Record of point of entry

Before you complete this record, you should have already had a point of entry (PoE) conversation with your NZTA investment advisor. For additional guidance on completing your record of PoE, see:

Point of entry phase guidance

Introduction to the point of entry learning module

Initiative name	Name of activity
TIO ID (if applicable)	TIO ID #
Problem owner	Name of the person from the lead organisation who is sponsoring the project and will recommend this PoE for endorsement.
Lead organisation	Name of lead organisation
Stage of activity	At what point is this project at? For example: Identified in the activity management plan as an improvement that requires a business case as the next step. If unsure write: To be confirmed.
1. Strategic alignment This section provides information of the how the activity aligns to regional and national priorities. The strategic alignment section includes information on how the project has been programmed and the fit of the problem/opportunity at a strategic level.
Is this project included in the relevant regional land transport programme (RLTP)?	Choose an item.
How is this project a regional priority?	Describe how this project is a regional priority. Write N/A if appropriate, for example if it’s a nationally delivered activity.
Is the project included in the NLTP?	Choose an item.
What is the high-level problem/opportunity and benefit/outcome?	Briefly describe the problem/opportunity and benefit/outcome
Additional information Include any additional information relevant to the strategic alignment. For example: How the project links to Government Policy Statement on Land Transport (GPS) outcomes. How the project aligns with the emissions reduction plan (ERP). If project is not in an RLTP and the NLTP, provide additional information regarding minimum information requirements – the problem/opportunity and strategic context (alignment to priorities). How the project relates to other priorities. What needs to be done do develop the strategic context further. Has anything changed since inclusion in RLTP/NLTP, and if so what? Are there network interdependencies that mean that undertaking an activity at this location may have an impact somewhere else on the network.

2. Information gap analysis Gap analysis identifies: what work has been already undertaken and information gathered relevant to the activity? what is not known about the problem/opportunity and what needs to be understood to progress to the next investment decision gate. This understanding can be used to inform the scope of next steps below. Some useful tools to understand what needs to be done to develop each case further include: Five-case model guidance Key actions table – by Business Case Approach phase and the five-case model How to self-assess your business case
What do we know now?	What do we not know yet?
For example: In summary, what do we currently know about the problem/opportunity? What work has already been undertaken in relation to this activity? What key decisions or commitments have already been made that impact on this investment? What previous relevant NZTA endorsements have been made?	For example: What information is still key to understand? Key information that we don’t currently know or understand in relation to the problem and opportunity? What key questions are we looking to answer?

3. Risk-based rightsizing This section looks to identify the current level of risk, uncertainty, and complexity. This will help scope the project and right size the work that needs to be undertaken to address in project plan/scope. For more information, read: Right-sizing your business case Risked-based approach information sheet.
Key risks	Describe any key risks that may apply to this investment. This includes technical, governance or other types of risks.	Overall risk level:	Choose an item.
Key uncertainties	Describe any key uncertainties that may apply to this investment.	Overall uncertainty level:	Choose an item.
Level of complexity	Describe the level of complexity associated with this investment.	Overall complexity level:	Choose an item.
Current cost estimate of implementation (if known)	$

4. Project approach The project approach section encompasses how the Business Case Approach (BCA) is going to be applied to the activity. This includes the business case pathway and the agreed scope that reflects how the above identified risks, uncertainties and complexities are going to be addressed. This section also includes anticipated timeframes and resources required such as NLTF investment. Key information requirements: Scope of work required to the next investment decision gate. Need to understand itemisation of tasks versus costs to understand appropriate resourcing. Estimation of time of completion for each task. Key governance requirements and key decisions. How are risks, uncertainties and complexities that have been identified being addressed in the work undertaken in the next business case phase (as agreed with investment advisor at PoE conversation). Please note that the following items can often be erroneously left out of business case scopes, leading to cost variations, approval delays, and/or reworks: Peer reviews Safe System Audits Engagement
Select next project development phase	Choose an item.
Confirm whether you will attach a relevant project plan (if already completed)	Choose an item.
In the table below, outline key tasks that need to be completed before the next decision gate. Scope/task Cost Timeline for completion
Project governance arrangements and key decisions	Briefly outline the project’s governance arrangements and key decisions

5. Funding component This section relates to funding requested to undertake the next step in the business case. If no funding is being requested as part of this point of entry, then it is not applicable.
Is this project requesting NLTF funding?	Choose an item.
Are there other funding sources?	Choose an item. If yes, briefly describe other funding source(s)
Budget requirement	$ (Including admin of x%)
NLTF share	$
Funding assistance rate (FAR)	%
Activity class	List activity class
Work category	List work category
Other information	Include any other information relevant to funding

Endorsement
Decision/next steps (to be completed by lead organisation problem owner)
Decision	Choose an item.
Name	The name of the person who is accountable for addressing the problem
Role	Problem owner’s role
Signature	Problem owner’s signature
Date	Click or tap to enter a date.
NZTA assessment for endorsement (to be completed by NZTA Investment Advisor)
NZTA Investment Advisor	Name of the person reviewing this document
Date of assessment	Click or tap to enter a date.
Additional relevant information	Confirm that risks, uncertainty, and complexity of the project have been addressed adequately in the scope.
Confirmation of strategic alignment	Comment on addressing the problem. What impact will this have and impacts on any other projects etc?
IPM assessment (if applicable)	IPM assessment in the format A-B-C, priority order x
ERP assessment	How will this project impact on VKT?
Timing/urgency	Outline timing/urgency
Funding position	Priority confirmation: Choose an item. Funding confirmation: Choose an item.
Recommendation	Ensure delegated authority aligns with Business Delegations: Schedule 3 That the Choose an item.: endorse: the [insert project name] point of entry, and approve proceeding to [insert project name and business case phase] varying the 2021–24 NLTP to include [insert project name] recommend that: the CFO approve funding for [insert project name and business case phase] with a total shared project cost of [insert total project cost and NLTF share] at a FAR of [insert FAR%] from the [insert activity class] and work category [insert work category name and number].
Reasons for recommendation	List relevant reasons
Priority Confirmation (to be completed by NZTA Activity Class Managers)
Activity Class Manager	Name
Date	Click or tap to enter a date.
Priority confirmed	Select
Assessment and key considerations
Funding Availability (to be completed by NZTA Manager Treasury and Cashflow)
Manager Treasury and Cashflow	Name
Date	Click or tap to enter a date.
Funding Available	Select
Assessment and key considerations
Portfolio Check Assessment– Portfolio & Performance (For NZTA requests only)
Completed by	Name & Role
Date	Click or tap to enter a date.
Assessment and key considerations	Trade-offs to be understood
Assurance Sign Off – Investment & System (to be completed by NZTA)
Completed by	Name & Role
Date	Click or tap to enter a date.
Assessment and key considerations	For Endorsement Add any key points decision makers should consider
Assurance Sign Off – Portfolio (For NZTA requests only)
Completed by	Name & Role
Date	Click or tap to enter a date.
Assessment and key considerations	For Endorsement Add any key points decision makers should consider
Decision/next steps (to be completed by NZTA– Choose an item.)
Decision	That the Choose an item. endorse: the [insert project name] point of entry, and approve proceeding to [insert project name and business case phase]
Name	Choose an item.
Signature	Decision maker’s signature
Date	Click or tap to enter a date.
Mandatory information ☐ (Check once confirmed) ☐ ☐ ☐	That the activity is included (or varied into) the RLTP and NLTP That the Manager, Treasury and Cashflow confirms funds are available from the relevant activity class. That the activity class owner has been engaged and confirmed priority for the activity. That relevant Business Case Process and Local Government Partnerships staff have been engaged in understanding the need and priority for the activity.
Decision/next steps (to be completed by NZTA – Chief Financial Officer)
Decision	That the CFO Choose an item. funding for [insert project name and BC phase] with a total shared project cost of [insert total project cost and NLTF share] at a FAR of [insert FAR%] from the [insert activity class] and work category [insert work category name and number].
Name	Howard Cattermole
Signature	CFO’s signature
Date	Click or tap to enter a date.
RAPID roles (For NZTA Requests only)	Who
Recommender	Please list the group/individuals that is/are making/endorsing the recommendation. Project Manager, The Steering Committee, sponsor and/or business owner, VOS Committee, CFO.
Agree	Please list the groups/individuals that provided input that must be considered when making the decision recommendation. This group ensures decisions align to any fundamental requirements of the business to prevent poor or risky decisions. E.g. assurance teams, consenting, legal.
Performer	Please provide a short summary of what action/s will be enabled by the decision and who will perform them. E.g. PM produces board paper, Treasury & Cashflow updates TIO and releases funds PM attaches request in TIO
Input	Please list the groups/individuals that provided input into the recommended decision. E.g. Subject matter experts
Decider	Please specify who the relevant decision maker is for this request. Based on business delegations.