References and standards for NZ Transport Agency Waka Kotahi business cases

This page lists the technical requirements that NZ Transport Agency Waka Kotahi (NZTA) projects must follow, set out by Business Case Approach (BCA) phase. Suppliers are required to comply with these except where varied within the scope of a contract.

Unless specified elsewhere, there is no expectation that these requirements will be followed by approved organisations. However, approved organisations can follow the references and standards listed below if they choose, or may use a local equivalent where available.

For further information or advice on each subject area, contact the relevant team.

Programme business case phase

Programme business case phase guidance

Subject matter

Technical requirements

Information

Benefits and measures

Relevant benefits and measures need to be identified in transport planning documents and during the development of transport business cases in accordance with the benefits framework

Benefits management guidance 

Community and stakeholder engagement

Identify key stakeholders and decision makers and their likely interest in the issues and project

Community and stakeholder engagement

Engagement and the Business Case Approach

Prepare public engagement plan outlining approach to NZTA engagement principles 

Costs

Cost estimates prepared in accordance with the Cost estimation manual (SM014)

Cost estimation manual (SM014)

Economics

Coarse assessment of options and alternatives in programmes, including a benefit–cost ratio or generic ratios

Monetised benefits and costs manual

Appraisal summary tables (AST) for each shortlisted option

AST template and user guidance

Electric vehicle public charging infrastructure

Consider requirements to allow electric vehicle (EV) drivers to charge their vehicles while using state highways and local roads

Other emerging technologies should also be considered at this stage

Public charging infrastructure guidance

Environment and sustainability

Follow the standard that contains the processes and requirements that give effect to NZTA environmental and sustainability policies, other strategic objectives, outcomes and legal requirements during the development and management of the land transport system

Z/19 Taumata Taiao – Environmental and Sustainability Standard

Investment policy

Meet the requirements of the investment policies for the relevant funding source

2021–24 NLTP investment principles and policies

Pavements

Consider an approximate pavement type based on approximate traffic loading, environment and future maintenance requirements

Pavements

Procurement

Procurement plan for the next phase of each activity

NZTA procurement page

Property

The land required by the initiative is identified and a detailed risk assessment and a draft property acquisition and/or disposal plan is prepared

Transport property

Risk

Formal risk management, associated processes, practices and reporting will form part of the risk management discussion within the management case

Project risk management

Statutory approvals 

Confirm alignment with integrated planning strategy

Integrated Planning Strategy

Identify the relevant planning and statutory framework

Our guiding legislation

Indicative business case and single-stage business case phases

Note that the single-stage business case (SSBC) incorporates both the indicative business case (IBC) and detailed business case (DBC) into one phase, and so must meet the requirements of both

Indicative business case phase guidance
Single-stage business case phase guidance

 

Subject matter

Technical requirements

Information

Benefits and measures

Relevant benefits and measures need to be identified in transport planning documents and during the development of transport business cases in accordance with the benefits framework

Benefits management guidance 

Community and stakeholder engagement

Review/refresh community engagement plan (level of engagement will reflect size and scale of project)

Community and stakeholder engagement

Engagement and the Business Case Approach

Costs

Cost estimates prepared in accordance with the Cost Estimation Manual (SM014)

Cost estimation manual (SM014)

Economics

Show benefits and BCR of preferred option

Show indicative benefits and BCR of other shortlist options and provide incremental analysis to support preferred option selection

Monetised benefits and costs manual

Appraisal summary tables (AST) for each shortlisted option

AST template and user guidance

Environment and sustainability

Complete environmental screen

Environmental screen

Z/19 Taumata Taiao – Environmental and Sustainability Standard

Investment policy

Meet the requirements of the investment policy for the relevant funding source

2021–24 NLTP investment principles and policies

Pavements

High-level pavement analysis required, factors to consider

NZ supplement to the 2004 Austroads pavement design guide

Sections to consider: 4, 5, 7, 8

Austroads Guide to Pavement technology: Part 2, Pavement Structural Design(external link)

Sections to consider: 2, 5, 7

Procurement

Procurement plan for the next phase of activity

NZTA procurement page

Property

SWOT analysis of individual land parcels. Options identified to reduce risk and cost to the project. Forecast potential cash flow

SWOT analysis and risk assessment

Risk

As the project lifecycle transitions through the business case phases the increasing maturity of programme data and clarity of understanding should be reflected in an increasing depth of maturity in the level of risk management data and application of risk management practices

Project risk management

Road safety

Undertake a Safe System audit

Safe System audit guidelines for transport projects

Internal NZTA Transport Services process reviewed by SMEs

Design exceptions review:

  • operating speeds
  • cross section.

Internal NZTA Transport Services process reviewed by SMEs

Statutory approvals

Use the environmental screen results to determine need for preliminary technical assessments

Obtain copy of completed screen

Scope any preliminary environmental or social technical assessments/baseline monitoring required in accordance with Z/19 Taumata Taiao – Environmental and Sustainability Standard

Z/19 Taumata Taiao – Environmental and Sustainability Standard

Planners assist in gathering information and attend options workshops

 

Transport modelling

Indicative assessment of activities and benefits

Transport model development guidelines

Detailed business case and single-stage business case phases

Note that the single-stage business case (SSBC) incorporates both the indicative business case (IBC) and detailed business case (DBC) into one phase, and so must meet the requirements of both

Detailed business case phase guidance
Single-stage business case phase guidance

Subject matter

Technical requirements

Information

Asset management

State highway annual plan instructions manual (SM018) whole-of-life costs – net present value (NPV) analysis, IAMP, lifecycle asset management plans (LAMPs)

Lifecycle asset management plans

Annual planning

Community and stakeholder engagement

Update community engagement plan based on outcomes of the IBC

Community and stakeholder engagement

Engagement and the Business Case Approach

Prepare consultation report on engagement process, outcomes. This report will be used to support applications for statutory approvals

 

Costs

Cost estimates prepared in accordance with the Cost Estimation Manual (SM014)

Cost estimation manual (SM014)

Economics

Economic viability tables 8.1 and 8.2 of DBC template - detailed benefits and BCR of options

Monetised benefits and costs manual

Outcome delivery – detailed benefits and measures

Benefits management guidance 

Risk analysis table 8.3 of the DBC template – sensitivity testing

 

Reviewed and refined appraisal summary Table (AST) for preferred option

AST template and user guidance

Electric vehicle public charging infrastructure

Consider requirements to allow electric vehicle (EV) drivers to charge their vehicles while using state highways and local roads

Other emerging technologies should also be considered at this stage

Public charging infrastructure guidance

Environment and sustainability

Update Environmental and Social Responsibility Screen

Environmental screen

Refer completed screen

Meet requirements of Z/19

Z/19 Taumata Taiao – Environmental and Sustainability Standard

Geotechnical

Preliminary geotechnical appraisal report

Requirements currently detailed in

State highway professional services contract proforma manual (SM030)

Geotechnical testing and assessment undertaken with results presented in a geotechnical assessment report (factual report) and interpreted in a geotechnical interpretative report

Assumed design parameters for subgrade strength and fill and cut batter slopes presented in preliminary design philosophy statement

Investment policy

Meet the requirements of the investment policies for the relevant funding source

2021–24 NLTP investment principles and policies

Pavements

Pavement design required – not at detailed design level

New Zealand guide to pavement structural design

Austroads Guide to Pavement technology: Part 2, Pavement Structural Design(external link)

Technical Advice Note #17-01 Asphalt depths at high stress locations for new pavements and renewals

Procurement

Procurement plan for the next phase of activity

NZTA procurement page

Property

Acquisition agent to negotiate access to specific parcels of land. Compile due diligence information and update the risk assessment for each. Surplus property is incorporated into the five-year disposal programme

 Transport property

Risk

As the project lifecycle transitions through the business case phases the increasing maturity of programme data and clarity of understanding should be reflected in an increasing depth of maturity in the level of risk management data and application of risk management practices 

Project risk management

Road safety

Undertake a Safety System audit – concept audit

Safe System audit guidelines for transport projects

Design – review of compliance with guidelines – exception report

Austroads guide to road design - part 3, 4 & 6

Safety and geometric design

Statutory approvals

Prepare preliminary planning assessment of relevant planning and statutory framework

Planning and Investment Knowledge Base

Evaluate consenting package options and the different decision-making pathways

Prepare consenting strategy

If EPA process preferred, refer to NZTA–EPA relationship protocol

Prepare preliminary assessments of alternatives, consultation report and statutory consultation requirements

Consenting and consent compliance

Structures

Preliminary structure options report(s), developed to identify alternative options for bridges and other highway structures (category 1 and 2 structures only), to be included within the preliminary design philosophy statement

Bridge manual appendix F
Model document in annex F1

Transport modelling

Economic viability – detailed benefits

Transport model development guidance

Need support?

It is important to talk to us throughout the development of your business case. Contact your NZTA investment advisor or email the Business Case Process team at businesscaseprocess@nzta.govt.nz