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




Engage your regional P&I representative (no surprises/assistance)



P&I Rep



Commence preparing NORs and Statutory Applications as set out in the scope of services professional services contract and minimum standards


(I&R Spec,
Min Std Z/19)




Engage Regional/National Office for technical assistance (if required)
(ensure associated documents are completed as listed below)

Refer to Detailed steps


(Part 4 Guidelines VAG.xls)

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.


Update risk register


Minimum Standard Z/44 - Risk Management




Prepare Draft Assessment of Environmental Effects (AEE)


(Min Std Z/19)

PSC/ TP Mgr/
one agency team



Draft AEE and Draft Consent Conditions reviewed by established one agency team as identified in Project Plan


(Min Std Z/19)


Ensure that the TP Manager is engaged and that the one-agency team has reviewed.


Final AEE and Draft Consent Conditions accepted by established one agency team as identified in Project Plan


(Form 6.4)

one agency team

Opportunity for new generic template (to be developed) to include one-agency parties for each phase and to include comments.


Submit recommendation to Lodge Statutory Applications to delegated approver (HNO/P&I)






PLI and or Scope Changes to be submitted for Value Assurance approval as and when they occur


(Form 2.7)/


Refer to Worksheet - 11. PLI or Scope Change


Detailed steps

Task break down

Lodge statutory applications for approval

PMM (SM011) reference

Manual/ Templates



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. 


Prepare technical assessments to support statutory approvals


SM030, Z/19, Urban Design Guidelines


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.


Update Preliminary Bridge/Structure Design Statement(s) (if applicable)
Note: Must be reviewed by Structures Team if technical criteria is triggered


Bridge Manual (SP/M/022)

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. 


Consultant's Project Quality Plan


(Min Std Z/1)


5.5.3  Prepare Urban and Landscape Design Framework    Urban Design Guidelines    Only applicable for large scale urban projects. 


NO review


TP team/ NO environment and urban design team/ NO Professional Services Team



P&I Review



Regional/ NO P&I Team



Legal Review



NO Legal/ External Legal Advisors



Council review (if required)






Submit with DMT template


New template/




Resolutions noted and filed on return from DMT






Funding Conditions noted and recorded (if applicable)





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

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)


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.