Roles & responsibilities

Introduction

The Ministry and transport agencies work in collegial partnership to achieve an optimal transport regulatory environment.

The Ministry is the government‘s principal transport adviser, providing policy advice and support to the Minister of Transport and Associate Minister of Transport on transport-related legislative interventions – including primary legislation (Acts) or secondary legislation (regulations and Rules).

Transport agencies have a wide range of legislation driven functions and powers, including regulatory ones, to achieve their objective to contribute to an integrated, safe, responsive and sustainable transport system. The agencies provide advice to the Ministry of Transport on design of potential regulatory interventions to assist the agencies to carry out their regulatory functions.

This section contains information about accountabilities, generic roles and responsibilities involved in the Rules Programme and Rule development projects, as reflected in the process on this site.

 

Ministry of Transport – accountabilities

The accountabilities of the Ministry are to:

  • Lead policy investigation and development of advice to the Minister on transport issues
  • Ensure that the policy intent has been met in design of potential legislative interventions .
  • Meet government expectations concerning better regulation, including regulatory impact assessment requirements monitored and led by the Treasury (Accountable for the quality of Regulatory Impact assessments.)
    • Monitor the need for change to legislative interventions in order to meet international treaty/convention requirements (unless delegated to a transport agency)
    • Manage and review the annual Transport Rules Programme, part of the wider Regulatory Programme (Plan).

Ensure the Minister is kept informed about the regulatory programme, through quarterly and other status updates, including:

 

Transport Agency – accountabilities

The accountabilities of each Transport Agency are to:

  • Maintain and implement risk-based strategies to fulfil legislative functions and powers contained in legislation
  • Maintain the existing stock of Rules and regulations to assess whether these are up to date and effective
  • Advise the Ministry of the need to improve existing transport Rules or regulations, or to develop new Rules or regulations
  • Ensure the necessary resources, skills and capabilities are available to implement proposed Rules and regulations and that Ministers are advised of implementation costs
  • Design Rules, in accordance with policy and statements of scope developed by the Ministry, to ensure effective and efficient implementation
    • Monitor the need for changes to Rules or regulations in order to meet international treaty/convention requirements, under delegation by the Ministry.

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Rules programme roles  

Roles involved in management of the Transport Rules Programme:

Role

Responsibility

Rules Coordinator

(at each agency and for each mode at the Ministry)

  • Liaise with the Rules Coordinator for the relevant mode at the Ministry/Agency.
  • Have oversight of the current rules work programme and monitor timeframes for deliverables.
  • Attend the monthly Ministry/Agency Rules Programme meeting.
  • Facilitation and troubleshooting, particularly across the Rules programme.

Rules Coordinator at the Ministry:

  • Report to sector managers and keep the Regulatory Reform Programme Manager informed about Rules work, contribute to six monthly Rules Programme update reports.

Regulatory Reform Programme Manager

(Ministry)

  • Manage, maintain and report on the Transport Rules Programme.
  • Liaise with Rules Coordinators at the Ministry, and agencies 
  • Coordinate with agencies on the Rules programme.
  • Delegates to Rules Coordinators for day to day oversight of the Rules projects within their sector.
  • Own the Rules Development Framework site and content of the processes and supporting documentation.

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Rules project roles

These project roles are established for each Rules project and often for each phase, particularly for Phase 2: Policy investigation and Phase 3: Rule development and consultation.

Roles are filled from both organisations (Ministry and relevant Agency), and could be different people for different phases although sponsors remain constant throughout the end-to-end Rules project.

The following table outlines generic responsibilities for the project and governance roles. The procedures for Set up of a Rules project (see Phases 2 and 3), describe who should be appointed to these roles, depending on the nature and impact of the issue.

Role

Responsibility

Lead Organisation

(Ministry or the Agency)

  • Lead the project
  • Provide the project manager and key resources.

Project Manager

(could be Ministry or Agency, usually form the lead organisation)

Manage project planning, deliverables and resources across both organisations:

  • Identify key tasks, deliverables and target completion dates
  • Identify resources, including project team, governance structure and time
  • Confirm internal sign-off process for both Agency and Ministry
  • Manage day to day work and coordinate between Agency and the Ministry
  • Monitor progress, and co-ordinate resolution of issues.

Project Team members

(Ministry and Agency)

  • Undertake the project work and/or coordinate input from their organisation
  • Report on progress to their organisation
  • Seek input from wider organisation if required.

Steering group

Provide guidance and oversight to the project team.

Sponsors

(one each from Ministry and Agency)

Senior representatives who will ensure awareness of the project throughout their organisation, drive success and work through roadblocks.

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RACI tables

Each procedure in the Rules Development Framework includes a RACI table like this example:

Example of a RACI table

  

Responsible

  

Accountable

  

Consulted

  

Informed

Project Lead/ Manager

Lead Org Sponsor

Project Team (at non Lead Organisation)

Sponsors at both organisations

Rules Coordinator

 

Managers of project team members

Related sector teams (Ministry and Agency(ies)

Sector stakeholders

Compliance Auditors

Public


The RACI table shows, for the activities carried out in a procedure:

  

This column…

  

describes who…

  

This information is…

Responsible

is responsible for performing the procedure or activity.

Generally mandatory

Should indicate one role for each organisation (and perhaps others which are in a supporting role).

Accountable

is accountable for the activity being completed, correctly.

 

Generally mandatory and should be one role for the project.

Consulted

may need to make input into the activity.

A list of suggestions to be assessed for each Rule, and its nature and impact.  

Informed

needs to be aware of that the task is being done.

A list of suggestions to be assessed for each Rule, and its nature and impact.  

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Escalation

Occasionally issues may arise which cannot be resolved within the project team. These could relate to:

  • Timing or delays
  • The quality or content of the briefing paper or legal drafting
  • The actual Rules process as captured in Rules Framework.

The escalation path for resolving such issues is:

Issue

Escalation Level 1

Escalation Level 2

 

Seek input from:

Seek to resolve with:

 

About a specific Rule from:

  • a Policy Officer, Agency or Ministry
  • Legal Officer, Agency or Ministry

 

Relevant Manager

Opposite relevant Manager at Agency or Ministry

Policy Manager Programme -  Rules at Ministry

Rules Programme overall, or Rules process

Regulatory Reform Programme Manager

 

 

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