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2021-24 NLTP MODERATION PROCESS
PURPOSE
Provide an overview of, and outline key milestones for, the moderation and optimisation of the National Land Transport Programme for Waka
Kotahi as the investor.
INFORMATION
BACKGROUND
Waka Kotahi NZ Transport Agency has a responsibility under the Land Transport Management Act 2003 for setting dates for developing the
National Land Transport Programme (NLTP) every three years. OFFICIAL
Investment Advisors at Waka Kotahi col aborate with Approved Organisations (AOs), and Waka Kotahi as applicant, to support them in
developing their continuous programmes, Low Cost Low Risk improvement (LCLR) programme and any other improvement activities,
programmes or packages that are seeking inclusion for the 2021-24 NLTP. It’s important for Investment Advisors and applicants to keep in touch
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with each other throughout the development of the NLTP and adopt a no-surprises approach.
FUNDING BIDS AND MODERATION WORKSHOPS
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Prioritisation of programmes and activities is subject to the Waka Kotahi Board making a final decision when it adopts the NLTP. Activities are
assessed for inclusion in the NLTP through a series of bid stages. Initial and final bid stages have fixed deadlines to ensure that applicants get a
reasonable amount of certainty, or signals, about:
• the quality of their supporting information
• how Waka Kotahi wil subsequently determine the funding al ocation in the NLTP.
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This staged bid and assessment process enables applicants to plan with greater certainty, respond to assessment feedback and adjust their
evidence and/or planned programmes before the NLTP is adopted by the Waka Kotahi Board. While it is uncommon to have any material
changes between the initial and final al ocations, there is room for review and adjustment between these deadlines. Al bids should pr
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evidence-based proposals that demonstrate the BCA principles.
Moderation is an internal Waka Kotahi business process that ensures a consistent approach is used to assess al funding requests. Typical y,
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moderation takes place in stages, focusing initial y on the strategic drivers and qualitative assessment of high-level business case material. This
ensures the most appropriate activities are progressed to subsequent stages with confidence.
What
Description
Initial bids – Continuous Programmes Critical in providing Waka Kotahi and regional transport committees (RTCs) a first look at funding
proposals. Initial bids are expected to be a robust, realistic signal of the investment proposal.
Setting the scene
Setting the scene is about obtaining a view of the upcoming NLTP from a strategic lens and provides
an initial view of the pressures within the system.
The workshop analyses AO and Waka Kotahi bids and submissions to provide a view across the
activity classes on the committed and available funding.
INFORMATION
Continuous programmes -
Preliminary prioritisation and moderation is to chal enge the continuous programme bids including a
preliminary prioritisation and
focus on the quality of the supporting information. An initial moderation of the continuous
moderation
programmes is undertaken.
Reset - Setting the scene
After each moderation workshop has been undertaken Waka Kotahi should take stock of its current
position across the activity classes on the committed and available funding. The workshop will also
include indicative balancing of activity classes.
OFFICIAL
Initial submissions – new
We wil require applicants submit their improvement activities which includes their Low Cost Low Risk
improvement activities
programme and new activities being included in the NLTP.
For each new improvement activity an Investment Prioritisation Method (IPM) profile should be
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provided.
For Low Cost Low Risk activities, the IPM profile is set at a programme level. During this step,
applicants will confirm their improvement activity submissions.
Note: For continuous programmes an IPM profile is not required to be provided as a default profile is
used for these programmes.
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Improvement activities - preliminary Preliminary prioritisation and moderation involves chal enging Low Cost Low Risk programmes and
prioritisation and moderation
new improvement activities. An initial moderation of these activities is undertaken.
Final bids – Continuous Programmes Determined through negotiations between Waka Kotahi and the AOs fol owing submission of initial
bids. Final bids should have:
Final submissions – improvements
- more detail than the initial bid
activities
- be supported by more robustly developed evidence
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- have strong local governance support for inclusion in the NLTP
- applied the BCA in developing information and supporting evidence
- self-evaluated that evidence using assessment of the business case models.
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Continuous Programmes
Funding is effective immediately at the start of the NLTP period, so all information required for Waka
Kotahi assessment needs to be provided with final bids. There should be no outstanding issues.
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Low Cost Low Risk
Funding is al ocated to an AO or Waka Kotahi at the start of the NLTP period. AOs or Waka Kotahi will
need to have completed their three-year detailed LCLR programme in order to draw down their
al ocated funding.
Improvement Activities
Funding is only prioritised against new activities at the start of the NLTP period. AOs or Waka Kotahi
should discuss next steps with their investment advisor.
Note: Some business cases may have progressed sufficiently to be recommended for funding approval
when the Board adopts the NLTP. Where possible Waka Kotahi should align funding approval with
NLTP adoption to provide greater certainty that the NLTP represents the three-year investment
INFORMATION
programme of Waka Kotahi.
Continuous programmes - final
Final prioritisation and moderation is a further chal enge of continuous programme bids, while
prioritisation and moderation
looking to resolve outstanding issues and confirm the programme.
During the session there is also a focus on the results from a review of finalised programmes and
includes comparisons (benchmarking) between similar proposed programmes and their pairs.
Improvement activities - final
Final prioritisation and moderation is a further chal enge of Low Cost Low Risk programmes and new
OFFICIAL
prioritisation and moderation
improvement activities, while looking to resolve outstanding issues and confirm programmes and
submissions.
The session includes a final moderation of these activities/programmes which involves ensuring
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critical parts of dependent projects are above the cut-off and confirming prioritisation ratings for
activities.
Suggested al ocations across activity classes and scenario planning is also undertaken.
Optimisation
Process to confirm al ocations between the funding ranges set by the GPS for each activity class. This
is an outcome view to ensure we are optimising value for money while meeting our requirements
under the GP
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After each moderation session (workshop) feedback is provided within Waka Kotahi and to AOs to ensure they can firm up their investment bids.
For example, the focus of the Investment Advisor when progressing from initial to final bids for a road maintenance programme is to improve
the quality of the AMP as a business case.
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MODERATION DEADLINES AND RESPONSIBLITIES
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The moderation and optimisation of the NLTP has the fol owing steps and responsibilities.
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What
Timeline
Waka Kotahi Responsibilities
Investment templates 18 August 2020
Lead Role
available
NLTP Development Lead - NLTP Development Team
develops and prepares the templates for
release
Supporting Roles
• Inform and support applicants:
o Public Transport Team
o Regional Investment Advisors
o Partnership Investment
INFORMATION
o Activity Class Managers
• Inform and support Waka Kotahi:
o Design Practice Solutions
o Activity Class Managers
Initial bids – continuous 21 September 2020 Lead Role
Programmes
Manager Treasury & Cashflows - Treasury Cashflow Team Manage and analyse data within
TIO
OFFICIAL
Primary Roles
•
Operational Policy & Standards Team – Responsible for the State Highway Maintenance
Programme
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•
Road Safety Partnership Team – Responsible for the Road Safety Partnership Programme
•
Regional Investment Advisors – Support Approved Organisations in developing their LCLR
and Maintenance Operation & Renewals (MOR) programmes
•
Partnership Investments - Support regional and unitary authorities in developing their
Public Transport (PT) programmes.
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•
Technical Services Team – Supports Waka Kotahi in developing their continuous
programmes
Setting the scene
6 October
Lead Role
Manager Treasury & Cashflow – The Treasury & Cashflow Team will provide information on
committed and new activities by activity class
Supporting Role
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•
Activity Class Managers - Represent their activity class and their current position in terms
of committed and new activities
•
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External Engagement & Communications Team – Communicate the latest investment
signals to the sector
Continuous programme October/
Lead Role
Investment Quality
November 2020
•
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Senior Manager System Management – Regional Investment Advisors complete IQA
Assurance (IQA) initial
reviews over the Approved Organisation activity management plans and initial
bids
maintenance operations & renewals programme
•
Manager Partnership Investments – The team is responsible for completing IQAs over
initial public transport continuous programmes and the documents that support the
programme
•
Manager Technical Services – The team is responsible for completing IQAs over Waka
Kotahi continuous programmes and the documents that support the programmes
•
Team Lead Road Safety Partnership – The team is responsible for lead the development
of the Road Safety Partnership Programme and supporting the programme’s IQA.
INFORMATION
Primary Role
External Quality Assurance – An assessor with NZ Police experience completes the IQA review
over the programme. The reviewer is independent to Waka Kotahi and NZ Police.
Supporting Role
•
Design Practice & Solutions – the team wil support the Manager Technical Services in
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completing IQAs over Waka Kotahi continuous programmes and carry-out the
IQA/Assessment of Waka Kotahi Road Safety Promotion activities.
•
Investment Assurance – the team supports assessors in completing their IQA over the
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continuous programmes.
Note: Oversight of Low Cost Low Risk programmes wil be managed by Regional Investment
Advisors for road control ing authorities, the Partnership Investment for regional councils and
Investment Assurance for Waka Kotahi.
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Initial submissions –
21 September until Lead Role
new improvement
the 30 October
Manager Treasury & Cashflows - Treasury Cashflow Team Manage and analyse data within
activities
TIO
Primary Roles
•
Operational Policy & Standards Team – Responsible for the Waka Kotahi Investment
Proposal and the State Highway Maintenance Programme
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•
Planning & Performance Team – Responsible for the Waka Kotahi Low Cost Low Risk
programme
•
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Road Safety Partnership Team – Responsible for the Road Safety Partnership Programme
•
Waka Kotahi Investment Proposal Team – Responsible for identifying and incorporating
nationally delivered activities into the NLTP
Supporting Roles
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•
Regional Investment Advisors – Support Approved Organisations in developing their LCLR
and MOR programmes
•
Partnership Investments – Support Approved Organisations with any new starts for
inclusion into the 2021-24 NLTP
•
Public Transport Team – Support regional and unitary authorities in developing their PT
and LCLR programmes.
•
Technical Services - Support Waka Kotahi in developing its and LCLR programmes
•
Design, Practice & Solutions - Support Waka Kotahi with its new starts
Continuous
9 November 2020
Lead Role
INFORMATION
programmes -
Assessment & Prioritisation Lead – Assessment & prioritisation team facilitates the
preliminary
moderation and optimisation process
prioritisation and
Primary Role
moderation
•
Partnership Investments – Represents the public transport continuous programmes
•
Regional Investment Advisors – Represents maintenance operations and renewals
continuous programmes
•
Technical Services Team – Represents Waka Kotahi continuous programmes
OFFICIAL
•
Activity Class Managers – Lead the prioritisation and moderation process workshop.
Represent their activity class and chal enge programmes and new starts within their
activity class
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Supporting Role
•
Investment assessment working group - reviews and agrees the assessment profiles and
prioritises activities nationally. The working group develops recommendations for
inclusion and/or funding allocations for the Waka Kotahi Board’s final approval. The group
should be made up of representatives from:
UNDER o Transport Services - System Planning
o Transport Services - System Management
o Transport Services - System Design
o Transport Services – Operational Policy, Planning & Performance
o Corporate Support – Enterprise Change
o Corporate Support – Investment & Finance
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o Safety Health & Environment – Road Safety and Environment and Sustainability
teams
•
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External observers - For example representatives from the Transport Special Interest
Group, which is drawn from regional council staff
Reset - Setting the
16 November 2020 Same responsibilities as setting the scene.
scene
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Feedback preliminary
November 2020
Lead Role
prioritisation and
•
Senior Manager System Management – Regional Investment Advisors will provide
moderation
feedback to Approved Organisation’s MOR
- Continuous
•
Manager Partnership Investments – The team wil provide feedback to AOs on there PT
programme
continuous programme
•
Manager Technical Services – The team will provide feedback to Waka Kotahi, as
applicant, on their continuous programmes.
•
Team Lead Road Safety Partnership – The lead is responsible for providing feedback into
the Road Safety Partnership Team on the Road Safety Partnership Programme.
Final bids - continuous 11 December 2020 Same responsibilities as initial bids.
INFORMATION
Programmes
Continuous programme January/ February
Same responsibilities as continuous programme Investment Quality Assurance (IQA) initial
IQA Final bids
2021
bids
Improvement activities 16 February 2021
Lead Role
- preliminary
Assessment & Prioritisation Lead – Assessment & prioritisation team facilitates the
prioritisation and
moderation and optimisation process
OFFICIAL
moderation
Primary Role
•
Partnership Investment – Represent the new starts from Approved Organisations
•
Design Practice & Solutions - Represents the Waka Kotahi new starts
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•
Regional Investment Advisors – Represent road Control ing authority LCLR programmes
and provide feedback on these programmes to AOs
•
Technical Services Team – Represents the Waka Kotahi LCLR Programme
•
Activity Class Managers – Lead the prioritisation and moderation process workshop.
Represent their activity class and chal enge programmes and new starts within their
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Supporting Role
•
Investment assessment working group - reviews and agrees the assessment profiles and
prioritises activities nationally. The working group develops recommendations for
inclusion and/or funding al ocations for the Waka Kotahi Board’s final approval. The group
should be made up of representatives from:
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o Transport Services - System Planning
o Transport Services - System Management
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o Transport Services - System Design
o Transport Services – Operational Policy, Planning & Performance
o Corporate Support – Enterprise Change
o Corporate Support – Investment & Finance
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o Safety Health & Environment –Road Safety and Environment and Sustainability
teams
•
External observers - For example representatives from the Transport Special Interest
Group (TSIG), which is drawn from regional councils
Continuous
25 February 2021
Same responsibilities as the preliminary prioritisation and moderation workshop.
programmes - final
prioritisation and
moderation
Reset – Setting the
4 March 2021
Same responsibilities as setting the scene.
scene
INFORMATION
Feedback final
March 2021
Same responsibilities as feedback initial prioritisation and moderation.
prioritisation and
moderation
- Continuous
programme
Feedback preliminary
March 2021
Lead Role OFFICIAL
prioritisation and
•
Senior Manager System Management – Regional Investment Advisors will provide
moderation
feedback to Approved Organisation’s LCLR programmes
- Improvement
•
Manager Partnership Investments – The team wil provide feedback to AOs on there
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Activities
public transport continuous programme
•
Manager Technical Services – The team will provide feedback to Waka Kotahi, as
applicant, on their continuous programmes.
Team Lead Road Safety Partnership – The lead is responsible for providing feedback into the
Road Safety Partnership Team on the Road Safety Partnership Programme.
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Indicative al ocations
22 April 2021
Lead Role
for continuous & LCLR
NLTP Development Lead – The NLTP Development Team drafts the Board paper to agree the
programmes
indicative al ocations for the continuous & LCLR programmes
Primary Roles
•
External Engagement & Communications Team – broad key messages from the NLTP
•
Investment Assurance – Input into the development of the Board paper
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•
Waka Kotahi Board – Endorse the indicative allocations
Supporting Roles
•
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Chief Financial Officer – Endorse the Board paper
•
General Manager Corporate Support – Endorse the Board paper
Final submissions –
21 May 2021
Same responsibilities as initial submissions.
improvement Activities
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NTLP Audit
End of May 2021
Lead Role
Senior Manager Risk Assurance – Risk Assurance has oversight of the NLTP development
process to ensure legislative compliance and robust process has been fol owed to develop the
NLTP
Improvement activities 10 June 2021
Same responsibilities as the preliminary prioritisation and moderation workshop.
- final prioritisation and
moderation
Reset – Setting the
17 June 2021
Same responsibilities as setting the scene.
scene
Interim funding
24 June 2021
Same responsibilities as indicative al ocations for continuous & L
INFORMATION CLR programmes
arrangement from 1
July until 31 August
2021
Receipt final Regional
End of June 2021
Lead Role
Land Transport Plans
RLTP Development Lead – Ensure Regional Councils are aware of RLTP deadlines and liaise
with TSIG to ensure RLTPs are finalised on time and submitted into TIO.
OFFICIAL
Supporting Role
•
TSIG – Represents regional councils. Establishes the sector’s RLTP timeline and provides a
forum to meet with Waka Kotahi.
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•
Treasury & Cashflow Team – Confirm final RLTPs have been submitted into TIO.
Optimisation
15 July 2021
Lead Role
NLTP Development Lead - Leads the discussion on the al ocations between the min/max
ranges set by the GPS for each activity class. This is an outcome view to ensure we are
optimising value for money.
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Primary Role
•
Activity Class Managers - Represent their activity class and provide detailed information
on the programmes and new starts within their activity class
•
Treasury & Cashflow Team – Presents information of the cashflow between the activity
classes and the overal financial position of the NLTF
Supporting Role
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Investment Assurance – oversight of the optimisation process.
Approved NLTP
31 August 2021
Lead Role
NLTP Development Lead – The NLTP Development Team drafts the Board paper to
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NLTP
Primary Roles
•
Risk Assurance – Endorsed NLTP audit report included with the paper to the Board
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•
External Engagement & Communications Team – Key messages and an outline of now
the NLTP wil be launched
•
Investment Assurance – Input into the development of the Board paper
•
Waka Kotahi Board – Adopt the NLTP
Supporting Roles
•
Chief Financial Officer – Endorse the Board paper
•
General Manager Corporate Support – Endorse the Board paper
Finalise the NLTP
September 2021
Lead Role
NLTP Development Lead – The NLTP Development Team leads the finalisation of the NLTP
Supporting Role
INFORMATION
•
Treasury Cashflow Team – Al ocation funding within TIO against each AO and Waka
Kotahi. Update status of new improvement activities.
•
Enterprise Change Team – Appoint a date for when RLTPs are to be publicly released.
•
External Engagement & Communications Team – Finalising messaging and Facilitating the
launch of the NLTP and organisation of applicant communications.
OFFICIAL
The assessment and prioritisation workstream lead will be organising a meeting with process leads (lead roles) within the moderation process.
The discussion wil be focused on resourcing requirements to fulfil the outlined roles.
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WAKA KOTAHI DECISIONS
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Waka Kotahi needs to weigh up and prioritise competing programmes of activities because the funding pool is limited. Al the work leading up to
and at moderation informs these decisions. Waka Kotahi provides advice on the NLTP al ocation in three stages:
• Indicative allocations: AOs are advised an indicative allocation for their continuous programmes prior to the adoption of the NLTP to
help them finalise their long-term plans. Waka Kotahi wil endeavour to provide this advice by the end of April 2021.
• Approved al ocation: AOs receive confirmation and advice of the approved al ocation when the NLTP is published.
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• Communicate activities that were not included in the NLTP or those activities that were included but at a different priority order.
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INFORMATION
OFFICIAL
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Document Outline
