This page lists the technical requirements that Waka Kotahi 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 guidance
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Subject matter |
Technical requirements |
Information |
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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 |
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Community and stakeholder engagement |
Identify key stakeholders and decision makers and their likely interest in the issues and project |
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Prepare public engagement plan outlining approach to Waka Kotahi engagement principles |
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Costs |
Cost estimates prepared in accordance with the Cost estimation manual (SM014) |
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Economics |
Coarse assessment of options and alternatives in programmes, including a benefit–cost ratio or generic ratios |
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Appraisal summary tables (AST) for each shortlisted option |
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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 |
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Environment and sustainability |
Follow the standard that contains the processes and requirements that give effect to Waka Kotahi 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 |
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Investment policy |
Meet the requirements of the investment policies for the relevant funding source |
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Pavements |
Consider an approximate pavement type based on approximate traffic loading, environment and future maintenance requirements |
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Procurement |
Procurement plan for the next phase of each activity |
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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 |
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Risk |
Formal risk management, associated processes, practices and reporting will form part of the risk management discussion within the management case |
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Statutory approvals |
Confirm alignment with integrated planning strategy |
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Identify the relevant planning and statutory framework |
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
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Subject matter |
Technical requirements |
Information |
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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 |
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Community and stakeholder engagement |
Review/refresh community engagement plan (level of engagement will reflect size and scale of project) |
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Costs |
Cost estimates prepared in accordance with the Cost Estimation Manual (SM014) |
Cost estimation manual (SM014) |
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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 |
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Appraisal summary tables (AST) for each shortlisted option |
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Environment and sustainability |
Complete environmental screen |
Z/19 Taumata Taiao – Environmental and Sustainability Standard |
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Investment policy |
Meet the requirements of the investment policy for the relevant funding source |
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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 |
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Procurement |
Procurement plan for the next phase of activity |
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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 |
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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 |
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Road safety |
Undertake a Safe System audit |
Safe System audit guidelines for transport projects Internal Waka Kotahi Transport Services process reviewed by SMEs |
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Design exceptions review:
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Internal Waka Kotahi Transport Services process reviewed by SMEs |
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Statutory approvals |
Use the environmental screen results to determine need for preliminary technical assessments |
Obtain copy of completed screen |
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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 |
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Planners assist in gathering information and attend options workshops |
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Transport modelling |
Indicative assessment of activities and benefits |
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
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Subject matter |
Technical requirements |
Information |
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Asset management |
State highway annual plan instructions manual (SM018) whole-of-life costs – net present value (NPV) analysis, IAMP, lifecycle asset management plans (LAMPs) |
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Community and stakeholder engagement |
Update community engagement plan based on outcomes of the IBC |
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Prepare consultation report on engagement process, outcomes. This report will be used to support applications for statutory approvals |
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Costs |
Cost estimates prepared in accordance with the Cost Estimation Manual (SM014) |
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Economics |
Economic viability tables 8.1 and 8.2 of DBC template - detailed benefits and BCR of options |
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Outcome delivery – detailed benefits and measures |
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Risk analysis table 8.3 of the DBC template – sensitivity testing |
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Reviewed and refined appraisal summary Table (AST) for preferred option |
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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 |
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Environment and sustainability |
Update Environmental and Social Responsibility Screen |
Refer completed screen |
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Meet requirements of Z/19 |
Z/19 Taumata Taiao – Environmental and Sustainability Standard |
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Geotechnical |
Preliminary geotechnical appraisal report |
Requirements currently detailed in State highway professional services contract proforma manual (SM030) |
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Geotechnical testing and assessment undertaken with results presented in a geotechnical assessment report (factual report) and interpreted in a geotechnical interpretative report |
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Assumed design parameters for subgrade strength and fill and cut batter slopes presented in preliminary design philosophy statement |
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Investment policy |
Meet the requirements of the investment policies for the relevant funding source |
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Pavements |
Pavement design required – not at detailed design level |
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Austroads Guide to Pavement technology: Part 2, Pavement Structural Design(external link) |
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Technical Advice Note #17-01 Asphalt depths at high stress locations for new pavements and renewals |
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Procurement |
Procurement plan for the next phase of activity |
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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 |
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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 |
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Road safety |
Undertake a Safety System audit – concept audit |
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Design – review of compliance with guidelines – exception report |
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Statutory approvals |
Prepare preliminary planning assessment of relevant planning and statutory framework |
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Evaluate consenting package options and the different decision-making pathways Prepare consenting strategy If EPA process preferred, refer to Waka Kotahi–EPA relationship protocol Prepare preliminary assessments of alternatives, consultation report and statutory consultation requirements |
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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 |
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Transport modelling |
Economic viability – detailed benefits |
It is important to talk to us throughout the development of your business case. Contact your Waka Kotahi investment advisor or email the Business Case Process team at businesscaseprocess@nzta.govt.nz
