Chapter 3: Māori Consultation and Stakeholder Relationship ... · Transit’s View on Koha...

_____________________________________________________________________________ Public Engagement Manual – Part 2 Version 1 Effective date: October 2007 5 of 71

Chapter 3: Māori Consultation and Stakeholder Relationship Management

Overview

Introduction This chapter deals with Māori consultation and stakeholder relationship

management by: • providing a definition of the term consultation; and • focusing on the interaction between Transit and Māori to improve Māori

engagement in decision-making processes.

Contents This chapter contains the following topics:

Topic See Page

Memorandum of Understanding (MoU) 16 Intellectual Property 17 Fostering the Development of Māori Capacity 18 Transit’s View on Koha 19 Consultation vs Consultancy 20

_____________________________________________________________________________ Public Engagement Manual – Part 2 Version 1 Effective date: October 2007 Page 16 of 71

Memorandum of Understanding (MoU)

Introduction Transit has structured its Māori stakeholder relationship management and

consultation processes around the Memorandum of Understanding (MoU) and project protocols. This topic explains the purpose of the MoU and project protocols. It also provides definitions of important Māori terms covered in the MoU.

Purpose The MoU and project protocols outline the formal understandings established

between Transit and Māori stakeholders for interaction. Where Transit has no formal understandings in place the relationship should be conducted based on the generic MoU model or agreed project protocols for interaction. Reference: For an example of a generic MoU, refer to Appendix A4.

Obligations Transit will meet its obligations to manage Māori stakeholder relationships

under the TNZA and LTMA through its: • formal MoU programme; and • informal relationships on the basis of the generic MoU model.

Project Protocols

Project protocols are agreements and procedures not covered in a MoU that need to be established with Māori stakeholders regarding their participation in a specific project.

Māori terms used in MoU

The following table provides definitions for three Māori terms used in the MoU.

Term Definition

Kawa (protocols) Is the Tikanga based process by which Māori interact with each other and with non-Māori.

Mana whenua (mana - authority, whenua - land)

Describes those Māori stakeholders with the highest mandate to represent Māori interests because of their historical association with a particular land area.

Tikanga (customs and practices)

Distinguishes the nature of tribal identify as it relates to Māori historical and spiritual values and association with land and the natural environment.


Intellectual Property

Information This topic deals with Transit’s policy on handling intellectual property when

managing Māori stakeholders.

Verification on information required

All information gathered for a proposed policy, programme or project by Transit and Transit’s consultants and contractors for reporting purposes, will require verification from those Māori stakeholders who may be affected. The information produced from this process will remain the intellectual property of Transit and, where applicable, those Māori stakeholders that have originally produced it.

Māori exclusive rights

Māori stakeholders may indicate in a Memorandum of Understanding (MoU) or project protocol, a wish to retain exclusive rights over their customary, traditional, or other knowledge (matauranga) considered by them to be sacred or restricted (tapu). In all circumstances this is to be respected and taken into account.


Fostering the Development of Māori Capacity

Introduction This topic outlines Transit’s efforts to provide opportunities for Māori

stakeholders to foster the development of Māori capacity.

Legal requirements

Section 18(5), LTMA, requires Transit to establish and maintain processes to provide opportunities and consider ways in which it might foster the development of Māori capacity. This is to contribute to Transit’s decision-making processes.

Transit’s efforts

Transit interacts with Māori by way of formal MoU's and informal relationships based on the generic MoU model and project protocols. This interaction has contributed to raising the capacity of Māori to engage in Transit decision-making.

Results Transit’s efforts for greater interaction with Māori has led to:

• agreed understandings and clarification on what Transit and Māori can

and cannot do; • establishing reimbursement procedures; and • sub-consultancy engagements that recognise Māori expertise for agreed

services. This means that usually, Māori are: • involved earlier in Transit’s decision-making processes; and • more proactive than reactive.

Future prospects

Once SRMS is fully operational, new opportunities may exist to foster further development of Māori capacity through involvement with the system. These opportunities will be explored with those Māori stakeholders that transit has current MoU’s with, to gauge interest and support.


Transit’s View on Koha

Introduction This topic provides information on Transit’s view on koha.

What is koha? Koha is a gift offered by the visitor on the occasion of Marae visits (Marae

hui). Transit will have sole discretion on the nature of the koha, whether in kind or cash.

Tax implications

IRD has determined that koha given as an unconditional gift has no tax implications as opposed to treating koha as a “fee for service” which does have tax implications. To avoid koha being considered as a “fee for service”, Transit will only provide for koha to be given at Marae hui.

Other ceremonies

Where Māori stakeholders have taken up the opportunity offered by a project to carry out ceremonies that they have requested to be conducted, no koha should be necessary. However, Transit may, as part of these ceremonies, provide: • some administrative support; and • refreshments for the event.

Advice If you are unsure what to do, consult with Transit’s Māori Relations Advisor.


Consultation vs. Consultancy

Introduction This topic deals with the definition of the term consultation and provides a

differentiating definition for the term consultancy.

What is consultation?

Consultation is defined by the leading case on consultation, Wellington International Airport Ltd. vs. Air New Zealand (Court of Appeal 1992). According to this case, consultation involves: • the statement of a proposal not yet finally decided upon; • listening to what others have to say; • considering their responses; and then • deciding what will be done. Consultation is not a commercial arrangement.

What is consultancy?

Consultancy is a commercial arrangement for the delivery of a specific service, which may be identified during the consultation process. The person delivering this service is referred to as a consultant.


Chapter 4: Stakeholder Relationship Management System (SRMS)

Overview

Introduction This chapter provides an overview of the Stakeholder Relationship

Management System (SRMS) and explains the Statement of Identified Māori Interest (SIMI) Life Cycle in SRMS.


Topic See Page

Activities Managed in SRMS 22 SRMS Influences and Mitigations Structure 23 The SRMS SIMI Life Cycle 24


Activities Managed in SRMS

Introduction This topic explains the activities that are managed in SRMS. These activities

are: • stakeholder management; • consultation project management; and • spatial interface.

Stakeholder management

Stakeholder management allows the SRMS user to identify, profile and maintain stakeholder information.

Consultation project

Consultation project is established for a project to commence the SIMI process. It also identifies the stakeholder management and consultation outcomes for policies, programmes and projects.

Consultation project management

Consultation project management allows the SRMS user to:

• create and maintain consultation projects for policies, programmes and PROMAN projects;

• identify the stakeholders with an interest in a given consultation project;

• manage the process of consultation by following a well-defined life cycle for each consultation project;

• identify the influences each stakeholder exerts on a policy, programme or PROMAN project;

• identify the mitigation for each influence which impacts a policy, programme or PROMAN project; and

• identify best practice and performance standards. Reference: For more detailed information on the different types of consultation projects managed in SRMS, see Chapter 5: Consultation Projects in SRMS.

Spatial interface

Spatial interface allows the SRMS user to locate and search for: • stakeholder areas of interest; • consultation project areas; • stakeholder and consultation projects associations; and • other related data sets.

SRMS Influences and Mitigations Structure

SRMS Structure

The following diagram shows the SRMS influences and mitigation structure.


Alliances Alliances are affiliations, including inter-boundary relationships that Māori

have which can predate European settlement, but also include contemporary cultural, political and commercial networks.

Best Practice Best practice is what will evolve over time from the SIMI process as

successful mitigations and outcomes are recorded in SRMS for future reference in dealing with similar projects and situations.

INFLUENCES Stakeholder Alliances Values Vision Ownership Contribution Participation

MITIGATIONS Structures Procedures Resources

PRACTICE 1st Use Multi Use Best Practice


The SRMS SIMI Life Cycle

Introduction The key mechanism in the Māori stakeholder management and consultation

process is the Statement of Identified Māori Interest (SIMI) life cycle. This topic explains the SIMI life cycle and describes the various stages of the process during the delivery of a project.

SIMI stages There are four stages involved in the SIMI life cycle. These are described in

the table below.

Stage Description iSIMI initial (stakeholder identification)

• Transit will create a consultation project with the default SIMI status of iSIMI.

• Transit will provide an initial list of Māori stakeholders for the Request for Tender (RFT) from information held in SRMS.

cSIMI confirm (pre consultation)

• Transit will: − add any new information identified during the tender process, and

− advance the SIMI status to cSIMI. • This will occur before the successful consultant

is appointed. pSIMI practice (consultation)

• Transit will advance the cSIMI status to pSIMI.

• Access will then be assigned to the successful consultant.

• The consultant will update the pSIMI on an ongoing basis until the consultation is completed.

fSIMI final (post consultation)

At the completion of the project or project phase, Transit will advance the status pSIMI to fSIMI.

Continued on next page

The SRMS SIMI Life Cycle, Continued

SIMI life cycle process

The following graph shows the process involved in the SRMS SIMI life cycle.



Chapter 5: Consultation Projects in SRMS

Overview

Introduction This chapter describes the process for initiating a consultation project in

SRMS. It also explains the different types of consultation projects managed in SRMS, which are: • policies; • programmes; and • PROMAN capital & maintenance projects.


Topic See Page

Consultation Project Process 27 Policy & Programme 29 PROMAN Request for Tender (RFT) 30 PROMAN Capital and Maintenance 31 PROMAN Project Phases 32


Consultation Project Process

Introduction When consultation is required for a policy, programme or PROMAN project,

the Transit Project Manager will create a consultation project in SRMS. It also lists: • the project types for which consultation is required; and • other areas of interest that Māori may have.

Impact This process contributes to the development of the Māori component of a

consultation plan.

Process The following table describes the process of creating and initiating a

consultation project.

Stage Description

1 The Transit Project Manager creates a consultation project in SRMS and selects the type (eg. policy, programme or PROMAN).

2 The consultation project is populated with the relevant Māori stakeholders and their details.

3 The consultant or contractor is given access to the project and can add or update the project during the various stages of consultation.



Consultation Project Process, Continued

PROMAN Project Consultation

Project consultation applies to: • Capital projects • Maintenance projects • Corridor Management Plans Project consultation also applies to the following new project types created by the Land Transport Management Act (LTMA): • Tolling project - This project has specific requirements as outlined in

Section 49, LTMA. • Concession Agreement - This project has specific requirements as

outlined in Section 59, LTMA.

Māori areas of interest

Apart from the legal requirement to consult for the project types listed above, other areas of interest that Māori may have and therefore may require consultation are: • Māori land; • land subject to any Māori Claims Settlement Act; • Māori historical, cultural or spiritual interests; • effects on Iwi Management Plans under the RMA; or • any other interest that a Māori organisation or individual may have.


Policy and Programme

Introduction This topic provides information on legal requirements and responsibilities in

regards to policy and programme projects.

Legal Requirements

The following legal requirements apply to policy and programme projects respectively. Policy The level of consultation required for policies is set out in Section 18(3) and 18(4) of the LTMA. Programme Consultation on land transport programmes is set out in Section 18(1), LTMA, and the requirements to consult in accordance with the principles and procedures in Part 1 and 2, Schedule 2, LTMA, respectively. Note: Consultation under the RMA cannot act as a substitute for the LTMA consultation required in the preparation of land transport programmes.

Responsibilities The following parties are responsible in regards to policy projects.

• National Office is responsible for all key policy activities.

• Where policies may be of interest to Māori stakeholders, these should be discussed with Transit’s Māori Relations Advisor.

• Transit’s Māori Relations Advisor will then consider and advise whether or not a consultation project should be initiated.


PROMAN Request for Tender (RFT)

Introduction This topic describes the roles and responsibilities for the RFT process of

PROMAN projects.

PROMAN Project Phases

There phases in a PROMAN project are: 1. Investigation & Reporting Phase (I&R) 2. Design & Project Development Phase (D&PD) 3. Management Supervision & Quality Assurance (MSQA) 4. Construction Physical Works (Works)

Note: The phases are described in detail in the topic “PROMAN Project Phases” on page 5-32.

RFT The following table describes the roles and responsibilities in each RFT

process of a PROMAN project.

RFT Process Transit Inputs (I&R, D&PD, MSQA &

Works)

Consultant Inputs (I&R, D&PD, MSQA&

Works) Tender Stage • create the consultation

project at I&R or initiate the next phase for D&PD or MSQA & Works

• select and generate known RFT documentation

Reference: See appendix

A1, “Identified Māori Stakeholders List”.

• update any new stakeholders or stakeholder information identified during the tender period and notify tenderers

• respond to RFT • price the project to reflect

the identified Māori stakeholder list

• identify and price additional stakeholders not included in RFT

Note: The SRMS may not reflect a full list of stakeholders to be consulted for pricing purposes. Therefore, consultants will need to clearly identify and price any additional Māori stakeholders they have included in their tender.

Tender Awarded

• update SRMS requirements.

• assign successful consultant to the SRMS consultation project.

• confirm access to SRMS consultation project.

• update SRMS consultation project as required.


PROMAN Capital and Maintenance

Introduction This topic provides information on the requirements in regards PROMAN

capital and maintenance projects.

Legal Requirements

The level of consultation required for projects is set out in Section 18(3) and 18(4), LTMA. Note: This is different from programme consultation requirements.

Good Business Practice

Although under no obligation, Transit sees it as good business practice that consultation for capital and maintenance projects is in accordance with the consultation principles outlined in Part1, Schedule 2, LTMA. Note: Consultation under the RMA is not a substitute but may be able to assist to meet project specific consultation requirements of Section 18, LTMA.


PROMAN Project Phases

Introduction This topic describes how a PROMAN project and its corresponding SRMS

consultation project are managed.

PROMAN project SIMI life cycle

A consultation project in SRMS is initially created at the Investigation & Reporting Phase (I&R) of a PROMAN project. The SIMI life cycle is repeated at the beginning of each phase of a PROMAN project.

Input Requirements

Each phase requires Transit and Consultant input. In addition, the Works phase also requires Contractor input.

Phase 1: I&R The following table describes the I&R phase of a PROMAN project.

Transit Input Consultant Input • initiate requirements for SRMS

and the SIMI life cycle • monitor and confirm SIMI

information as required

• implement any MoU requirements established between Transit and Māori stakeholders

• update SIMI information as required

Phase 2: D&PD The following table describes the D&PD phase of a PROMAN project.

Transit Input Consultant Input • initiate requirements for SRMS

and the SIMI life cycle • monitor and confirm SIMI

information

• implement any requirements identified during the I&R phase that have been established between Transit and Māori stakeholders




PROMAN Project Phases, Continued

Phase 3: MSQA The following table describes the MSQA phase of a PROMAN project.

Transit Input Consultant Input • initiate Transit requirements for

SRMS • confirm any requirements

identified from the I&R and D&PD phases

• monitor and confirm SIMI information

• implement any requirements identified from the I&R and D&PD phases that have been established between Transit and Māori stakeholders

• monitor the contractor in regards to the implementation of any MoU and/or agreed project protocols identified from the I&R and D&PD phases that have been established between Transit and Māori stakeholders


Phase 4: Works The following table describes the Works phase of a PROMAN project.

Transit Input Consultant Input Contractor Input • confirm any

requirements identified from the I&R and D&PD phases that have been established between Transit and Māori stakeholders

• monitor and confirm SIMI information

• implement any requirements identified from the I&R and D&PD phases that have been established between Transit and Māori stakeholders

• brief and monitor the contractor in regards to the implementation of any MoU and/or agreed project protocols identified from the I&R and D&PD phases that have been established between Transit and Māori stakeholders


• implement all requirements specified in the physical works contract document

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