Pre-implementation

Overview

Pre-implementation is customarily associated with the consenting, property and design phases of a project.

Refer to the procurement section in Technical disciplines for further information about this stage.

Benefit realisation

Document any scope changes or value engineering impact on outcomes.

Further information can be found in Benefits management guidance

Key steps

Main steps

Key task	Lodge statutory applications for approval	PMM (SM011) reference	Manual/ Templates	Resources	Comments
5.1	Engage your regional P&I representative (no surprises/assistance)	-	-	P&I Rep
5.2	Commence preparing NORs and Statutory Applications as set out in the scope of services professional services contract and minimum standards	2.3 2.4 5.1	SM030 (I&R Spec, Min Std Z/19)	PSC
5.3	Engage Regional/National Office for technical assistance (if required) (ensure associated documents are completed as listed below) Refer to Detailed steps	2.6	SM011 (Part 4 Guidelines VAG.xls)	PM/ one agency team	It is important to refer to the Value Assurance Process Technical Assistance Sheet at each stage of your project to ensure that you are engaging with the right people and also to ensure that reviews and endorsements are completed prior to Value Assurance submission to Decision Making Teams.
5.4	Update risk register	3.1	Minimum Standard Z/44 - Risk Management	PSC
5.5	Prepare Draft Assessment of Environmental Effects (AEE)	2.3 2.4 2.6	SM030 (Min Std Z/19)	PSC/ TP Mgr/ one agency team
5.6	Draft AEE and Draft Consent Conditions reviewed by established one agency team as identified in Project Plan	2.3 2.6	SM030 (Min Std Z/19)	PSC/ TP Mgr	Ensure that the TP Manager is engaged and that the one-agency team has reviewed.
5.7	Final AEE and Draft Consent Conditions accepted by established one agency team as identified in Project Plan	6.4	SM011 (Form 6.4)	PM/ one agency team	Opportunity for new generic template (to be developed) to include one-agency parties for each phase and to include comments.
5.8	Submit recommendation to Lodge Statutory Applications to delegated approver (HNO/P&I)	2.6	-	PM
5.9	PLI and or Scope Changes to be submitted for Value Assurance approval as and when they occur	2.6 2.7 4.2 9.5 9.6	SM011 (Form 2.7)/ SM030 (PSF4b)	PM	Refer to Worksheet - 11. PLI or Scope Change

Detailed steps

Task break down	Lodge statutory applications for approval	PMM (SM011) reference	Manual/ Templates	Resources	Comments
5.2.1	Review Consenting Strategy and update if required		Z/19	PSC/EUD Team	Ensure that the TP Manager is engaged if not the lead for the Investigation stage. The TP Mgr in consultation with the P&I representative will review consents under the RMA and other Acts that may apply to your project.
5.3.1	Prepare technical assessments to support statutory approvals		SM030, Z/19, Urban Design Guidelines	PSC	Engage your regional Environmental and Urban Design Team to assist in development of technical assessments. A number of specialist guides are available to assist individual specialists.
5.3.2	Update Preliminary Bridge/Structure Design Statement(s) (if applicable) Note: Must be reviewed by Structures Team if technical criteria is triggered	2.6 6.1	Bridge Manual (SP/M/022)	PSC/ Structures Team
5.5.1	Prepare Draft Environmental and Social Management Plan (ESMP) (if applicable)		SM030, ESMP Guideline	PSC	Only applicable as per the consenting strategy.
5.5.2	Consultant's Project Quality Plan	2.4	SM030 (Min Std Z/1)	PSC
5.5.3	Prepare Urban and Landscape Design Framework		Urban Design Guidelines		Only applicable for large scale urban projects.
5.6.1	NO review			TP team/ NO environment and urban design team/ NO Professional Services Team
5.6.2	P&I Review	-	-	Regional/ NO P&I Team
5.6.3	Legal Review	-	-	NO Legal/ External Legal Advisors
5.6.4	Council review (if required)	-	-	-
5.8.1	Submit with DMT template	2.6	New template/ SM011 (2.6a)	PM
5.8.2	Resolutions noted and filed on return from DMT	-	-	PM
5.8.3	Funding Conditions noted and recorded (if applicable)	-	-	PM

Technical requirements

For each phase of the business case process there are technical requirements that may be relevant to your project that will need to be considered and included in addition to general guidance and templates. Aligned to the business case philosophy, suppliers are required to meet more technical requirements as an activity progresses through the business case phases.

Outlined below are the technical requirements for completing the pre-implementation phase, by subject matter.

Suppliers are required to comply with these requirements except where varied within the scope of a contract.

For further information or advice, contact the relevant team.

Subject matter	Technical requirement	Information	Contact
Community and stakeholder engagement	Engage with directly affected parties and consenting authorities		Environment team
	Review/refresh consultation report from detailed business case to ensure it is fit for purpose to support statutory applications
	Establish communication responsibilities for construction phase (client v contractor)
	Ensure engagement commitments established through the approvals process are reflected in procurement documentation (ie specific requirements established through earlier engagement, legal requirements established by consent conditions)
Economics	Economic viability tables - detailed benefits / benefit cost ratios of options	Economic evaluation manual	Economic Evaluation team
	Outcome delivery - detailed benefits by benefit type
	Risk analysis table 8.3 of the DBC template - sensitivity testing
Environment and social responsibility	Ensure design statement is consistent with the relevant objectives of the SH environmental plan and gives effect to Transport Agency design guides For large projects or projects in an urban area, a statement detailing how the design gives effect to the Urban and landscape design framework prepared to give effect to the Transport Agency's Urban design guidelines 2013: bridging the gap	State highway environmental plan Design guides Urban and landscape design framework	Environment team
	Review consenting strategy and update if required
	Prepare technical assessments to support statutory applications	Impact assessment guides
	Integrate environmental and social commitments into procurement process (plans, consent conditions, stakeholder and property agreements, urban design and landscape framework) Utilise Environmental and social generic specifications	ESR standard Subject matter specifications
	Review construction environmental and social management plan requirements. Are they consistent with the Agency's guideline for preparing environmental management plans?	EMP guidance
Geotechnical	Geotechnical testing and assessment undertaken with results presented in a Geotechnical assessment report (factual report) and interpreted in a Geotechnical interpretative report	Requirements currently detailed in SM030	Structures team
	Design parameters for subgrade strength and fill and cut batter slopes presented in Design philosophy statement	Requirements currently detailed in SM030
	Design of earth slopes	Bridge manual
	Earthworks design detailed in final design report	Requirements currently detailed in SM030
	Design certificate(s) and Design review certificate(s) for earth slopes	Bridge manual appendix F Model document in annex F2
Pavements	Pavement design report including: Reconfirmation of design traffic Evaluation and justification of design subgrade strength Evaluation and design of an appropriate pavement structure Determination of appropriate surfacing Determination of appropriate drainage requirements	NZ supplement to the 2004 Austroads pavement design guide Austroads guide to pavement technology: part 2 and 4 Chipsealing in New Zealand Asphalt surfacing treatment selection guidelines Austroads guide to pavement technology: part 10	Pavements team
Property	Prepare Land Use Plans that show the proposed maintenance boundary and final use of all land that has been acquired by the NZTA for the Initiative complete with environmental requirements. Identify opportunities for early acquisition and/or disposal	Land use plan	Property team
Road safety	Road safety audit procedure - preliminary design	Road safety audit procedures	Safety team
	Safe system compliant roadside/median	Geometric design
	Note: guidelines relating to the process for consideration of the issues raised by the RSA process are contained in the Project management manual SM011	Project management manual
	Design - review of compliance with guidelines. Review exception report and amend as required	Austroads guide to road design: parts 3, 4 and 6 Technical memoranda NZ Transport Agency HIP
Statutory approvals	Review consenting strategy and update if required. The information (strategy, timing and budgeting) in the consenting strategy should be fed into the project plan	Consent management	Environment team
	Prepare technical assessments to support statutory applications and Urban and landscape design framework (if required). Refer Z19 State highway environmental and social responsibility standard for further information	ESR standard Impact assessment guides are available for some subject matters For urban and landscape design framework guidance: appendix 2 of Bridging the gap Design and other guides applicable to technical assessments
	Prepare draft assessment of environmental effects (AEE) and statutory applications including RMA section 104 and Part 2 assessment Assessment of alternative locations and methods Consultation report and identify affected parties Prepare a report on any monitoring requirements Draft consent conditions	Templates available for: NOR, resource consents for Notice of requirement, Alteration to designation, Time extension to designation Template for draft consent conditions
	Undertake internal review process (draft AEE and draft consent conditions reviewed by established one agency team as identified in Project Plan: P&I, NO, Legal)
	Submit recommendation to lodge statutory applications to delegated approver (HNO/P&I) The applications shall be in the name of and signed by the Client. The Project name in the applications must be consistent with SAP nomenclature
	Ensure that commitments made in applications are reflected in the overall project scope and budgets and monitor approval process
	All documentation from the statutory approvals process shall be made available to upload to the Transport Agency's consent compliance management system (CS-Vue)	CS-Vue For further information contact the Consents team
Structures	Structure options report(s) developed to identify recommended options for bridges and other highway structures (category 1, 2 and 3) at commencement of design phase	Bridge manual appendix F Model document in annex F1	Structures team
	Structure design statement(s)developed providing full details of proposed bridges and other highway structures (category 1, 2 and 3) prior to commencement of detailed design. To be compiled in conjunction with the Design philosophy statement and updated where necessary for inclusion in theFinal design report	Bridge manual appendix F Model document in annex F1
	Design of bridges and other highway structures	Road structures design guide Bridge manual
	Design certificate(s) for bridges and other highway structures (category 1, 2, 3 and 4 and uncategorised structures) and Design review certificate(s) for bridges and other highway structures (category 1, 2, 3, and 4 structures)	Bridge manual appendix F Model document in annex F2
	Building consent (where required for category 1, 2, 3 and 4 structures)	Bridge manual appendix F
	Data for proposed bridge(s) recorded by completing structural and descriptive Bridge data system BDS input forms	Bridge data system structural guide and forms
Transport modelling	Economic viability - detailed benefits	Transport model development guidance	Design Practice and Solutions team

For further information contact SM030@nzta.govt.nz.