Embed Size (px)
Citation preview
1 Final (8 Feb 2015)
Transition Plan Guide and Template
For implementation of the One Network Road Classification and Business Case Approach
L o c a l G o v e r n m e n t N e w Z e a l a n d E q u i P – R o a d T r a n s p o r t U n i t
February 15
08 Fall
2
Document Control
Version Reviewer Date Draft v1 Prepared by Erik Barnes;
Auxilium Ltd 20 October 2014
Draft v1 (review) THE TRANSPORT AGENCY Planning & Investment / EquiP RTU Workshop
23 October 2014
Draft v2 Prepared by Erik Barnes; Auxilium Ltd
26 October 2014
Draft v3 EquiP RTU Review; Prepared by Erik Barnes; Auxilium Ltd
28 October 2014
Draft v3 (review) THE TRANSPORT AGENCY PIM review
31 October 2014
Draft v4/v5 Prepared by Erik Barnes, Auxilium Ltd
5/6 November 2014
Draft v5 (review) REG Board review, REG sign off and final comments
10 November 2014
Draft v6 & Final Draft Prepared by Erik Barnes, Auxilium Ltd
13 November 2014/ 6 December 2014
Final Prepared by Erik Barnes, Auxilium Ltd
9 December 2014
LGNZ EquiP sign-‐off Steven Finlay, LGNZ EquiP 9 December 2014 THE TRANSPORT AGENCY
sign-‐off Lynley Hutton, NZTA 9 December 2014
Updated to cross reference new Activity Management Plan Guide for AO Road
Networks
Steven Finlay & Erik Barnes 8 February 2015
Developed by Erik Barnes, Auxilium Ltd. www.auxilium.co.nz > [email protected]
Improving investment decision making; people>infrastructure>environment
3 Final (8 Feb 2015)
Table of contents
Transition Plan Template Checklist…………………………………………………………………………..4
1. Introduction…………………………………………..…………………………………………………………….5
2. Transition Plan Overview..…………………………………………………………………………………….6
3. Simplified Gap Assessment Process…………………………………………………..………………….8
4. Transition Plan Template Guide.……………………………………………………………………………8
5. Additional Supporting Resources………………………………………………………………………..11
Appendixes • Appendix A – Transition Plan Template……………………………………………………….12
4
• Indicate status of implementation
Current State
• Identify what full implementation will look like
Full Implementation • Identify what the gaps are
between your current state and full implementation
• Identify any assumptions made
Gaps
• Identify your action to move to full implementation
• Identify your plan to achieve this • Identify timeline & milestones • Identify any costs
Action Plan
5
1. Introduction The purpose of this Guide is to assist Road Controlling Authorities who are Approved Organisations (AOs) in meeting NZ Transport Agency requirements for implementing the One Network Road Classification (ONRC) and Business Case Approach (BCA). Both Local Government and the Transport Agency share the objectives of wanting to ensure we are all investing in the right place, at the right time, to the right level; and that our investments show value for money and increased sector performance. In the end our focus is on providing affordable services that our communities need now and into the future.
Part of the requirements for developing network programmes for inclusion in the 2015-‐2018 NLTP is the development of a transition plan. The intent of this transition plan is to provide a high level overview of the current state of ONRC implementation, how the RCA will move toward full implementation of this, and application of the business case approach by 2018. The transition plan will also be useful for any moderation requirements, discussions with the Transport Agency and will ensure you are focused on completing the right information at the right level within the required time line. This guide will help ensure the scope is clearly defined and help both the RCA and the Transport Agency focus resources in the right place and not waste effort. The prioritisation and improvement in investment decision making is critical to all of New Zealand. The Transport Agency and Local Government share a view that tax/rate payers’ money needs to be wisely spent through appropriate allocation of the Transport Agency Financial Assistance Rate (FAR) and Local Government rates. The ONRC is a joint initiative of the local government/Transport Agency Road Efficiency Group (REG). It provides a nationally consistent framework that will help to inform activity management planning, investment choices, and maintenance and operational decisions. The ONRC has been formally adopted for the 2015-‐18 NLTP. Road controlling authorities are expected to start applying the ONRC to their network, identify differences in customer levels of service (CLoS) by using the agreed performance measures, and understand the financial implications. The ONRC is not intended to determine funding levels in this NLTP. All AMPs will also need to apply the Business Case approach in a fit for purpose way relative to the size and complexity of the programme. RCAs should apply the principles of the BCA and this should augment an existing AMP and practices; rather than result in an overhaul (see the EquiP RTU Activity Management Plan Guide for further information on applying the Business Case approach in a fit for purpose fashion). This transition plan outlines what is required from RCAs in meeting the initial implementation for 2015. Final regional land transport plans (RLTPs) must be provided to the Transport Agency by 30 April 2015. Prior to this, RCAs need to ensure they have identified the extent to which they have implemented the ONRC and business case approach. RCAs will need to have identified gaps in implementation and developed improvement plans into their activity management plans and RLTPs to show how they intend to achieve full implementation of the ONRC by 2018. The first step in this process was submitting the initial application of the ONRC for your network by 5 October 2014. Regional engagements between the Transport Agency and RCAs will occur from November 2014 through to March 2015 (to include regional and national moderation).RCAs should be developing plans that close any identified gaps as soon as possible, taking into account affordability and value for money benefits. A major shift in focus is from maintaining the current condition of networks to providing a fit for purpose network that delivers to defined customer levels of service. This guide and template has been developed in consultation with the Transport Agency and Local Government NZ.
6
2. Transition Plan Overview
Activity management plans (AMP) contain information that helps support the Transport Agency investment decision making for councils’ maintenance, operations and renewal programmes. Over time the Transport Agency is aiming for national consistency for the level of service delivered by a network for the customers. This is underpinned by quality data, which will inform value for money decisions and provide investment confidence in renewal, maintenance and operational decisions. The link between the AMP and work streams of the Road Efficiency Group (REG) is depicted in Figure 1 below.
Figure 1. Relationship between REG work streams The transition plan is a vital step in the process of bringing the REG work streams together to achieve the ultimate aim of consistent and effective asset management. AMPs and any associated transition plan will be assessed by the Transport Agency to ensure they provide the necessary information to make sound investment decisions. Each RCA is required to include a transition plan in their 2015/18 activity management plans that outline how the RCA will fully implement the ONRC, and apply the business case approach principles in the preparation for the 2018/21 NLTP. Transition plans need to cover two broad areas and simply show the current state, gaps, and plan to fully implement each for the next NLTP (2018/21). The two areas are:
1. One Network Road Classification 2. Business Case Approach
Transition plans should have a process and milestones for:
• Improving/finalising the classification of roads and working toward agreed moderation;
• Determining Customer Levels of Service (CLoS) and identifying key gaps; • Identifying gaps in performance or network outcomes and getting stakeholder
agreement to remedy the gaps. • Planning investment (and dis-‐investment) programmes to address gaps in time for
development of the 2018/21 NLTP;
7 Final (8 Feb 2015)
• Addressing gaps through negotiations between the approved organisation and the Transport Agency;
• Identifying the current status and implementation plan to apply the Business Case Approach;
• Identifying any requirements and plan for public consultation on changes to CLoS and investment on the network; and
• Any other work needed, for example: o Implementing performance monitoring programmes to enable the AO to report
against defined performance measures o Implementing the outcomes of this transition plan in professional services and
physical works contracts (including modifying existing contracts to improve performance monitoring where appropriate)
o Ensuring the AO’s Governance Body is comfortable with this plan and outcomes o Getting the AO’s interpretation of the ONRC of its network endorsed by the
Transport Agency o Understanding implications of the ONRC on the District Plan
Improvement actions should indicate the steps, timeframes, and financial implications. Transition plans should be developed at a high level and only include information identified in this document. As a rough guide plans should be a short section or chapter (around five pages) either contained within the existing activity management plan, or as a supporting document. There has been some great work already by RCAs in developing activity management plans and incorporating the use of business case philosophies into their planning. Figure 2 provides an overview of the transition from our current state to a future state utilising a One Network Road Classification and Business Case Approach as defined by REG.
Figure 2. Transition overview
Today& The&Future&
Moving&to&a&One&Network&Road&Classifica<on&(ONRC)&and&Business&Case&Approach&
(BCA)&B&Changing&the&culture&of&investment&
ONRC&
Maintenance&
Opera<ons&
Renewals&
______&
&
Capital&
Works&
Programme&
Transi<on&
Plan&
District&
Plan&
Ini<al&road&classifica<on& Full&na<onally&moderated&ONRC&
Current&State& Final&future&state&
Maintenance&
Opera<ons&
Renewals&
______&
&
Capital&
Works&
Programme&
Ini<al&RAMM&classifica<on&& ONRC&Regional&Modera<on& Na<onal&Modera<on&Update&&&Changes&to&ONRC&depending&on&
outcomes&of&modera<ons&
Final&classifica<on&/&
reviews&&&updates&
• Improved&investment&
decision&making&
• Improved&management&
of&risk&
• Value&for&money&
• Increased§or&
performance&
Maintaining&the¤t&condi<on&of&the&network& Providing&a&‘fit&for&purpose’&network&that&delivers&to&defined&customer&levels&of&service&&&
Affordable&
network&that&
delivers&what&
users&need&now&
and&into&the&
future.&
&
Inves<ng&in&the&
right&place,&
with&the&right&
amount,&at&the&
right&<me,&&to&
the&right&level.&
Gap&assessment& Transi<on&Plan&& Full&implementa<on&&
Op<mised&
October&2014& Nov&2014&to&Mar&2015& 2015/2018&NLTP&
ONRC&&
CLoS&
Performance&
Measures&
LTP&
R&&&NLTP&
Asset&
Management&
Plan&
NOP/NIP&
2018/2021&NLTP&
Business&
Case&
Approach&
Ac<vity&
Management&
Plan&
NOP&=&Network&Opera<ng&Plan&/&NIP=&Network&Improvement&Plan&/<P&=&Long&Term&Plan&/&R&&&NLTP&=&Regional&&&Na<onal&Land&Transport&Plan&/&CLoS&=&Customer&Level&of&Service&&
Current&Transport&& Business&Case&Approach&Transport&&
Moving&from&good&ac<vity&management&planning& To&great&ac<vity&management&planning&&&incorpora<on&of&the&BCA&
8
3. Simplified Gap Assessment Process Each section in the transition plan should follow a standard process of assessment and planning. Each RCA will have a different level of complexity involved in assessments and key areas of importance to the local community and users. This should be taken into consideration in your assessments when identifying what is important and the level of detail provided. It is again stressed that the transition plan is a high level document. If you feel further detail is required reference the information from the AMP to support these sections in the transition plan.
4. Transition Plan Template Guide
Executive Summary a) Develop a short summary of your transition plan. This should cover what are
the most important aspects and milestones to your local area in the implementation of the ONRC and Business Case Approach.
ONRC Implementation a) Functional Classification
Improving/finalising the classification of roads and working toward agreed moderation
§ Identify where you are at in running the ONRC road classification process, your validation of it, and changes identified. Also allow for the Transport Agency moderation process. <Utilise Simplified Gap Assessment Process above>
• The initial classification and use of the RAMM classification tool is intended to capture as much work as possible to the moderation deadline. The transition plan can identify your next steps as noted above.
§ Identify any issues or concerns around the classification of roads based on cycling, pedestrian, and number of bus movements (if applicable).
§ Include an overview plan on how you will move to planning for roads in their new classifications.
§ Note that the initial high-‐level classification is a working list that RCAs and Transport Agency planners should use to sit along side each other to discuss classification and land use tying into road function.
• Indicate status of implementation
Current State
• Identify what full implementation will look like
Full Implementation • Identify what the gaps are
between your current state and full implementation
• Identify any assumptions made
Gaps
• Identify your action to move to full implementation
• Identify your plan to achieve this
• Identify timeline & milestones
• Identify any costs
Action Plan
9 Final (8 Feb 2015)
b) Customer Levels of Service Determining Customer Levels of Service (CLoS) and identifying key gaps
§ Identify where you are at with assessing your identified level of service against the ONRC CLoS. <Utilise Simplified Gap Assessment Process above>
§ Note that the current CLoS are not considered fully tested and feedback to improve them is appreciated.
c) Performance Measures and Targets Note that performance measures and targets relate to both processes and physical network requirements. Identifying gaps in performance or network outcomes
i. Here are four key questions to consider in your assessment: 1. Have you applied and trialed the CLoS performance
measures, through both desktop assessment and through visual inspection of a representative sample of your network?
2. Have you identified the current performance of your network against the performance measures and provisional targets?
3. Have you established what your customers are receiving? 4. Have you identified whether you are under or over
delivering? ii. Identify your plan to imbed performance measures into contracts
and the links to your financial system(s). iii. Identify gaps for data collection requirements and your plan to
collect data or improve the quality of existing data. iv. <Utilise Simplified Gap Assessment Process above> v. Note that though the current performance measures have been
signed off by REG they were not considered fully tested and work is still required to ensure they were appropriate. Also note that not all measures are required to be implemented.
Business Case Approach Implementation Refer to the Transport Agency’s Planning and Investment Knowledge Base and LGNZ EquiP Road Transport Unit’s Activity Management Plan Guide for additional guidance. The Business Case approach is a method for achieving improved investment decision making and specified outcomes as defined by each RCA. a) Strategic context
§ Have you clearly defined your strategic and network context, problems, benefits, and support information available (robust evidence)?
§ Identify the current status and implementation plan to apply the Business Case Approach in your activity management planning.
§ <Utilise Simplified Gap Assessment Process above>
b) Investment (dis-‐investment) areas. (What do you need to do to bring assets to the ONRC identified classification and CLoS? What are the costs?)
§ Identify your planning investment (and dis-‐investment) programmes to address gaps in time for development of the 2018/21 NLTP.
§ <Utilise Simplified Gap Assessment Process above>
10
Other Work Identified Identify any other work that is required to fully implement the ONRC and Business Case approach. Examples of potential areas are indicated by a) through e) below but are not necessarily applicable to each RCA or limited to these examples. a) Implementing performance monitoring programmes to enable the AO to
report against defined performance measures. b) Implementing the outcomes of this Transition Plan in professional services
and physical works contracts. c) Improving data and inventory management and incorporating network
modelling when appropriate to confirm validity of investment programmes. d) Ensuring the AO’s Governance Body is comfortable with this plan and
outcomes. e) Getting the AO’s interpretation of the ONRC of its network endorsed by the
Transport Agency. f) Understanding implications of the ONRC on the District Plan. <Utilise Simplified Gap Assessment Process above>
Opportunities and Risks Identified Through this process what opportunities and risks have you identified and what can be done to explore and/or address them?
§ I.e. collaborative opportunities, up skilling staff, etc.
Stakeholder & Public Engagement Identifying any requirements and plan for public consultation on changes to CLoS, performance and investment on the network (increased or decreased levels). a) Have you developed a communications plan for internal and external
stakeholders? b) How have you, or how will you, engage with Senior Management and Elected
Members? c) How are you going to engage with stakeholders and ratepayers? What are the
timelines and processes involved? d) Addressing gaps through negotiations between the approved organisation and
the Transport Agency. e) What are the significant changes identified and impact on users?
§ Gaps in CLoS and performance measures; how are you gaining stakeholder agreement to remedy the gaps?
§ Gaps in investment levels (increased or decreased). <Utilise Simplified Gap Assessment Process above>
Summary of Improvement Actions Include a summarised list of actions for implementing the ONRC and BCA.
Improvement Action
Description Steps to achieve
action Timeframe (due date) Financial Implications
(if any)
11 Final (8 Feb 2015)
5. Additional Supporting Resources
• One Network Road Classification Toolkit o http://www.nzta.govt.nz/projects/road-‐efficiency-‐group/toolkit.html
§ Classification tips sheet § ONRC Decision Tree (revised) § ONRC Provisional Performance Measures § Applying the ONRC – Guidelines on how to apply the classification § ONRC Classification – Tips Sheet § Functional Classification for categorizing the road network § Provisional Customer Levels of Service § Self Assessment
• Activity Management Planning and One Network Road Classification o May 2014
§ http://www.nzta.govt.nz/planning/nltp-‐2015-‐2018/docs/201405-‐amp-‐and-‐onrc.pdf
o September 2014 § http://www.nzta.govt.nz/planning/nltp-‐2015-‐2018/docs/201409-‐
amp-‐and-‐onrc.pdf • Business Case Approach – high level overview
o https://www.pikb.co.nz/home/planning-‐to-‐project-‐delivery-‐process/overview-‐documents/the-‐business-‐case-‐approach-‐high-‐level-‐overview/
• Assessment Framework for 2015-‐18 NLTP o https://www.pikb.co.nz/assessment-‐framework/
• LGNZ EquiP Road Transport Unit – Activity Management Plan Guide For Approved Organisations Road Networks
12
Appendix A – Transition Plan Template
Local Government / DOC / State Highways & the Transport Agency Agreed ONRC and Business Case Approach Transition Plan This transition plan incorporates the Road Controlling Authorities current state of implementing the One Network Road Classification and Business Case approach. The plan forms part of the 2015 AMP for inclusion in the 2015/18 NLTP. Improvement actions and plans provide an overview of how we will transition to full implementation for the 2018/21 NLTP. This plan has been collaboratively developed and agreed between ____________________ and the Transport Agency.
1) Executive Summary
2) ONRC Implementation a) Functional Classification
b) Customer Levels of Service
c) Performance Measures and Targets
3) Business Case Approach Implementation
4) Other Work Identified
5) Opportunities and Risks Identified
6) Stakeholder & Public Engagement
7) Summary of Improvement Actions Improvement Action
Description Steps to achieve
action Timeframe (due date) Financial Implications
(if any)
