Consider and decide to approve

Introduction

The approver considers the application and recommendations and decides whether to approve funding assistance for the activity. The process may involve moderation and/or negotiation.

Moderation

Consideration of funding assistance applications often involve moderation to inform the approver’s decision, e.g. the NLTP A National Land Transport Programme Interrelated and complementary combination of activities that, when delivered in a coordinated manner, produce synergies – can span more than one work category and more than one activity class, e.g. a programme could include a road improvement and public transport improvement activities. adopted by the NZTA under section 19 of the LTMA, as from time to time amended or varied Advisory Group provides advice and moderates proposals to the Group Manager Planning and Investment.

The level of moderation depends on the significance of the decision – generally the smaller and lower risk the decision, the lower the level of moderation applied in the process.

Moderation informs the decision, but does not remove accountability for the decision from the decision maker.

For guidance, see the Delegations Summary within "The Way We Work" section.

Negotiation

Negotiation with applicants to resolve issues around applications and activities is common. This can range from low key resolution of funding application and assessment details to high level negotiation of funding levels and sources.

As a general rule, negotiation to resolve issues is preferred to applying conditions to funding approvals, although some negotiations may require funding approval conditions as the means of recording special funding arrangements.

Recommenders and decision makers involved in the negotiation need to be aware of the limits of their delegated authority and ensure that the appropriate decision maker has signed off on the agreement.

Conditions of approval

Conditions of funding approval may be applied to any funding approval, although their use should be restricted to extraordinary requirements or variations around approvals. They should not be used to require certain actions that would normally apply as part of an approval, delivery or monitoring process.

Conditions that require certain actions to be undertaken need to be very specific as to the action, the accountability for its delivery and its timing.

Examples where conditions of funding approval may be applied include:

• variation from normal funding assistance rates
• decisions to limit or cap funding assistance
• requirements to undertake actions before the funding is able to be released (conditions precedent
  Get Funding Approval but cannot claim until action taken (any commitments are at Applicant’s own risk).
  
  )
• requirements to undertake actions after the funding is released (conditions subsequent Get Funding Approved, but an additional action required.  Normally with a deadline.  ) – often apply to an intermediate phase where an action is required before an application is approved.

Record and confirm decision

Funding approval Approval given by the NZTA under section 20 of the LTMA. decisions must be recorded and confirmed in a manner appropriate to the scale, complexity and risk of the activity.

For small, low risk decisions an email/file note and/or recommendation and recording of the decision by the delegated decision maker in Transport Investment Online (TIO The NZTA's web-based funding allocation system. ) may suffice.

For larger, higher risk decisions involving moderation, the decision should be recorded in meeting minutes and signed off by the decision maker as well as recorded in TIO The NZTA's web-based funding allocation system. .