Gazette'', Part II.
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* Avoid repeating the same information in different sections of the RIAS.
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*Avoid repeating the same information in different sections of the RIAS.
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* Ask a colleague who is unfamiliar with the subject to read through the final draft.
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*Ask a colleague who is unfamiliar with the subject to read through the final draft.
   −
=== The audience: Who reads a RIAS and why? ===
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===The audience: Who reads a RIAS and why?===
 
There are six groups of RIAS readers:
 
There are six groups of RIAS readers:
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* Parliamentarians, including the Standing Joint Committee for the Scrutiny of Regulations;
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*Parliamentarians, including the Standing Joint Committee for the Scrutiny of Regulations;
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* Treasury Board and other ministers, their staff, and departments;
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*Treasury Board and other ministers, their staff, and departments;
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* Members of the legal community;
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*Members of the legal community;
 
* TBS officials;
 
* TBS officials;
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* Affected parties (which have usually been consulted during the regulation development process); and
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*Affected parties (which have usually been consulted during the regulation development process); and
 
* The public at large.
 
* The public at large.
   −
==== Parliamentarians ====
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==== Parliamentarians====
 
Parliamentarians are interested in the RIAS in their role as representatives of the interests of their constituents and in their role as lawmakers. Among other issues, parliamentarians may review a RIAS to ensure that subordinate legislation (i.e., regulations) reflects the original intent of Parliament as expressed in enabling legislation.
 
Parliamentarians are interested in the RIAS in their role as representatives of the interests of their constituents and in their role as lawmakers. Among other issues, parliamentarians may review a RIAS to ensure that subordinate legislation (i.e., regulations) reflects the original intent of Parliament as expressed in enabling legislation.
    
The Standing Joint Committee for the Scrutiny of Regulations is a committee of Parliament that reviews hundreds of regulations and statutory instruments each year to ensure that they comply with a number of requirements.
 
The Standing Joint Committee for the Scrutiny of Regulations is a committee of Parliament that reviews hundreds of regulations and statutory instruments each year to ensure that they comply with a number of requirements.
   −
==== Treasury Board, ministers, their staff, and departments ====
+
====Treasury Board, ministers, their staff, and departments====
 
The Treasury Board is a committee of the Queen's Privy Council. It provides advice to the Governor General when the enacting authority for regulations is the Governor-in-Council. It also reviews most non-regulatory orders-in-council prior to approval by the Governor General.<ref>Section 13 of the ''British North America Act, 1867'' explains the nature of the expression "Governor-in-Council": "The Provisions of this Act referring to the Governor General in Council shall be construed as referring to the Governor General acting by and with the Advice of the Queen's Privy Council for Canada."</ref>
 
The Treasury Board is a committee of the Queen's Privy Council. It provides advice to the Governor General when the enacting authority for regulations is the Governor-in-Council. It also reviews most non-regulatory orders-in-council prior to approval by the Governor General.<ref>Section 13 of the ''British North America Act, 1867'' explains the nature of the expression "Governor-in-Council": "The Provisions of this Act referring to the Governor General in Council shall be construed as referring to the Governor General acting by and with the Advice of the Queen's Privy Council for Canada."</ref>
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The Treasury Board is responsible for ensuring that:
 
The Treasury Board is responsible for ensuring that:
   −
* Regulations conform to government policy, including the CDSR.
+
*Regulations conform to government policy, including the CDSR.
−
* Communications and other issues related to the regulation have been considered.
+
*Communications and other issues related to the regulation have been considered.
    
The RIAS should assure ministers that these criteria have been met.
 
The RIAS should assure ministers that these criteria have been met.
   −
==== Members of the legal community ====
+
====Members of the legal community====
 
While the RIAS is not a statutory instrument and has no force of law, members of the Canadian legal community, including judges, legal counsel, and legal scholars, may consult a RIAS as a source of information on the policy intent behind a regulatory action.  
 
While the RIAS is not a statutory instrument and has no force of law, members of the Canadian legal community, including judges, legal counsel, and legal scholars, may consult a RIAS as a source of information on the policy intent behind a regulatory action.  
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* Providing advice and support to departments and agencies concerning the development of regulatory proposals and the implementation of the CDSR;
 
* Providing advice and support to departments and agencies concerning the development of regulatory proposals and the implementation of the CDSR;
 
* Providing ministers and the Treasury Board with the necessary information to make decisions on the issues before them;
 
* Providing ministers and the Treasury Board with the necessary information to make decisions on the issues before them;
−
* Reviewing regulatory proposals, challenging departments and agencies on the quality of regulatory analyses, and advising them when the requirements of the CDSR have not been met;
+
*Reviewing regulatory proposals, challenging departments and agencies on the quality of regulatory analyses, and advising them when the requirements of the CDSR have not been met;
−
* Promoting regulatory reform and acting as a centre of expertise on regulatory governance; and
+
*Promoting regulatory reform and acting as a centre of expertise on regulatory governance; and
−
* Assessing the effectiveness of the CDSR and its implementation.
+
*Assessing the effectiveness of the CDSR and its implementation.
    
Treasury Board is also supported by the Privy Council Office (Orders in Council Secretariat), which is responsible for preparing the Treasury Board meeting agenda and the certification and registration of statutory instruments.
 
Treasury Board is also supported by the Privy Council Office (Orders in Council Secretariat), which is responsible for preparing the Treasury Board meeting agenda and the certification and registration of statutory instruments.
   −
==== Affected parties ====
+
====Affected parties====
 
By the time the RIAS is ready to be prepared, departments will have already consulted many of those who are directly affected by a proposed regulation. Consultation will normally include such groups as industry and consumer associations. Because these consultations usually reach a limited number of individuals, publication of the RIAS with the proposed regulation in the ''Canada Gazette'', Part I, provides an opportunity for affected parties and interested Canadians to be aware of the government's intent and to provide input.
 
By the time the RIAS is ready to be prepared, departments will have already consulted many of those who are directly affected by a proposed regulation. Consultation will normally include such groups as industry and consumer associations. Because these consultations usually reach a limited number of individuals, publication of the RIAS with the proposed regulation in the ''Canada Gazette'', Part I, provides an opportunity for affected parties and interested Canadians to be aware of the government's intent and to provide input.
    
Key stakeholders also usually include provincial and territorial governments, who are often consulted during the development of regulatory proposals. Foreign governments may also have an interest in a RIAS that may impact international trade. Implications for other jurisdictions and levels of government should be clearly articulated in the RIAS.
 
Key stakeholders also usually include provincial and territorial governments, who are often consulted during the development of regulatory proposals. Foreign governments may also have an interest in a RIAS that may impact international trade. Implications for other jurisdictions and levels of government should be clearly articulated in the RIAS.
   −
==== The public at large ====
+
====The public at large====
 
While members of the public at large seldom have the time or interest to read a RIAS, the associations, companies, consumer groups, lobbyists, unions, legal firms, and universities that represent them often do. Once a RIAS is published in the ''Canada Gazette'', it is in the public domain. It should therefore be understandable to anyone who may wish to read it.
 
While members of the public at large seldom have the time or interest to read a RIAS, the associations, companies, consumer groups, lobbyists, unions, legal firms, and universities that represent them often do. Once a RIAS is published in the ''Canada Gazette'', it is in the public domain. It should therefore be understandable to anyone who may wish to read it.
   −
=== RIAS cover page ===
+
===RIAS cover page===
 
A cover page must accompany every RIAS, regardless of the impact of the regulation. It should be set out as follows:
 
A cover page must accompany every RIAS, regardless of the impact of the regulation. It should be set out as follows:
 
[[File:Riaswg-grrier01.jpg]]
 
[[File:Riaswg-grrier01.jpg]]
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If the following document is not accessible to you, please contact [mailto:info@tbs-sct.gc.ca info@tbs-sct.gc.ca] for assistance.
 
If the following document is not accessible to you, please contact [mailto:info@tbs-sct.gc.ca info@tbs-sct.gc.ca] for assistance.
   −
* [https://www.canada.ca/content/dam/canada/tbs-sct/migration/hgw-cgf/priorities-priorites/rtrap-parfa/guides/riaswg-grrier/riascpt-pcreir.rtf.doc RIAS cover page template] (RTF version, 34Kb)
+
*[https://www.canada.ca/content/dam/canada/tbs-sct/migration/hgw-cgf/priorities-priorites/rtrap-parfa/guides/riaswg-grrier/riascpt-pcreir.rtf.doc RIAS cover page template] (RTF version, 34Kb)
    
To view the RTF version, use the document conversion features available in most word processing software, or use a file viewer capable of reading RTF.</blockquote>
 
To view the RTF version, use the document conversion features available in most word processing software, or use a file viewer capable of reading RTF.</blockquote>
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If the proposal contains a request for exemption from pre-publication in the ''Canada Gazette'', Part I, the cover page must provide a detailed justification for the exemption.  
 
If the proposal contains a request for exemption from pre-publication in the ''Canada Gazette'', Part I, the cover page must provide a detailed justification for the exemption.  
   −
== Medium/high-impact RIAS ==
+
== Medium/high-impact RIAS==
 
One or more elements of the CDSR are represented in a corresponding section of the medium/high-impact RIAS. The following describes each section of the RIAS for regulations that have been assessed as medium or high impact in the Triage Statement.  
 
One or more elements of the CDSR are represented in a corresponding section of the medium/high-impact RIAS. The following describes each section of the RIAS for regulations that have been assessed as medium or high impact in the Triage Statement.  
   −
== Executive summary ==
+
==Executive summary==
 
The '''executive summary''' appears in a text box at the beginning of a medium/high-impact RIAS. It should be no more than 60 lines long (1,000 words) and should cover the following topics:
 
The '''executive summary''' appears in a text box at the beginning of a medium/high-impact RIAS. It should be no more than 60 lines long (1,000 words) and should cover the following topics:
   −
* '''Issue:''' A brief statement to describe the issue that the regulation will address and why government intervention through regulation is needed;
+
*'''Issue:''' A brief statement to describe the issue that the regulation will address and why government intervention through regulation is needed;
−
* '''Description:''' A brief description of the proposed regulatory action and how it addresses the issue;
+
*'''Description:''' A brief description of the proposed regulatory action and how it addresses the issue;
−
* '''Cost-benefit statement:''' A summary statement of the regulations' quantitative and qualitative costs and benefits;
+
*'''Cost-benefit statement:''' A summary statement of the regulations' quantitative and qualitative costs and benefits;
−
* '''Business and consumer impacts:''' A statement on the impacts of the regulation on administrative burden, competition, and consumers;
+
*'''Business and consumer impacts:''' A statement on the impacts of the regulation on administrative burden, competition, and consumers;
−
* '''Domestic and international coordination and cooperation:''' A statement on any domestic or international regulatory coordination and cooperation (including trade impacts) that relate to the regulatory proposal. When specific Canadian requirements are proposed, this subsection should contain a statement of the rationale for the Canadian approach; and
+
*'''Domestic and international coordination and cooperation:''' A statement on any domestic or international regulatory coordination and cooperation (including trade impacts) that relate to the regulatory proposal. When specific Canadian requirements are proposed, this subsection should contain a statement of the rationale for the Canadian approach; and
−
* '''Performance measurement and evaluation plan (high-impact regulations only):''' A brief description of the performance measurement and evaluation plan to ensure that the regulatory activity continually meets its initial objectives.
+
*'''Performance measurement and evaluation plan (high-impact regulations only):''' A brief description of the performance measurement and evaluation plan to ensure that the regulatory activity continually meets its initial objectives.
   −
== Issue ==
+
== Issue==
 
The "Issue" section should clearly specify the problem or issue that has prompted the consideration of government action. This section should describe the public policy issue(s), including a description of any risk assessment, and demonstrate why government intervention is needed. A clear summary of the risk assessment should be provided, as well as a Web link to the full risk assessment or departmental contact who can provide the full risk assessment.
 
The "Issue" section should clearly specify the problem or issue that has prompted the consideration of government action. This section should describe the public policy issue(s), including a description of any risk assessment, and demonstrate why government intervention is needed. A clear summary of the risk assessment should be provided, as well as a Web link to the full risk assessment or departmental contact who can provide the full risk assessment.
   Line 259: Line 266:  
|-
 
|-
 
|
 
|
−
* Has the issue or risk been properly identified and assessed (how it may change over time)?
+
*Has the issue or risk been properly identified and assessed (how it may change over time)?
−
* Has the need for government intervention been demonstrated?
+
*Has the need for government intervention been demonstrated?
−
* Has a quantitative risk assessment been performed?
+
*Has a quantitative risk assessment been performed?
−
* Have scientific and empirical evidence, uncertainties, ethical considerations, and public views of the public policy issue been summarized?
+
*Have scientific and empirical evidence, uncertainties, ethical considerations, and public views of the public policy issue been summarized?
−
* Has a Web link or departmental contact to the full risk analysis been provided?
+
*Has a Web link or departmental contact to the full risk analysis been provided?
−
|CDSR Section 4.2, Identifying and assessing public policy issues
+
| CDSR Section 4.2, Identifying and assessing public policy issues
    
''Assessing, Selecting, and Implementing Instruments for Government Action''
 
''Assessing, Selecting, and Implementing Instruments for Government Action''
 
|}
 
|}
   −
== Objectives ==
+
==Objectives==
 
The "Objectives" section states the intent of the proposed regulatory action in concrete terms and situates it within the broader policy context. This involves articulating policy goals and desired outcomes. There may be several policy goals, each with a variety of outcomes. While policy goals and outcomes go hand in hand, they are not quite the same. For example, a goal might be to make a particular activity safer, while the desired outcome might be a 30-per-cent reduction in the rate of injury.
 
The "Objectives" section states the intent of the proposed regulatory action in concrete terms and situates it within the broader policy context. This involves articulating policy goals and desired outcomes. There may be several policy goals, each with a variety of outcomes. While policy goals and outcomes go hand in hand, they are not quite the same. For example, a goal might be to make a particular activity safer, while the desired outcome might be a 30-per-cent reduction in the rate of injury.
   Line 286: Line 293:  
|}
 
|}
   −
== Description ==
+
== Description==
 
This section describes the proposed regulatory action. One of the first questions readers will ask is: "Does this regulation concern me?" The writer's task is to provide enough information to help individuals find out quickly if and how the proposed regulation will affect them. The RIAS should communicate this by beginning with a description of the affected population. Readers in this group will pay particular attention.
 
This section describes the proposed regulatory action. One of the first questions readers will ask is: "Does this regulation concern me?" The writer's task is to provide enough information to help individuals find out quickly if and how the proposed regulation will affect them. The RIAS should communicate this by beginning with a description of the affected population. Readers in this group will pay particular attention.
   Line 294: Line 301:  
{| class="wikitable"
 
{| class="wikitable"
 
!Checklist
 
!Checklist
−
!CDSR references
+
! CDSR references
 
|-
 
|-
 
|
 
|
 
* Has a summary description been provided with only the essential details of the regulation?
 
* Has a summary description been provided with only the essential details of the regulation?
−
* Is it presented in clear and simple language, providing context to help the reader understand the regulation, but avoiding excess detail on the history of the legislation or regulation?
+
*Is it presented in clear and simple language, providing context to help the reader understand the regulation, but avoiding excess detail on the history of the legislation or regulation?
−
* Does it describe who will be affected by the regulation and how?
+
*Does it describe who will be affected by the regulation and how?
−
* Have essential and relevant linkages to enabling legislation and government priorities been established to ensure relevance and consistency?
+
*Have essential and relevant linkages to enabling legislation and government priorities been established to ensure relevance and consistency?
−
|CDSR Section 4.1, Regulatory consultation
+
| CDSR Section 4.1, Regulatory consultation
 
|}
 
|}
   −
== Regulatory and non-regulatory options considered ==
+
==Regulatory and non-regulatory options considered==
 
This section describes the range of regulatory and non-regulatory options considered in addressing the issue or risk identified, including the proposed regulatory action and the key differences between the options. Not every option considered in developing the regulatory proposal needs to be presented—just the real or viable options.
 
This section describes the range of regulatory and non-regulatory options considered in addressing the issue or risk identified, including the proposed regulatory action and the key differences between the options. Not every option considered in developing the regulatory proposal needs to be presented—just the real or viable options.
   Line 317: Line 324:  
|-
 
|-
 
|
 
|
−
* Have both regulatory and non-regulatory options considered been summarized, including the proposed regulatory action?
+
*Have both regulatory and non-regulatory options considered been summarized, including the proposed regulatory action?
−
* Have the key differences between the options been summarized and assessed?
+
*Have the key differences between the options been summarized and assessed?
 
|CDSR Section 4.4, Selecting the appropriate mix of government instruments
 
|CDSR Section 4.4, Selecting the appropriate mix of government instruments
   Line 324: Line 331:  
|}
 
|}
   −
== Benefits and costs ==
+
== Benefits and costs==
 
Information in this section should provide an assessment of benefits, costs, and net benefits of the selected option, including how impacts may be distributed across various stakeholders, sectors, or regions. For guidance, please refer to the ''[[Canadian Cost-Benefit Analysis Guide: Regulatory Proposals]]''.  
 
Information in this section should provide an assessment of benefits, costs, and net benefits of the selected option, including how impacts may be distributed across various stakeholders, sectors, or regions. For guidance, please refer to the ''[[Canadian Cost-Benefit Analysis Guide: Regulatory Proposals]]''.  
   Line 331: Line 338:  
When a cost-benefit analysis or a risk assessment has been done, a cost-benefit summary statement must be included in the RIAS to clearly communicate costs and benefits. It is expected that a Web link to the full cost-benefit analysis, or departmental contact that can provide the full cost-benefit analysis, also be included in this section.
 
When a cost-benefit analysis or a risk assessment has been done, a cost-benefit summary statement must be included in the RIAS to clearly communicate costs and benefits. It is expected that a Web link to the full cost-benefit analysis, or departmental contact that can provide the full cost-benefit analysis, also be included in this section.
   −
===Depth of analysis===
+
===Depth of analysis ===
 
The depth of analysis presented in this section of the RIAS should correspond with the results of the triage process. For a medium-impact regulatory proposal, this section of the RIAS should provide estimates of the following:
 
The depth of analysis presented in this section of the RIAS should correspond with the results of the triage process. For a medium-impact regulatory proposal, this section of the RIAS should provide estimates of the following:
   Line 338: Line 345:  
*Qualitative costs or benefits, when quantitative costs and benefits are not available.
 
*Qualitative costs or benefits, when quantitative costs and benefits are not available.
 
*For a high-impact regulatory proposal, this section of the RIAS should provide estimates of the following:
 
*For a high-impact regulatory proposal, this section of the RIAS should provide estimates of the following:
−
*Quantitative costs for each stakeholder (if available);
+
* Quantitative costs for each stakeholder (if available);
 
*Quantitative benefits for each stakeholder (if available); or
 
*Quantitative benefits for each stakeholder (if available); or
 
*Qualitative costs or benefits, when quantitative costs and benefits are not available.
 
*Qualitative costs or benefits, when quantitative costs and benefits are not available.
Line 369: Line 376:  
*Is there a summary of potential positive and negative economic, environmental, and social impacts on Canadians, businesses, and government of the proposed regulation and its feasible alternatives?
 
*Is there a summary of potential positive and negative economic, environmental, and social impacts on Canadians, businesses, and government of the proposed regulation and its feasible alternatives?
 
*Have positive and negative impacts distributed across various affected parties, sectors of the economy, and regions of Canada been identified?
 
*Have positive and negative impacts distributed across various affected parties, sectors of the economy, and regions of Canada been identified?
−
*Has a Web link or departmental contact for the full cost‑benefit analysis been provided?
+
* Has a Web link or departmental contact for the full cost‑benefit analysis been provided?
 
*Has a cost-benefit summary statement of the quantifiable and non‑quantifiable costs and benefits been presented?
 
*Has a cost-benefit summary statement of the quantifiable and non‑quantifiable costs and benefits been presented?
 
|CDSR Section 4.4, Analyzing the benefits and costs of regulation
 
|CDSR Section 4.4, Analyzing the benefits and costs of regulation
Line 384: Line 391:  
If the following document is not accessible to you, please contact [mailto:info@tbs-sct.gc.ca info@tbs-sct.gc.ca] for assistance.
 
If the following document is not accessible to you, please contact [mailto:info@tbs-sct.gc.ca info@tbs-sct.gc.ca] for assistance.
   −
* Cost-Benefit Statement (RTF version, 40Kb)
+
*Cost-Benefit Statement (RTF version, 40Kb)
    
To view the RTF version, use the document conversion features available in most word processing software, or use a file viewer capable of reading RTF.</blockquote>
 
To view the RTF version, use the document conversion features available in most word processing software, or use a file viewer capable of reading RTF.</blockquote>
Line 390: Line 397:  
The expected benefits and costs are grouped into the following three categories:
 
The expected benefits and costs are grouped into the following three categories:
   −
# '''Section A:Quantified and monetized impacts.''' As some of the benefits generated from regulatory policies are difficult to quantify, attempts should be made to use alternative methods for quantification. Only those benefits and costs that are monetized can be aggregated to arrive at net benefits. Refer to the ''[[Canadian Cost-Benefit Analysis Guide: Regulatory Proposals|Canadian Cost Benefit-Analysis Guide: Regulatory Proposals]]'' for help.
+
#'''Section A:Quantified and monetized impacts.''' As some of the benefits generated from regulatory policies are difficult to quantify, attempts should be made to use alternative methods for quantification. Only those benefits and costs that are monetized can be aggregated to arrive at net benefits. Refer to the ''[[Canadian Cost-Benefit Analysis Guide: Regulatory Proposals|Canadian Cost Benefit-Analysis Guide: Regulatory Proposals]]'' for help.
−
# '''Section B:Quantified but not monetized impacts.''' For items where the benefits or costs cannot be monetized but can be quantified, list these in physical units. Include both positive and negative impacts that have been quantified, and indicate clearly the unit of measure (e.g., number of deaths or injuries avoided).
+
#'''Section B:Quantified but not monetized impacts.''' For items where the benefits or costs cannot be monetized but can be quantified, list these in physical units. Include both positive and negative impacts that have been quantified, and indicate clearly the unit of measure (e.g., number of deaths or injuries avoided).
−
# '''Section C:Qualitative or intangible impacts that are neither monetized nor quantifiable.''' Intangible or qualitative items that are likely to have significant impacts on decision making should be listed and their importance briefly stated. These are the elements of analysis that matter but cannot be estimated. List both positive and negative impacts by stakeholder. Remember, these qualitative impacts can be very important to decision makers.
+
#'''Section C:Qualitative or intangible impacts that are neither monetized nor quantifiable.''' Intangible or qualitative items that are likely to have significant impacts on decision making should be listed and their importance briefly stated. These are the elements of analysis that matter but cannot be estimated. List both positive and negative impacts by stakeholder. Remember, these qualitative impacts can be very important to decision makers.
    
Dollar estimates in Section A should be expressed in constant dollar terms, with the units (thousands, millions, billions) and constant dollar base year clearly indicated.
 
Dollar estimates in Section A should be expressed in constant dollar terms, with the units (thousands, millions, billions) and constant dollar base year clearly indicated.
Line 400: Line 407:  
Total present value (PV)<ref>Present value is the value on a given date of a future payment or series of future payments that has been discounted to reflect the time value of money.</ref> should be included for monetized costs and benefits, and the discount rate<ref>Discounting allows for the systematic comparison of costs and benefits that occur in different time periods by allowing one to calculate the net present value of the intervention.</ref> applied should be indicated in the table. For most analyses, a discount rate of 8 per cent should be used to calculate present value based on a minimum 10-year forecast. Average annual figures should also be shown in the table based on the annualization formula in the ''[[Canadian Cost-Benefit Analysis Guide: Regulatory Proposals|Canadian Cost‑Benefit Analysis Guide: Regulatory Proposals]]''.
 
Total present value (PV)<ref>Present value is the value on a given date of a future payment or series of future payments that has been discounted to reflect the time value of money.</ref> should be included for monetized costs and benefits, and the discount rate<ref>Discounting allows for the systematic comparison of costs and benefits that occur in different time periods by allowing one to calculate the net present value of the intervention.</ref> applied should be indicated in the table. For most analyses, a discount rate of 8 per cent should be used to calculate present value based on a minimum 10-year forecast. Average annual figures should also be shown in the table based on the annualization formula in the ''[[Canadian Cost-Benefit Analysis Guide: Regulatory Proposals|Canadian Cost‑Benefit Analysis Guide: Regulatory Proposals]]''.
   −
== Rationale ==
+
==Rationale ==
 
The selected option should be based on a rationale that flows from the analysis provided above, including costs and benefits and consultation results. In the "Rationale" section, describe why this option results in the greatest overall benefit, how it will meet the objectives stated earlier, and how it is proportionate to the degree and type of risk presented by the issue. This section should link directly to all of the preceding sections, especially the "Issue," "Objectives," "Regulatory and non-regulatory options considered," and the "Benefits and costs" sections.
 
The selected option should be based on a rationale that flows from the analysis provided above, including costs and benefits and consultation results. In the "Rationale" section, describe why this option results in the greatest overall benefit, how it will meet the objectives stated earlier, and how it is proportionate to the degree and type of risk presented by the issue. This section should link directly to all of the preceding sections, especially the "Issue," "Objectives," "Regulatory and non-regulatory options considered," and the "Benefits and costs" sections.
   Line 411: Line 418:  
|-
 
|-
 
|
 
|
−
* Does the rationale flow logically from the analysis, including costs and benefits and consultation results?
+
*Does the rationale flow logically from the analysis, including costs and benefits and consultation results?
−
* Is there a description of how the regulatory proposal results in the greatest overall benefit to Canadians and how it will meet objectives stated in the "Objectives" section?
+
*Is there a description of how the regulatory proposal results in the greatest overall benefit to Canadians and how it will meet objectives stated in the "Objectives" section?
−
* Is it clear that the regulatory proposal is proportionate to the degree and type of risk presented in the "Issue" section, and why it will not unduly impact other areas or sectors?
+
*Is it clear that the regulatory proposal is proportionate to the degree and type of risk presented in the "Issue" section, and why it will not unduly impact other areas or sectors?
−
* Does the RIAS contain an explanation of how adverse impacts have been mitigated and positive impacts enhanced for the environment, the health and safety of Canadians, businesses, consumers, competition, competitiveness, trade, and investment?
+
*Does the RIAS contain an explanation of how adverse impacts have been mitigated and positive impacts enhanced for the environment, the health and safety of Canadians, businesses, consumers, competition, competitiveness, trade, and investment?
−
* Is it clear how any administrative burden has been limited to impose the least possible cost on Canadians and businesses, and that the specific needs of small businesses have been addressed?  
+
*Is it clear how any administrative burden has been limited to impose the least possible cost on Canadians and businesses, and that the specific needs of small businesses have been addressed?
 
* Is it clear that the regulatory proposal complies with Canada's international obligations?
 
* Is it clear that the regulatory proposal complies with Canada's international obligations?
−
* Has international cooperation been considered and have specific Canadian requirements been limited and justified?
+
*Has international cooperation been considered and have specific Canadian requirements been limited and justified?
 
|CDSR Section 4.4, Selecting the appropriate mix of government instruments
 
|CDSR Section 4.4, Selecting the appropriate mix of government instruments
   Line 427: Line 434:  
|}
 
|}
   −
=== Strategic environmental assessments ===
+
===Strategic environmental assessments===
 
A separate strategic environmental assessment (SEA) may be required, as stipulated under ''The'' ''Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals'', if the regulatory proposal were to have the following effect:
 
A separate strategic environmental assessment (SEA) may be required, as stipulated under ''The'' ''Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals'', if the regulatory proposal were to have the following effect:
    
* Result in important positive or negative environmental impacts; or
 
* Result in important positive or negative environmental impacts; or
−
* Involve a high level of uncertainty or risk regarding the outcomes of the proposal that make it difficult to assess the potential environmental impacts.
+
*Involve a high level of uncertainty or risk regarding the outcomes of the proposal that make it difficult to assess the potential environmental impacts.
    
If an SEA has been prepared, the RIAS writer may wish to summarize key findings in the "Rationale" section of the RIAS and provide a Web link to the SEA, as appropriate.
 
If an SEA has been prepared, the RIAS writer may wish to summarize key findings in the "Rationale" section of the RIAS and provide a Web link to the SEA, as appropriate.
   −
=== Consultation ===
+
===Consultation===
 
This section should provide a summary of the consultation process, the main substantive comments received, and how they were taken into account. For guidance, please refer to the ''[[Guidelines for Effective Regulatory Consultations]]''.
 
This section should provide a summary of the consultation process, the main substantive comments received, and how they were taken into account. For guidance, please refer to the ''[[Guidelines for Effective Regulatory Consultations]]''.
    
In summary, this section should address the following:
 
In summary, this section should address the following:
   −
* Show who was consulted;
+
*Show who was consulted;
−
* Indicate what consultation mechanisms were used;
+
*Indicate what consultation mechanisms were used;
−
* Indicate when and how long the consultations were conducted;
+
*Indicate when and how long the consultations were conducted;
−
* Discuss results of the consultation and whether the regulation changed as a result;
+
*Discuss results of the consultation and whether the regulation changed as a result;
−
* Show how the regulation was revised to reflect and respond to comments received during the pre-publication process;
+
*Show how the regulation was revised to reflect and respond to comments received during the pre-publication process;
−
* Provide a rationale as to why the regulation might not respond to stakeholders' views or concerns; and
+
*Provide a rationale as to why the regulation might not respond to stakeholders' views or concerns; and
−
* Name any groups still opposed to the regulation.
+
*Name any groups still opposed to the regulation.
    
The CDSR requires departments and agencies to identify interested and affected parties and to provide them with opportunities to take part in open, meaningful, and balanced consultations at all stages of the regulatory process. The "Consultation" section of the RIAS should demonstrate that this requirement has been met. Also, explicit recognition should be given to the Crown's unique relationship with Aboriginal peoples with respect to any existing rights under section 35 of the ''Canadian Charter of Rights and Freedoms'' that may be affected by a regulatory initiative.
 
The CDSR requires departments and agencies to identify interested and affected parties and to provide them with opportunities to take part in open, meaningful, and balanced consultations at all stages of the regulatory process. The "Consultation" section of the RIAS should demonstrate that this requirement has been met. Also, explicit recognition should be given to the Crown's unique relationship with Aboriginal peoples with respect to any existing rights under section 35 of the ''Canadian Charter of Rights and Freedoms'' that may be affected by a regulatory initiative.
Line 465: Line 472:  
{| class="wikitable"
 
{| class="wikitable"
 
!Checklist
 
!Checklist
−
!CDSR references
+
! CDSR references
 
|-
 
|-
 
|
 
|
−
* Does this section explain how affected parties were consulted?
+
*Does this section explain how affected parties were consulted?
−
* Does the section clarify which groups of stakeholders were consulted? Have their views been summarized?
+
*Does the section clarify which groups of stakeholders were consulted? Have their views been summarized?
−
* If required, does the RIAS ensure that the confidentiality of specific stakeholder comments has been protected?  
+
*If required, does the RIAS ensure that the confidentiality of specific stakeholder comments has been protected?
−
* Have outstanding issues been addressed? If not, why?
+
*Have outstanding issues been addressed? If not, why?
−
* If comments were received, does this section detail what measures were taken to address them?
+
*If comments were received, does this section detail what measures were taken to address them?
 
|CDSR Section 4.1, Regulatory consultation
 
|CDSR Section 4.1, Regulatory consultation
   Line 478: Line 485:  
|}
 
|}
   −
=== Implementation, enforcement, and service standards ===
+
===Implementation, enforcement, and service standards===
 
This section describes the implementation plan for a regulatory action, including any communications or outreach activities, dates for coming into force, partner institutions, or cooperation and coordination activities that will be necessary to ensure effective and efficient implementation.  
 
This section describes the implementation plan for a regulatory action, including any communications or outreach activities, dates for coming into force, partner institutions, or cooperation and coordination activities that will be necessary to ensure effective and efficient implementation.  
   Line 485: Line 492:  
This section of the RIAS should address the following:
 
This section of the RIAS should address the following:
   −
* Explain the mechanism adopted to ensure compliance (including criminal law sanctions, ticketing, prohibition and corrective action orders, inspection, licensing, registration, or other government approval requirements);
+
*Explain the mechanism adopted to ensure compliance (including criminal law sanctions, ticketing, prohibition and corrective action orders, inspection, licensing, registration, or other government approval requirements);
−
* Describe means that will be used to detect non-compliance (e.g., inspection or testing); and
+
*Describe means that will be used to detect non-compliance (e.g., inspection or testing); and
−
* Describe the penalties for non-compliance (e.g., fines, imprisonment, and taxes).
+
*Describe the penalties for non-compliance (e.g., fines, imprisonment, and taxes).
    
It is vital that rules, processes, sanctions, and actions of regulatory authorities be securely founded in law. The RIAS should indicate how regulations will be administered to ensure consistency across regions, how sanctions and penalties will be determined, and that they will be proportionate to the seriousness of the violation.
 
It is vital that rules, processes, sanctions, and actions of regulatory authorities be securely founded in law. The RIAS should indicate how regulations will be administered to ensure consistency across regions, how sanctions and penalties will be determined, and that they will be proportionate to the seriousness of the violation.
Line 499: Line 506:  
|-
 
|-
 
|
 
|
−
* Have service standards been established in accordance with the principles or requirements of TBS policy and guidance?
+
*Have service standards been established in accordance with the principles or requirements of TBS policy and guidance?
−
* Has a compliance and enforcement strategy been developed and summarized for readers?
+
*Has a compliance and enforcement strategy been developed and summarized for readers?
−
* Have any issues and possible barriers to compliance been clearly assessed?
+
*Have any issues and possible barriers to compliance been clearly assessed?
−
* If issues with compliance exist, are mechanisms to overcome them described?
+
*If issues with compliance exist, are mechanisms to overcome them described?
 
|CDSR Section 4.5, Planning for implementation, compliance, and enforcement
 
|CDSR Section 4.5, Planning for implementation, compliance, and enforcement
 
|}
 
|}
   −
=== Performance measurement and evaluation ===
+
===Performance measurement and evaluation===
 
Information for this section of the RIAS is drawn from the ''Handbook for Regulatory Proposals: Performance Measurement and Evaluation Plan'' (PMEP).
 
Information for this section of the RIAS is drawn from the ''Handbook for Regulatory Proposals: Performance Measurement and Evaluation Plan'' (PMEP).
   Line 513: Line 520:  
Key elements of the PMEP to be included in the RIAS are as follows:
 
Key elements of the PMEP to be included in the RIAS are as follows:
   −
* A summary of how the regulatory activities connect the inputs and activities to the outputs, to the target groups and the expected outcomes from the initiative (i.e., summary of the logic model);
+
*A summary of how the regulatory activities connect the inputs and activities to the outputs, to the target groups and the expected outcomes from the initiative (i.e., summary of the logic model);
−
* A description of the indicators that have been defined to measure changes in outputs and outcomes for the regulatory proposal;
+
*A description of the indicators that have been defined to measure changes in outputs and outcomes for the regulatory proposal;
−
* A description of how and when the information will be summarized, reported, and used to improve the performance of the regulatory activities;
+
*A description of how and when the information will be summarized, reported, and used to improve the performance of the regulatory activities;
 
* An outline of how (i.e., methodology) and when the regulatory activities will be evaluated; and
 
* An outline of how (i.e., methodology) and when the regulatory activities will be evaluated; and
−
* An indication that the PMEP is available upon request.
+
*An indication that the PMEP is available upon request.
    
Note: if the regulation involves a Treasury Board submission, the RIAS summary should be based on evaluation plan reports in section 9.6 of the submission. Please refer to A Guide to Preparing Treasury Board Submissions.
 
Note: if the regulation involves a Treasury Board submission, the RIAS summary should be based on evaluation plan reports in section 9.6 of the submission. Please refer to A Guide to Preparing Treasury Board Submissions.
 
{| class="wikitable"
 
{| class="wikitable"
−
!Checklist
+
! Checklist
−
!CDSR references
+
! CDSR references
 
|-
 
|-
 
|
 
|
−
* Does this section summarize how regulatory activities connect inputsand activities to outputs and target groups and expected outcomes from the initiative (i.e., summary of the logic model)?  
+
*Does this section summarize how regulatory activities connect inputsand activities to outputs and target groups and expected outcomes from the initiative (i.e., summary of the logic model)?
−
* Does it make reference to indicators that will be used to measure changes in outputs and outcomes?
+
*Does it make reference to indicators that will be used to measure changes in outputs and outcomes?
 
* Does it include information on how and when the information will be summarized, reported, and used to improve the performance of the regulatory activities?
 
* Does it include information on how and when the information will be summarized, reported, and used to improve the performance of the regulatory activities?
−
* Does it outline the methodology that will be used to evaluate the regulatory activity?
+
*Does it outline the methodology that will be used to evaluate the regulatory activity?
−
* Does it indicate that the PMEP is available upon request?
+
*Does it indicate that the PMEP is available upon request?
 
|CDSR Section 4.5, Planning for implementation, compliance, and enforcement
 
|CDSR Section 4.5, Planning for implementation, compliance, and enforcement
 
|}
 
|}
   −
=== Contact ===
+
===Contact===
 
At the end of each RIAS, list the name, address, and telephone number of the person (including area codes and fax numbers, if applicable) in the department who is knowledgeable about the proposed regulation and can answer requests for information from the public.
 
At the end of each RIAS, list the name, address, and telephone number of the person (including area codes and fax numbers, if applicable) in the department who is knowledgeable about the proposed regulation and can answer requests for information from the public.
   −
== Low-impact RIAS ==
+
==Low-impact RIAS ==
 
In a low-impact RIAS, CDSR requirements must be addressed similarly to the medium/high‑impact RIAS. The triage is a good place to start to know which CDSR elements need sufficient treatment in the low-impact RIAS. Also, it may be helpful to refer to the checklists for each relevant section of the RIAS, as shown in the previous section of this guide.
 
In a low-impact RIAS, CDSR requirements must be addressed similarly to the medium/high‑impact RIAS. The triage is a good place to start to know which CDSR elements need sufficient treatment in the low-impact RIAS. Also, it may be helpful to refer to the checklists for each relevant section of the RIAS, as shown in the previous section of this guide.
   −
=== Issue and objectives ===
+
===Issue and objectives===
 
This section should provide a brief statement describing the issue that the regulation will address and why government intervention is needed. Objectives of the proposed regulatory action should also be included in brief bullet form.
 
This section should provide a brief statement describing the issue that the regulation will address and why government intervention is needed. Objectives of the proposed regulatory action should also be included in brief bullet form.
   −
=== Description and rationale ===
+
===Description and rationale ===
 
A brief description of the proposed regulatory action, along with a justification demonstrating how the proposal will address the objectives, is proportionate to the degree and type of risk presented by the issue. This will not unduly impact other areas or sectors. A brief, qualitative assessment of expected benefits and costs must be included. While quantitative benefits and costs are not a requirement in the low-impact RIAS, they may also be included.
 
A brief description of the proposed regulatory action, along with a justification demonstrating how the proposal will address the objectives, is proportionate to the degree and type of risk presented by the issue. This will not unduly impact other areas or sectors. A brief, qualitative assessment of expected benefits and costs must be included. While quantitative benefits and costs are not a requirement in the low-impact RIAS, they may also be included.
   −
=== Consultation ===
+
===Consultation===
 
Describe the consultation process, the main views of consulted parties, and how they were taken into account.
 
Describe the consultation process, the main views of consulted parties, and how they were taken into account.
    
If the regulation is being considered for an exemption from pre-publication, this section needs to include information about consultations similar to that of a medium/high-impact RIAS for the ''Canada Gazette'', Part II, as discussed in the previous section of this guide.
 
If the regulation is being considered for an exemption from pre-publication, this section needs to include information about consultations similar to that of a medium/high-impact RIAS for the ''Canada Gazette'', Part II, as discussed in the previous section of this guide.
   −
=== Implementation, enforcement, and service standards ===
+
===Implementation, enforcement, and service standards===
 
Describe the implementation plan and compliance and enforcement strategies, as appropriate. Identify the service standard associated with the regulatory activity and describe how the department will monitor its performance against the standard.
 
Describe the implementation plan and compliance and enforcement strategies, as appropriate. Identify the service standard associated with the regulatory activity and describe how the department will monitor its performance against the standard.
   −
=== Contact ===
+
===Contact===
 
Identify the contact person(s) for public enquiries.
 
Identify the contact person(s) for public enquiries.
   −
== RIAS for miscellaneous amendments regulations ==
+
==RIAS for miscellaneous amendments regulations==
 
Miscellaneous amendments regulations (MARs) can be used to implement amendments that are non-substantive and that have been classified through the triage process as "No" or "N/A" (not applicable). The RIAS for MARs is expected to contain the following sections: "Issue and objectives," "Description and rationale," "Consultation," and "Contact."
 
Miscellaneous amendments regulations (MARs) can be used to implement amendments that are non-substantive and that have been classified through the triage process as "No" or "N/A" (not applicable). The RIAS for MARs is expected to contain the following sections: "Issue and objectives," "Description and rationale," "Consultation," and "Contact."
   −
== RIAS checklist ==
+
==RIAS checklist==
 
{| class="wikitable"
 
{| class="wikitable"
 
!RIAS Section
 
!RIAS Section
Line 568: Line 575:  
|Executive summary
 
|Executive summary
 
|
 
|
−
* Is the section within the 60-line (1,000-word) limit?
+
*Is the section within the 60-line (1,000-word) limit?
−
* Does it provide a summary of only essential information?
+
*Does it provide a summary of only essential information?
 
|
 
|
 
|
 
|
Line 576: Line 583:  
|
 
|
 
* Has the nature of the issue or risk been properly identified and assessed (how it may change over time)?
 
* Has the nature of the issue or risk been properly identified and assessed (how it may change over time)?
−
* Has the need for government intervention been demonstrated?
+
*Has the need for government intervention been demonstrated?
−
* Has a quantitative risk assessment been performed?
+
*Has a quantitative risk assessment been performed?
−
* Have scientific and empirical evidence, uncertainties, ethical considerations, and public views of the public policy issue been summarized?
+
*Have scientific and empirical evidence, uncertainties, ethical considerations, and public views of the public policy issue been summarized?
 
* Has a Web link or departmental contact to the full risk‑analysis been provided?
 
* Has a Web link or departmental contact to the full risk‑analysis been provided?
 
|CDSR Section 4.2, Identifying and assessing public policy issues
 
|CDSR Section 4.2, Identifying and assessing public policy issues
Line 587: Line 594:  
|Objectives
 
|Objectives
 
|
 
|
−
* Have public policy objectives been clearly stated in terms of tangible outcomes for Canadians?
+
*Have public policy objectives been clearly stated in terms of tangible outcomes for Canadians?
 
|CDSR Section 4.3, Setting public policy objectives
 
|CDSR Section 4.3, Setting public policy objectives
   Line 595: Line 602:  
|Description
 
|Description
 
|
 
|
−
* Has a summary description been provided with only essential details of the regulation?
+
*Has a summary description been provided with only essential details of the regulation?
−
* Is it presented in clear and simple language, providing context to help the reader understand the regulation, but avoiding excess detail on the history of the legislation or regulation?
+
*Is it presented in clear and simple language, providing context to help the reader understand the regulation, but avoiding excess detail on the history of the legislation or regulation?
−
* Does it describe who will be affected by the regulation and how?
+
*Does it describe who will be affected by the regulation and how?
−
* Have linkages to enabling legislation and government priorities been established to ensure relevance and consistency?
+
*Have linkages to enabling legislation and government priorities been established to ensure relevance and consistency?
 
|CDSR Section 4.1, Regulatory consultation
 
|CDSR Section 4.1, Regulatory consultation
 
|
 
|
Line 604: Line 611:  
|Regulatory and non-regulatory options
 
|Regulatory and non-regulatory options
 
|
 
|
−
* Have both regulatory and non-regulatory options considered been summarized, including the proposed regulatory action?
+
*Have both regulatory and non-regulatory options considered been summarized, including the proposed regulatory action?
−
* Have the key differences between the options been summarized and assessed?
+
*Have the key differences between the options been summarized and assessed?
 
|CDSR Section 4.4, Selecting the appropriate mix of government instruments
 
|CDSR Section 4.4, Selecting the appropriate mix of government instruments
   Line 613: Line 620:  
|Benefits and costs
 
|Benefits and costs
 
|
 
|
−
* Is the depth of the analysis commensurate with the level of significance determined by the triage?
+
*Is the depth of the analysis commensurate with the level of significance determined by the triage?
 
* Have both costs and benefits of regulatory and non‑regulatory measures been described?
 
* Have both costs and benefits of regulatory and non‑regulatory measures been described?
 
* Have both quantitative and qualitative measures been included?
 
* Have both quantitative and qualitative measures been included?
−
* Does the RIAS adequately summarize potential positive and negative economic, environmental, and social impacts on Canadians, businesses, and government of the proposed regulation and its feasible alternatives?
+
*Does the RIAS adequately summarize potential positive and negative economic, environmental, and social impacts on Canadians, businesses, and government of the proposed regulation and its feasible alternatives?
−
* Is it clear how the positive and negative impacts may be distributed across various affected parties, sectors of the economy, and regions of Canada?
+
*Is it clear how the positive and negative impacts may be distributed across various affected parties, sectors of the economy, and regions of Canada?
−
* Has a Web link or departmental contact to the full cost‑benefit analysis been provided?
+
*Has a Web link or departmental contact to the full cost‑benefit analysis been provided?
−
* Has a cost‑benefit analysis summary statement of the quantifiable and non-quantifiable costs and benefits been presented?
+
*Has a cost‑benefit analysis summary statement of the quantifiable and non-quantifiable costs and benefits been presented?
 
|CDSR Section 4.4, Analyzing the benefits and costs of regulation
 
|CDSR Section 4.4, Analyzing the benefits and costs of regulation
   Line 630: Line 637:  
|Does the rationale flow logically from the analysis, including costs and benefits and consultation results?
 
|Does the rationale flow logically from the analysis, including costs and benefits and consultation results?
   −
* Is there a description of how the regulatory proposal results in the greatest overall benefit to Canadians and how it will meet objectives stated in the "Objectives" section?
+
*Is there a description of how the regulatory proposal results in the greatest overall benefit to Canadians and how it will meet objectives stated in the "Objectives" section?
−
* Is it clear that the regulatory proposal is proportionate to the degree and type of risk presented in the "Issue" section and why it will not unduly impact other areas or sectors?
+
*Is it clear that the regulatory proposal is proportionate to the degree and type of risk presented in the "Issue" section and why it will not unduly impact other areas or sectors?
−
* Does the RIAS show how adverse impacts have been mitigated and positive impacts enhanced for the environment, the health and safety of Canadians, businesses, consumers, competition, competitiveness, trade, and investment?
+
*Does the RIAS show how adverse impacts have been mitigated and positive impacts enhanced for the environment, the health and safety of Canadians, businesses, consumers, competition, competitiveness, trade, and investment?
−
* Is it clear how any administrative burden has been limited to impose the least possible cost on Canadians and businesses? Have specific needs of small businesses been addressed?  
+
*Is it clear how any administrative burden has been limited to impose the least possible cost on Canadians and businesses? Have specific needs of small businesses been addressed?
 
* Is it clear that the regulatory proposal complies with Canada's international obligations?
 
* Is it clear that the regulatory proposal complies with Canada's international obligations?
−
* Has international cooperation been considered and have specific Canadian requirements been limited and justified?
+
*Has international cooperation been considered and have specific Canadian requirements been limited and justified?
 
|CDSR Section 4.4, Selecting the appropriate mix of government instruments
 
|CDSR Section 4.4, Selecting the appropriate mix of government instruments
   Line 649: Line 656:  
|Consultation
 
|Consultation
 
|
 
|
−
* Does this section explain how affected parties were consulted?
+
*Does this section explain how affected parties were consulted?
−
* Does the section clarify which groups of stakeholders were consulted, and have their views been summarized?
+
*Does the section clarify which groups of stakeholders were consulted, and have their views been summarized?
−
* If required, does the RIAS ensure that the confidentiality of specific stakeholder comments has been protected?  
+
*If required, does the RIAS ensure that the confidentiality of specific stakeholder comments has been protected?
−
* Have outstanding issues been addressed? If not, why?
+
*Have outstanding issues been addressed? If not, why?
 
* If comments were received, does this section detail what measures were taken to address them?
 
* If comments were received, does this section detail what measures were taken to address them?
 
|CDSR Section 4.1, Regulatory consultation
 
|CDSR Section 4.1, Regulatory consultation
Line 661: Line 668:  
|Implementation, enforcement and service standards
 
|Implementation, enforcement and service standards
 
|
 
|
−
* Have proper service standards been established?
+
*Have proper service standards been established?
−
* Has a proper compliance and enforcement strategy been developed and summarized for readers?
+
*Has a proper compliance and enforcement strategy been developed and summarized for readers?
−
* Have any issues and possible barriers to compliance been clearly assessed?
+
*Have any issues and possible barriers to compliance been clearly assessed?
−
* If issues with compliance exist, are mechanisms to overcome them described?
+
*If issues with compliance exist, are mechanisms to overcome them described?
 
|CDSR Section 4.5, Planning for implementation, compliance, and enforcement
 
|CDSR Section 4.5, Planning for implementation, compliance, and enforcement
 
|
 
|
Line 670: Line 677:  
|Performance measurement and evaluation
 
|Performance measurement and evaluation
 
|
 
|
−
* Does this section summarize how the regulatory activities connect inputsand activities to ''outputs'' to target groups and expected outcomes from the initiative (i.e., summary of the logic model)?  
+
*Does this section summarize how the regulatory activities connect inputsand activities to ''outputs'' to target groups and expected outcomes from the initiative (i.e., summary of the logic model)?
−
* Does it make reference to the indicators that will be used to measure changes in outputs and outcomes?
+
*Does it make reference to the indicators that will be used to measure changes in outputs and outcomes?
 
* Does it include information on how and when the information will be summarized, reported, and used to improve the performance of the regulatory activities?
 
* Does it include information on how and when the information will be summarized, reported, and used to improve the performance of the regulatory activities?
 
* Does it outline the methodology that will be used to evaluate the regulatory activity?
 
* Does it outline the methodology that will be used to evaluate the regulatory activity?
−
* Does it indicate that the PMEP is available upon request?
+
*Does it indicate that the PMEP is available upon request?
 
|CDSR Section 4.6, Measuring, evaluating, and reviewing regulation
 
|CDSR Section 4.6, Measuring, evaluating, and reviewing regulation
  
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