Policy Hub
Guidance Checklist for Policy Makers
Some tips on where to go for guidance on impact assessment and appraisal
Introduction
What is this for?
This quick reference guide replaces the Policy Makers' Checklist which was
previously on the Better Regulation Executive website
We are committed to improving the way policy is made and the practical results it delivers.
Policy decisions need to be informed by taking account of key issues and the needs of different groups to deliver a fairer, more inclusive and more competitive society. This checklist is designed to help you to identify those issues and provides guidance on best practice so that you can provide effective advice to Ministers.
When do I use it?
When you are first thinking about a policy proposal, as part of your on-going
work and at the end of the policy process.
How do I use it?
The checklist helps you to 'screen' for the potential impacts of your proposal
by providing access to the most up to date guidance. If you decide that
the issue or impact assessment is appropriate to your work then just click
on the underlined word for more detailed guidance. In most cases this will
start with a summary page and a contact point in the relevant department
or unit before leading into the main guidance. The list of impacts covered
here is not comprehensive. You may need to consider other issues. But the
following categories of impact cover most of the ground.
You can link to the category of the checklist that is of interest to you by clicking on the appropriate hyperlink in the contents table below.
Costs and broad appraisal issues
Impact Assessment
Public sector impacts
Sustainable Development
Scientific evidence
Risk
Legal issues
Taking account of the European Union International Treaty Obligations
Devolved Administrations
Environmental Appraisal
Rural Proofing
Policy appraisal for equal treatment
Public Health and Safety
Consumer Impact Assessment
E-Commerce
Establish clear policy objectives with Departmental Ministers. The Treasury Green Book provides useful guidelines on setting objectives.
Is your proposal likely to have an impact on businesses, charities or the voluntary sector? If so, you need to prepare a Impact Assessment previously known as a Regulatory Impact Assessment.
Impact Assessments are required for proposals that are not regulatory in source but nevertheless impose costs on public sector or third-sector organisations that deliver public services. For example, changes to reporting requirements, revisions to criteria for releasing funding and the imposition of new targets could all have an impact on costs which should be assessed. However, a proportionate approach should be used. If the cost of the proposal is below £5 million and is not likely to attract high levels of political or media interest, only a development/options stage Impact Assessment is necessary - see the Impact Assessment guidance for an explanation of these stages.
There are five principles of sustainable development in the UK:
These principles were laid out in the UK Government’s sustainable development strategy, Securing the Future (2005), and form the basis for policies of the UK Government, Scottish Executive, Welsh Assembly Government and the Northern Ireland Administration. For a policy to be sustainable, it must respect all five principles, though we recognise that some policies, while underpinned by all five, will place more emphasis on certain principles than others. Any trade-offs should be made in an explicit and transparent way.
In simple terms this means - we want to live within environmental limits and achieve a just society, and we will do so by means of sustainable economy, good governance, and sound science. Further information.
From April 2004 all government departments and their agencies have been required to include environmental and social costs & benefits as well as economic costs & benefits in Regulatory Impact Assessments (RIAs). Further information is available in the Treasury’s Green Book:
Is there significant scientific uncertainty surrounding the proposal? Is there a range of scientific opinion?
Are there significant implications for sensitive areas such as people's health and safety, animal and plant protection, and the environment?
If this is relevant, you may want to consider further guidance on using scientific evidence
Will the proposal protect the public (including vulnerable groups and the environment) properly, whilst keeping restrictions on personal freedom and choice and costs to business acceptably low? Although risk assessment is traditionally concerned with the management of risks to public health and safety the principles of should be considered throughout the policy making process.
If this is relevant, you may want to consider risk issues in your proposal. There are various sources of guidance on risk, which can be found elsewhere on Policy Hub, including a link to the Risks section of the Better Regulation Executive website.
You may need to consider the legality of your policy proposal and the possibility that it may be subject to review by the courts. General guidance on legal challenges to Government decisions can be found on the Cabinet Office web-site.
You may need to consider the implications of the Human Rights Act for your proposal. A good source here is the extensive guidance on the Human Rights Act 1998 issued by the Human Rights Unit of the Lord Chancellor's Department. The Human Rights Act 1998 received Royal Assent on 9 November 1998 and will be brought fully into force on 2 October 2000. From that date the civil, political, economic, and social rights and freedoms guaranteed under the European Convention on Human Rights will effectively be incorporated into domestic law. The body of case law that has developed indicates that this may have wide application.
There are very few areas of policy making that no longer have a European dimension of any kind. You may want to consider early on:
If this is relevant, you may want to consider further advice on the European Union.
The Better Regulation Executive's Impact Assessment Guidance and Toolkit provide background information on the meaning and purpose of IAs and step by step guidance on the procedure for preparing and presenting them. Information on the UK handling of EU legislation, including its transposition into national legislation and enforcement can be found under the European Regulatory Reform section of the Better Regulation website.
There are many areas of policy that may also have an impact upon the UK's international treaty obligations, not only within the European Union but also worldwide. If you think your policy proposal will involve this aspect, guidance on the status of treaties involving the UK, and on the treaty-making process generally, can be accessed through the Foreign and Commonwealth Office's Documents and Reference database . In addition the FCO's Treaty Information Service is able to provide help and advice.
You may need to check how your proposal interacts with the constitutional position and remits of the devolved administrations. General guidance can be found in the Devolution in Practice: checklist for officials (408kb) on the Department for Constitutional Affairs website.
Is your proposal likely to consume natural resources (such as energy, water or land for example by encouraging people to travel more)
If this is relevant, you need to consider whether an environmental appraisal is required.
Rural proofing is the mechanism by which policy makers are required to take account of specific rural issues that affect the design and delivery of policy, and develop solutions to address these if necessary. It is based around the Rural Proofing policy makers checklist which has been drawn up by the Countryside Agency and describes 14 characteristic features that need to be taken into account in achieving more effective policy outcomes. Examples are more dispersed population, fewer service outlets, greater travel needs or smaller economic markets. All Departments must also submit a report to the Cabinet Committee on Rural Renewal (DA(RR)) on the outcomes from this process - it is important to bear in mind that the important part of rural proofing is the solutions developed to address the challenges rather than the process itself.
The Countryside Agency also publishes reports on how successful or otherwise it feels Government has been at addressing rural issues through rural proofing and solutions.
The way ahead for rural services: a good practice guide for locating rural services (233k) provides help for policy-makers, service planners and providers in how to assess the rural impact when making decisions that affect the provision of rural services.
Would your proposal affect, either directly or indirectly, different groups of people, for example, women, disabled people, older people, those from different ethnic groups?
On equal treatment for men and women, useful guidance is contained in the Gender Impact Assessment produced by the Women and Equality Unit
You may need to consider the Better Government for Older People programme and the Core Principles for the involvement of children and young people. (546kb).
The Race Relations Amendment Act 2000 placed a duty on public authorities, including government departments to have arrangements in place for assessing and consulting on the likely impact of its proposed policies on the promotion of race equality. For further guidance, see the Specific Impact Test section of IAA Toolkit on the Better Regulation Executive website
Is your proposal likely to involve a major risk to health, for example, poverty, unemployment, housing and housing conditions, work and workplace conditions, transport ?
If this is relevant, you need to consider whether a health impact assessment is needed.
VALUE FOR MONEY - Will it affect the cost to the consumer and the quality of goods and services?
ACCESS - Will it affect consumers' ability to get hold of the goods or services they need or want?
CHOICE - Will it affect consumers' choice of goods and services?
INFORMATION - Will it affect the availability of accurate and useful information on the goods or services?
FAIRNESS - Will it have a differential impact on some individuals or groups of consumers?
If this is relevant, you need to consider whether a Consumer Impact Assessment (224kb) is needed.
You should consider the impact of your policy proposals on e-commerce. The e-policy principles developed by the Office of the e-Envoy provide guidance.
Remember that assessment of impacts is not the only issue you will need to consider in order to successfully delivery your policy. Useful guidance is available elsewhere on Policy Hub.