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Guide to the Federal Regulatory Development Process (view source)

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'''Download'''
 
'''Download'''
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If the following document is not accessible to you, please contact info@tbs-sct.gc.ca for assistance.
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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.
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* [https://www.canada.ca/content/dam/canada/tbs-sct/migration/hgw-cgf/priorities-priorites/rtrap-parfa/guides/gfrpg-gperf/rtf/critical-path-template.rtf.doc Critical Path Template] (RTF version, 139 Kb)
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*[https://www.canada.ca/content/dam/canada/tbs-sct/migration/hgw-cgf/priorities-priorites/rtrap-parfa/guides/gfrpg-gperf/rtf/critical-path-template.rtf.doc Critical Path Template] (RTF version, 139 Kb)
    
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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== Part 4: Document Checklist and Templates ==
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A number of documents are required to support the approval of GIC regulations. Document requirements at various stages of the approval process are summarized in the following checklist. This part of the guide also provides explanations and sample templates for some of these documents.
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{| class="wikitable"
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|+Documentation Checklist-Governor in Council Regulations
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! rowspan="2" |Documents<ref>All documents must be prepared in English and French, except the Request for Insertion in the Canada Gazette and the Letter of Transmittal, which can be submitted in either language.</ref>
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! colspan="2" |Submission for Legal Examination
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! rowspan="2" |Submission to the Treasury Board for Pre-Publication Approval
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Assistant Clerk
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PCO-OIC
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! rowspan="2" |Submission to the Treasury Board for Final Approval
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Assistant Clerk
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PCO-OIC
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|-
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!Either the Regulations Section, JUS, or the Departmental Regulations Sections
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!Treasury Board of Canada Secretariat–Regulatory Affairs Sector (TBS-RAS)<ref>Send to the Director of Cabinet Committee Operations, TBS-RAS, or to the appropriate TBS-RAS analyst. The analyst will review the draft proposal and may provide comments to departmental officials.</ref>
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|-
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|Letter of Transmittal to the Assistant Clerk of the Privy Council
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|Original signed by departmental manager
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|One copy or email or diskette
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|Original signed by ADM and four photocopies
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|Original signed by ADM and four photocopies
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|-
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|Ministerial Recommendation to the GIC
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|Draft (unsigned)
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|Draft (unsigned)
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|N/A
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|Original signed by minister and one photocopy
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|-
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|Notice of Pre-Publication
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|Email or diskette
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|One copy or email or diskette
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|One original stamped copy and five photocopies<ref>Do not send the final Communications Plan and Supplementary Notes by email.</ref>
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|N/A
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|-
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|Order in Council
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|Email or diskette
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|One copy or email or diskette
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|N/A
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|One original stamped copy and six photocopies of both English and French
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|-
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|Regulations
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|Email or diskette
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|One copy or email or diskette
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|One original stamped copy and five photocopies
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|One original stamped copy and 10 photocopies of both English and French
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|-
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|RIAS
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|Email or diskette
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|One copy or email or diskette
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|Original cover page signed by minister
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and five photocopies and diskette
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|Original cover page signed by minister and five photocopies and diskette
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|-
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|Supplementary Note, if any<ref name=":0">The number of copies indicated includes a second complete copy for TBS-RAS, which should be provided in a separate envelope.</ref>
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|N/A
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|One copy or diskette
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|Original hard copy and four photocopies
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|Original hard copy and four photocopies
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|-
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|Communications Plan<ref name=":0" />
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|N/A
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|One copy or diskette
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|Original hard copy and four photocopies
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|Original hard copy and four photocopies
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|-
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|Request for Insertion in the Canada Gazette
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|N/A
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|N/A
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|Original signed by departmental official
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|Original signed by departmental official
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|-
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|Artwork, if any
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|Email or diskette
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|One copy or email or diskette
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|Original
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|Original
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|-
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| colspan="5" |'''On each diskette label, indicate your department, contact name, phone number, and software used.'''
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|}
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=== Regulatory Impact Analysis Statement Cover Page ===
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The RIAS cover page is the recommendation of the sponsoring minister(s) to his or her Treasury Board colleagues to pre-publish a regulation. It should use the format shown in the accompanying template and must be '''signed by the sponsoring minister(s)'''.
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A diskette containing the final version of the RIAS must be included with the submission. It should be clearly identified and placed in a disk mailer envelope.
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For additional guidance on developing a RIAS, including a RIAS template, consult the RIAS Writer's Guide.<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''Formatting Tips for the RIAS Cover Page'''
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* Use ministerial or departmental letterhead.
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* Use the official title of the minister (see the [http://webinfo.parl.gc.ca/MembersOfParliament/MainCabinetCompleteList.aspx?TimePeriod=Current&Language=E Canadian Ministry]).
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* Use the font Times New Roman 12; all margins should be set at 1 in. (2.54 cm).
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* Bold and italicize only the mandatory sections. If there is a need for subdivisions, underlining the heading is sufficient.
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* Be concise; avoid repetition in the document.
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* The information from the Notice of Pre-Publication should not be reproduced in the RIAS.
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* The information may appear on one page, with the English and French versions side by side.
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* Canada Gazette should always be italicized (i.e., Canada Gazette, Part I; Canada Gazette, Part II).
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* The expression "proposed regulations" should be used during pre-publication but '''not''' for final publication of the regulations. When the final text of the regulations is published in the Canada Gazette, Part II, the regulations have already been made and thus are no longer "proposed."</blockquote>
 
<blockquote style="background-color: lightgrey; border: solid thin grey;">
 
<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''HINT: Forming a team to develop and implement a PMEP has been found to be an effective practice. The team should include not only regulatory development officers, evaluators, and corporate officers but also cost-benefit analysis experts, risk assessors and managers, IM/IT personnel, Secretariat analysts, and compliance promotion, enforcement, and monitoring groups, among others.'''</blockquote>
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'''Download'''
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<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''HINT: Forming a team to develop and implement a PMEP has been found to be an effective practice. The team should include not only regulatory development officers, evaluators, and corporate officers but also cost-benefit analysis experts, risk assessors and managers, IM/IT personnel, Secretariat analysts, and compliance promotion, enforcement, and monitoring groups, among others.'''</blockquote>
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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.
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<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''HINT: Forming a team to develop and implement a PMEP has been found to be an effective practice. The team should include not only regulatory development officers, evaluators, and corporate officers but also cost-benefit analysis experts, risk assessors and managers, IM/IT personnel, Secretariat analysts, and compliance promotion, enforcement, and monitoring groups, among others.'''</blockquote>
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* [https://www.canada.ca/content/dam/canada/tbs-sct/migration/hgw-cgf/priorities-priorites/rtrap-parfa/guides/gfrpg-gperf/rtf/regulatory-impact-analysis-statement.rtf.doc Regulatory Impact Analysis Statement] (RTF version, 25 Kb)
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<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''HINT: Forming a team to develop and implement a PMEP has been found to be an effective practice. The team should include not only regulatory development officers, evaluators, and corporate officers but also cost-benefit analysis experts, risk assessors and managers, IM/IT personnel, Secretariat analysts, and compliance promotion, enforcement, and monitoring groups, among others.'''</blockquote>
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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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<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''HINT: Forming a team to develop and implement a PMEP has been found to be an effective practice. The team should include not only regulatory development officers, evaluators, and corporate officers but also cost-benefit analysis experts, risk assessors and managers, IM/IT personnel, Secretariat analysts, and compliance promotion, enforcement, and monitoring groups, among others.'''</blockquote>
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=== Ministerial Recommendation ===
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A Ministerial recommendation is the official request from the minister to the GIC to make a regulation pertaining to a specific matter and, when applicable, to request an exemption from pre-publication. The information contained in this document must be identical to the information contained in the Order in Council.
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The Ministerial Recommendation accompanies the regulatory proposal when it is submitted to the Treasury Board for final approval, registration, and publication in the Canada Gazette, Part II.
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It is important to use the official title of the minister in the signature block. Please see http://webinfo.parl.gc.ca.
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This recommendation is the vehicle by which the principle of ministerial accountability for regulations is honoured. As a result, it '''cannot''' be signed by the deputy minister using the authority of paragraph 24(2)(c) of the Interpretation Act. Paragraph 24(3) of the Interpretation Act specifically prohibits deputy ministers from exercising the regulation-making authorities of their ministers, be in it in the making of regulations or recommending regulations to the GIC.
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Acting ministers formally designated by Cabinet may make regulations or sign ministerial recommendations if the substantive minister is unavailable to sign documents. In the absence of the substantive minister and the acting ministers, the prime minister or acting prime minister may make regulations or sign recommendations to Council '''for any department'''. PCO maintains a current list of any acting ministers.
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When the enabling act dictates that more than one minister must sponsor a regulatory proposal, all references to documents signed by "the minister" are intended to mean all ministers named in the act. In practical terms, this means that all sponsoring ministers sign the Ministerial Recommendation (as well as the RIAS).<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''Formatting Tips for the Ministerial Recommendation'''
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* Use ministerial or departmental letterhead.
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* It is recommended that the information it contains be identical to the OIC.
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* The recommendation may appear on one page, with the English and French versions side by side.
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* When the document consists of more than one page, the pages must be numbered.
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* The recommendation must be dated and signed by the minister(s).</blockquote>
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<blockquote style="background-color: lightgrey; border: solid thin grey;">'''Download'''
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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.
 +
 
 +
* [https://www.canada.ca/content/dam/canada/tbs-sct/migration/hgw-cgf/priorities-priorites/rtrap-parfa/guides/gfrpg-gperf/rtf/ministerial-recommendation.rtf.doc Ministerial Recommendation] (RTF version, 22 Kb)
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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.
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The example above is for new regulations. Sample paragraphs that could be used for amending existing regulations and repealing regulations are provided below.</blockquote>
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== Amending Regulations ==
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=== Amending regulations ===
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The undersigned has the honour to recommend that Your Excellency in Council, pursuant to section (insert relevant section) of the (insert relevant Act), make the annexed (insert name of the Regulations).
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=== Repealing regulations ===
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The undersigned has the honour to recommend that Your Excellency in Council, pursuant to section (insert relevant section) of the (insert relevant Act), make the annexed (insert name of the Regulations).
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=== Supplementary Note ===
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A Supplementary Note is used to inform ministers of confidential (e.g., trade secrets) or sensitive matters (e.g., federal or provincial issues) not found in the RIAS. Supplementary Notes can be initiated by the regulatory organization or requested by the TBS-RAS analyst. Most regulatory submissions do not require a Supplementary Note.
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A Supplementary Note is a Cabinet confidence document and, as such, is not released to the public. Because Supplementary Notes contain confidential and/or sensitive information, they should not be sent electronically to PCO-OIC or TBS-RAS.
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Regulatory submissions do not contain an explanatory note. Explanatory notes are included only with instruments that are not subject to the government's policy on the pre-publication of draft regulations. This includes OICs that bring legislation into force. For more information, consult the Governor in Council Process Guide, available from PCO-OIC.
Nancy.luo
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