Work category 141: Emergency works

Definition

This work category A type of activity – not confined to a particular activity class, e.g. new roads (work category 323) appears in:

* activity class 12 – local road improvements
* activity class 13 – state highways improvements enables funding from the National Land Transport Fund (NLTF The fund established under section 10 of the LTMA ) for the response to a defined, major, short-duration natural event (a qualifying event) that has reduced or will reduce customer levels of transport service significantly below those that existed prior to the event and results in unforeseen, significant expenditure.

Qualifying activities

The work category A type of activity – not confined to a particular activity class, e.g. new roads (work category 323) appears in:

* activity class 12 – local road improvements
* activity class 13 – state highways improvements covers:

• any immediate response required for public safety or to provide vital access, and
• reinstatement of customer levels of transport service,

involving assets, facilities and services that are eligible for funding from the NLTF The fund established under section 10 of the LTMA .

Activities not eligible for emergency works funding are described under 'Exclusions' below.

Qualifying events

Events that qualify for NLTF The fund established under section 10 of the LTMA funding as emergency works will:

• be of unusually large magnitude or severity for the particular area in which they occur (as a guide, they would be expected to have an annual return period greater than 1 in 10 years)
• originate from natural, short duration triggering events, including very high intensity rainfall, severe wind, severe drought in government declared drought areas or seismic events
• have reduced, or will reduce within a 12 month period, levels of transport service significantly below those that existed prior to the event
• involve a total cost of $100,000 or more per event per Approved Organisation or Transport Agency (state highways) region
• be clearly defined, named and described, with a separate funding application required for each event

Guidance - high intensity rainfall events

For information on return period storm events see the NIWA high intensity rainfall design system (HIRDS).

Rainfall recorded at specific weather stations throughout New Zealand can be accessed through the NIWA Cliflo service. Users need to subscribe for this free service.

Exclusions

This work category A type of activity – not confined to a particular activity class, e.g. new roads (work category 323) appears in:

* activity class 12 – local road improvements
* activity class 13 – state highways improvements excludes:

• minor events of less than $100,000 total cost - these must be funded from within the organisation's approved maintenance programme The total of the organisation's approved maintenance, operations and renewal activities. under Work category 140: Minor events
• the effects of scour, degradation, aggredation and land movements that have accumulated over time
• costs of damage or deficiencies from land movements that have not been triggered by a specific event
• the repair of any damage to work under construction, including within the post-construction maintenance period - this is a charge to the activity under construction and is expected to be covered by the supplier's insurance
• any damage that is the result of a human intervention or incident, e.g. caused by a vehicle crash or operational activity
• improvements associated with permanent reinstatement - these should be assessed and prioritised as improvement activities, separate from the emergency works funding application and, if approved, funded from the appropriate improvement activity class and work category A type of activity – not confined to a particular activity class, e.g. new roads (work category 323) appears in:
  
  * activity class 12 – local road improvements
  * activity class 13 – state highways improvements
• costs to respond to damage that may be caused by qualifying events but to activities that are not eligible for funding from the NLTF The fund established under section 10 of the LTMA , e.g. aesthetic treatments on berms The edge of a road reserve between the kerb A border of rigid material, usually raised, which is formed at the edge of a traffic lane or shoulder. or surface water channel and property boundary, exclusive of footpath. , shoulders That portion of the carriageway outside the traffic lanes. , medians A raised or flush divider separating traffic. and traffic islands
• reinstatement of damaged footpaths That portion of the road reserve set aside for the use of pedestrians only. , other than where the footpath is attached to a section of damaged kerb A border of rigid material, usually raised, which is formed at the edge of a traffic lane or shoulder. and channel that requires reinstatement as an emergency works

Difference between emergency works and resilience The ability of the network to withstand, or recover quickly after a disruption. The availability and restoration of each facility when there is a weather or emergency event, whether there is an alternative route available and the road user information provided.  This can be measured through the number of journeys impacted by unplanned events, or acceptable risk where there is no viable alternative access should it be closed by an unplanned event. improvements

Emergency works respond to damage or deficiencies caused by defined, out of the ordinary, natural events.

Resilience improvements (formerly Preventive maintenance) provide for non-routine work required to protect the serviceability of roads and cycleways from damage, and to minimise the threat of road closure arising from natural phenomena. The activity is not connected to a defined event.

Funding assistance rate (FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. )

The usual funding assistance rate that applies to emergency works for qualifying events within each Transport Agency financial year is:

• for cumulative claims for total costs of emergency works up to 10% of the Approved Organisation's total cost of its maintenance programme The total of the organisation's approved maintenance, operations and renewal activities. for the year, as approved when the National Land Transport Programme Interrelated and complementary combination of activities that, when delivered in a coordinated manner, produce synergies – can span more than one work category and more than one activity class, e.g. a programme could include a road improvement and public transport improvement activities. (NLTP A National Land Transport Programme Interrelated and complementary combination of activities that, when delivered in a coordinated manner, produce synergies – can span more than one work category and more than one activity class, e.g. a programme could include a road improvement and public transport improvement activities. adopted by the NZTA under section 19 of the LTMA, as from time to time amended or varied ) was adopted*, the Approved Organisation's normal FAR
• for the part of cumulative claims of total costs of emergency works that exceeds 10% of the Approved Organisation's total cost of its maintenance programme The total of the organisation's approved maintenance, operations and renewal activities. for the year, as approved when the NLTP A National Land Transport Programme Interrelated and complementary combination of activities that, when delivered in a coordinated manner, produce synergies – can span more than one work category and more than one activity class, e.g. a programme could include a road improvement and public transport improvement activities. adopted by the NZTA under section 19 of the LTMA, as from time to time amended or varied was adeopted, the Approved Organisation's normal FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. plus 20% to a maximum of 95%
• e.g.:
  • an Approved Organisation's maintenance programme The total of the organisation's approved maintenance, operations and renewal activities. for a year may have been approved at a total cost of $5 million when the NLTP A National Land Transport Programme Interrelated and complementary combination of activities that, when delivered in a coordinated manner, produce synergies – can span more than one work category and more than one activity class, e.g. a programme could include a road improvement and public transport improvement activities. adopted by the NZTA under section 19 of the LTMA, as from time to time amended or varied was adopted
  • its normal FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. for that year may be 52%
  • its cumulative claims for emergency works in the same year may total $700,000
  • the FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. for the first $500,000 (10% of $5 million) will be 52%
  • the FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. for the $200,000 above 10% will be 72%
• for emergency works on special purpose roads, the Approved Organisation's special purpose roads maintenance FAR

* The maintenance programme The total of the organisation's approved maintenance, operations and renewal activities. approved at the time when the NLTP A National Land Transport Programme Interrelated and complementary combination of activities that, when delivered in a coordinated manner, produce synergies – can span more than one work category and more than one activity class, e.g. a programme could include a road improvement and public transport improvement activities. adopted by the NZTA under section 19 of the LTMA, as from time to time amended or varied was adopted by the Transport Agency Board The NZ Transport Agency Board. is used to provide a more consistent base for the 10% calculation, rather than adding another variable required to be reconciled at yearend.

Extreme events bespoke arrangements for hardship reasons

Where there is evidence that an extreme event, or a series of large events, results in emergency works expenditure beyond an Approved Organisation's ability to raise local share and continue to provide appropriate levels of service on its network over the next three years, the Transport Agency may consider a bespoke arrangement.

The criteria that the Transport Agency will consider in making a decision on bespoke arrangements include:

• the estimated annual emergency works local share by applying the above policy over the next three years, relative to the Approved Organisation's maintenance programme The total of the organisation's approved maintenance, operations and renewal activities. local share and its annual revenue - the expectation is that the emergency works local share would be a substantial proportion of both maintenance programme local share and revenue
• the financial position of the Approved Organisation and its ability to raise local share for the emergency works expenditure, i.e. evidence of hardship
• the urgency to complete the emergency works and ability to programme them over time.

The bespoke arrangement could, for instance, consist of a short-term enhanced emergency works FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. or the Transport Agency could front load more of the emergency works spend in the first year or two with the Approved Organisation paying its local share over a longer time period.

An application for a bespoke arrangement that involves an enhanced FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. would trigger the Transport Agency's significance policy, requiring the decision to enter an arrangement to be elevated to the Board The NZ Transport Agency Board. . While any bespoke arrangement is being negotiated, the Transport Agency's emergency works policy above will continue to apply.

List of extreme events bespoke arrangements

This section records bespoke arrangements approved by the Transport Agency Board The NZ Transport Agency Board.  for extreme events since introduction of the revised policy on 1 July 2015.

June 2015 Taranaki-Whanganui storm event. The impact of the costs of reinstating local road infrastructure on the Approved Organisations local share was taken into consideration. A comparison of the extra local share required against the Approved Organisation's annual revenue led to a decision to approve a bespoke arrangement. (Board The NZ Transport Agency Board. paper 15/10/149 was presented to the Board's Investment & Operations Committee at its October 2015 meeting.) The decision was:

• Whanganui District The district of a territorial authority. In relation to land in respect of which a Minister of the Crown is the Council, that land. Council – 100% FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. for reinstatement of Whanganui River Road with the standard emergency works policy to be applied the balance of works for the event;
• Rangitikei District The district of a territorial authority. In relation to land in respect of which a Minister of the Crown is the Council, that land. Council – 100% FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. for reinstatement of Turakina Valley Road plus an enhanced FAR of 87% to be applied to all of the balance of works for the event;
• South Taranaki District The district of a territorial authority. In relation to land in respect of which a Minister of the Crown is the Council, that land. Council – 100% FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. for reinstatement of Waitotara Valley Road with the standard emergency works policy to be applied the balance of works for the event.

Emergency works process - overview

Emergency works process - detail

Applications for and approvals of emergency works funding are expected to follow the process set out above. The key steps are:

1. Following an event damage to the network is identified by the Approved Organisation or Transport Agency (state highways).
2. The decision to take action for the immediate response to ensure public safety and restore vital access rests with the Approved Organisation or the Transport Agency (state highways) - there is no requirement to notify the Transport Agency (planning & investment) regional representative and the investment decision is exempt from the procurement procedure A procurement procedure approved under section 25 of the LTMA. requirements of s.25 of the Land Transport Management Act (LTMA The Land Transport Management Act 2003, as amended from time to time. ).
3. The Approved Organisation or the Transport Agency (state highways) notifies the regional Transport Agency (planning & investment) representative of the event to forewarn of the potential application for emergency works. The notification is an input to a briefing note to the Minister for extreme events.
4. The Approved Organisation or the Transport Agency (state highways) assesses damage caused by an event and estimates the scope and cost of reinstatement.
5. The Approved Organisation or the Transport Agency (state highways) checks whether the activity is eligible for emergency works funding against criteria in 'Qualifying activities', 'Qualifying events' and 'Exclusions' sections above.
6. If not eligible, the cost is not to be funded as an emergency works and will be delivered either under an alternative work category A type of activity – not confined to a particular activity class, e.g. new roads (work category 323) appears in:
   
   * activity class 12 – local road improvements
   * activity class 13 – state highways improvements , e.g. Work category 140: Minor events, or from an alternative funding source outside of the NLTF The fund established under section 10 of the LTMA .
7. The Approved Organisation or Transport Agency (state highways) checks whether NLTF The fund established under section 10 of the LTMA funding for the activity can be approved under delegated authority. If within delegation the Approved Organisation or the Transport Agency (state highways) may proceed to Step 10.
8. If outside of delegated authority, the Approved Organisation or the Transport Agency (state highways) will contact their regional Transport Agency (planning & investment) representative within one week of the event and request an inspection of the damage.
9. Within 4 weeks of the event, the Transport Agency (planning & investment) regional representative will inspect the site, confirm it is eligible as emergency works and agree the scope of works and cost estimate. Alternatively, the representative may forego a physical inspection and instead rely on photographs and a report.
10. Within 6 weeks of the event, the Approved Organisation or the Transport Agency (state highways) applies for funding assistance via Transport Investment Online (TIO The NZTA's web-based funding allocation system. ). A separate project is required for each defined event with an event specific title. Supporting documentation, e.g. photos, reports and costings, should be unloaded into TIO. No generalised funding applications, e.g. "2014/15 Emergency works" will be accepted.
11. The funding application is approved at the appropriate authority level. If a bespoke arrangement that involves an enhanced FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities.  is proposed, this must be approved by the Board The NZ Transport Agency Board. .
12. The approval is processed in TIO The NZTA's web-based funding allocation system. . Other than for a bespoke arrangement, the TIO system will set the FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. (s) that will apply to the activity.

Conditions of funding

General conditions of funding that apply to emergency works are:

• the Transport Agency's uneconomic roading facilities policy will be applied to all investment decisions for permanent reinstatement of roads and infrastructure - if a facility is determined to be uneconomic under the policy, the Transport Agency may decide not to co-invest, in full or at all, in its reinstatement
• permanent reinstatement to restore levels of transport service is subject to s.25 LTMA The Land Transport Management Act 2003, as amended from time to time. procurement procedure A procurement procedure approved under section 25 of the LTMA. requirements
• application of the One Network Roading Classification (ONRC) - while the Transport Agency's emergency works policy is to reinstate to pre-existing levels of service, it may, where the ONRC service level is lower than existed previously, decide to co-invest to achieve the appropriate ONRC level of service rather than the full reinstatement of service levels - where the ONRC points to a higher level of service than existed prior to the event being appropriate, the increase in service level should be justified and approved as an improvement activity, funded under the appropriate improvement activity class and work category A type of activity – not confined to a particular activity class, e.g. new roads (work category 323) appears in:
  
  * activity class 12 – local road improvements
  * activity class 13 – state highways improvements
• approval of emergency works funding presumes applicants have applied sound asset management practice and have maintained any assets damaged by a qualifying event to a reasonable standard, taking into account the age and original construction standard of the assets - where the Transport Agency considers that the damaged assets had not been maintained to a reasonable standard, or that the damage could have been mitigated by reasonable cost preventive interventions, it may decide to decline or reduce the total cost for approval of the emergency works funding application

Applying for funding approval

Applications for funding approval should be made through the 'Emergency works' module in Transport Investment Online (TIO The NZTA's web-based funding allocation system. ). A separate project needs to be set up in TIO for each event, with relevant documentation uploaded to support the application.

Emergency works activities do not require to be added to the relevant Regional Land Transport Plan prior to approval and will be added to the NLTP A National Land Transport Programme Interrelated and complementary combination of activities that, when delivered in a coordinated manner, produce synergies – can span more than one work category and more than one activity class, e.g. a programme could include a road improvement and public transport improvement activities. adopted by the NZTA under section 19 of the LTMA, as from time to time amended or varied automatically on processing of an approval.

End of year reconciliation and carryover

At the end of each year, the emergency works approvals will be reconciled to claims. Any application that does not qualify as emergency works due to the total cost being less than $100,000 will be moved to Work category 140: Minor events, and its FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. adjusted. This will mean that the FARs for the remaining emergency works may also require adjustment in TIO The NZTA's web-based funding allocation system. . Any carryover to the following year will be added to any approved emergency works in that year and the appropriate FAR The usual contribution in percentage terms, that the NZTA augments funding of an approved organisation, for the delivery of an activity or combination of activities. applied.

Transport Investment Online (TIO The NZTA's web-based funding allocation system. ) will automatically carryover the unspent allocation every year.  It is vital that Approved Organisations and the Transport Agency (state highways) declare as surplus any unused allocation for completed approved emergency works activities by making a cost scope adjustment via the Reviews module in TIO The NZTA's web-based funding allocation system. .