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Introduction

This section sets out the guidance on assessing Results Alignment for activities within the investment management activity class.

Prior requirements for Assessment

The assessment under the Investment Assessment Framework considers business cases developed using Business Case Approach principles.

Prior to any assessment using the Investment Assessment Framework, the business case must first be assessed by the Transport Agency to provide assurance that a robust case has been developed under Business Case Approach principles. 

Work Categories

The investment management activity class comprises three types of activities with the following work categories:

Guidance on assessment of investment management activities is provided below for each type.

Results alignment for Transport Planning

Default Results Alignment - Transport planning

By default, the Results Alignment ratings for transport planning activities are;

Requirements for medium rating – Transport planning

A Medium rating for Results Alignment may be given where the activity applies best practice planning and processes including adopting a coordinated approach with relevant stakeholders and:

  • is focused on significant change in actual or predicted transport demand or performance, and its drivers such as changes in industry, population, technology, energy and climate, where these changes are not accounted for in existing strategies and plans;

AND

  • ensures:
    • integration of modes, transport and land use planning issues and other infrastructure planning
    • making better use of existing transport capacity, including services and infrastructure
    • managing adverse environmental effects from land transport;

AND

  • considers:
    • one connected transport system performance & capability
    • safety
    • value for money
    • environmental outcomes 

Requirements for high rating – Transport planning

A High rating for Results Alignment must only be given where the activity meets the requirements for a medium rating,

AND

  • makes improvements to whole-of-network, long-term local, regional and national planning in response to significant changes in actual or predicted transport demand or performance, and their drivers such as changes in industry, population, technology, energy and climate;

AND

  • addresses one or more of the following:
    • addressing severe congestion 
    • optimised levels of service, operation and management of networks
    • journey time reliability
    • resilience
    • reduction in deaths and serious injuries in areas identified as being of high crash risk

Further information

Further information on Results alignment assessment is provided in the section on Developing an Assessment Profile.

Cost-Benefit Appraisal for transport planning

No Cost-Benefit Appraisal rating is required for funding of transport planning activities, except for the exception below for Work category 004. This means that the assessment profile for transport planning consists only of Results Alignment.

Note that Cost-Benefit Appraisal is required to obtain support for programme business cases that have been developed under Work category 004: Programme business case development. In other words, one of the outputs from developing a programme business case is a Cost-Benefit Appraisal.

Assessment of the Sector Research Programme

The purpose of Sector research is to acquire new knowledge so that it can be applied by transport decision makers to deliver more effective and efficient transport solutions.

The research programme is a nationally delivered programme managed by the Transport Agency.

The Transport Agency Research Programme requirements  provides research objectives, and approach to research investment, and seeks the activities required to achieve these objectives.

The framework is centred around five research areas for land transport, provides research objectives for each of the research areas, and lists research output areas of High and Medium Results Alignment, although the current focus is on High Results Alignment. In addition, it aligns the programme with the work of transport decision makers; the Transport Agency, Ministry of Transport (external link)  and Approved Organisations.

A default profile of High Results Alignment is applied to the programme as a whole.

An assessment of the Cost-Benefit Appraisal for the sector research programme is not required.

Investment in the Funding Allocation System

Investment in the funding allocation system is the activity that incorporates the processes, tools and systems required to plan, optimise and deliver the NLTP, thereby giving effect to the Government Policy Statement on Land Transport and complying with the Land Transport Management Act.

The activity is developed and managed as a nationally delivered activity as part of the Transport Agency business planning and financial management, and is incorporated within the current Transport Agency’s Statement of Performance Expectations agreed with the Minister of Transport.

A profile of High Results Alignment is applied to the programme when developed as part of the current Transport Agency’s Statement of Performance Expectations.

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