TŪ AKE, TŪ MĀIA STAND UP, STAND FIRM REGULATORY STRATEGY 2020-25 - APRIL 2020 - NZTA
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TŪ AKE, TŪ MĀIA STAND UP, STAND FIRM REGULATORY STRATEGY 2020–25 APRIL 2020
It is people, it is people, it is people Foreword
He tangata, he tangata, he tangata He kupu takamua
Hūtia te rito o te harakeke Ambitions for a fair and safer transport system Building a responsive regulator for the real world
Kei whea te kōmako e kō? Waka Kotahi NZ Transport Agency plays a vital role in allowing people
access to New Zealand’s land transport system – to participate fairly and
We must never forget the impact a weak regulator can have. We know
all too well that if we don’t get it right, people can be injured or killed.
Kī mai ki ahau he aha te mea nui o te ao? safely for the country’s economic, social and cultural wellbeing. After 2018 the regulatory functions underpinning the safety of the land
As the lead land transport regulator, our role is to improve safety and reduce transport system were found to be ineffective. This was our catalyst for
Māku e kī atu, the risk of harm in a complex system that has lots of moving parts. change.
he tangata, he tangata, he tangata. There are 3.7 million licensed drivers. The current New Zealand fleet has Over the last year we have implemented a back-to-basics plan,
stabilising our functions and shifting our focus to deliver firm and fair
5.3 million vehicles and more than 8,000 licensed vehicle inspectors
checking them. There are 47,000 commercial transport operators moving regulation, consistent with our core purpose.
people and goods around the country; and every year 36 million passenger We are now firmly focused on the future and delivering our strategy –
If the heart of the harakeke was removed journeys are made and 17 million tonnes of freight is moved by rail. Tū ake, tū māia. We know that when we get it right, we create a system
where would the bellbird sing? We need to manage what is an inherently risky system while still catering where we have safer vehicles, drivers, commercial operators, networks
and rail.
for future growth, technological advances and a focus on environmental
If I was asked what was the most sustainability. We also need to be reviewing the land transport regulatory We are absolutely committed to evolving our regulatory capability and
framework to ensure it is fit for purpose. performance. We know where we are heading and what we need to do
important thing in the world? to get there. The principles of te ao Māori will guide us in our journey,
This means we must be smarter in how we regulate. To do this we need to
I would be compelled to reply, use data and evidence to focus on the areas where our work will have the as we work together, united with our partners and industry, so that
greatest impact. everyone in New Zealand is safe when using our roads and railways. We
it is people, it is people, it is people. This strategy sets out a path for us to improve how we deliver regulatory
cannot do this alone – our partners and the industry also have a role to
play.
services. It will require significant investment over time – in our people,
systems and technology. My confidence in our strategy reflects the efforts that our leadership
team and the wider organisation have made to listen to our regulatory
There is plenty to do and many challenges ahead. However, there is also a partners, stakeholders, the public and our people. Recognising that
great deal to look forward to as we deliver on our ambition to be a better we are stronger together, our strategy sets our sights on the horizon,
regulator that is focused on a fair and safer transport system for all. identifying key priority areas for bringing discipline and focus to our
regulatory practice.
SIR BRIAN ROCHE KANE PATENA
Chairman of the Board General Manager Regulatory Services
2 WAKA KOTAHI Tū ake, tū māia REGULATORY STRATEGY 2020-2025 3
Contents
Te Rārangi Kaupapa
Introduction 06
Strategic intent 09
Our purpose and regulatory role 12
Our regulatory world 14
Regulating the land transport system 16
Keeping pace with change 18
How we work: a real-world regulator 19
Grounded in te ao Māori, underpinned by good practice 20
Applying good practice 22
Connected relationships for a safe system 24
Key capability shifts 26
Road map 2020–25 30
Key actions across the areas we regulate 32
Titiro whakamuri, kŌkiri whakamua 36
REGULATORY STRATEGY 2020-2025 5
Introduction
Kupu whakataki
Each week, around Titiro whakamuri, kōkiri whakamua
Looking back and reflecting on our past
Titiro whakamuri – looking back
In 2018, a car crash turned fatal when
Kōkiri whakamua – looking forward
We are at the beginning of our journey
Our transformation
seven people to guide us into the future. the passenger’s frayed seatbelt failed. to transform Waka Kotahi into one of is an ambitious
This was our catalyst for change. New Zealand’s most effective regulators.
die and 50 are In the traditional Māori knowledge system, everything is
connected and interrelated. The land transport system Independent reviews of Waka Kotahi NZ Transport Agency We will build trust and confidence in our ability as the lead land
undertaking. We
seriously injured on plays a vital role in safely connecting people and communities
to enable economic, cultural and social wellbeing. As the
identified systemic deficiencies in the way we delivered
regulatory services.
transport regulator. are dedicated
to rising to the
We are committed to building our capability and preparing for
New Zealand’s lead land transport regulator, we make sure that people
understand and comply with transport rules, to keep
Our role as a regulator lacked clarity, mandate and consistency. the future. From 2020 to 2025 we will focus our effort on five
challenge and
Reviews found that Waka Kotahi had neglected key interconnected capability shifts that cover the full scope of our
roads and railways. themselves and others safe.
stakeholder relationships with those who deliver regulatory regulatory role.
achieving our
The way we work is critical to achieving our regulatory purpose. services. They highlighted the need to clarify that the primary
This has to change. Our strategy draws on lessons of the past to guide a new way role of third-party agents (like vehicle testing stations) is to
Centralised and independent
vision of:
of working. Honouring our commitment to Māori and Te Tiriti regulate on behalf of Waka Kotahi.
o Waitangi, our approach is grounded in te ao Māori and
We know that in order to address these issues, we can’t just regulatory services
underpinned by good regulatory practice.
make a few adjustments. We need to commit to fundamentally The Land Transport (NZTA) Legislation Amendment Bill,
changing how we regulate. We need to focus on our core
regulatory purpose and good regulatory practice.
currently before select committee, will be critical to the delivery
of this strategy. It will set up a new regulatory framework with A safe, fair and
Over the last year, we have:
• addressed the outstanding backlog of cases
greater regulatory oversight and stronger regulatory tools, and
it will establish the position of Director of Land Transport with sustainable land
• established a separate Regulatory Services Group
clear and independent accountabilities for delivering regulatory
services. In parallel, we need sustainable funding to ensure we transport system
for everyone.
(Te Rōpū Waeture) have the capability and capacity to deliver on our strategy.
• strengthened governance of our regulatory function We are progressing a funding and fee review to be submitted
• addressed urgent gaps and stabilised our regulatory to Cabinet in the next 12 months.
functions.
6 WAKA KOTAHI Tū ake, tū māia
Strategic intent
He whāinga rautaki
We will continue to focus on our core Tū ake, tū māia also sets out:
regulatory purpose and doing the basics
• f ive key capability shifts, which identify where we
well, while aspiring to best practice will be directing our effort over the next five years
regulation. to improve culture, productivity and performance as
a regulator
Our strategy – Tū ake, tū māia – is aligned with wider
government strategies, including the Government Policy • high-level outcomes we will deliver for the areas
oing the right
D Statement on Land Transport, the road safety strategy:
Road to Zero, the Waka Kotahi 10-year plan: Arataki •
of the land transport system we regulate
t he focus areas and risks we will target as we build
things, at the and our Māori strategy: Te Ara Kotahi. our regulatory system.
right time, for Tū ake, tū māia draws on the lessons of our past
and learnings from others, to provide a new direction This strategy will help to provide:
the right impact. for the future. Tū ake, tū māia describes:
• focus – so that we are clear about our priorities
• our role as the lead regulator of the land transport and can target our effort for the greatest impact
system
• a shared understanding of our principles and
We will evolve • key challenges that influence the choices we make
as a regulator now and into the future
the way we work, which provide the foundation
for our regulatory approach
to be risk-based, • ow we work, with principles grounded in te ao
h
Māori and an approach underpinned by good
• c larity on the outcomes we are working to achieve
and our staged approach for delivering them.
intelligence-led •
regulatory practice
our relationships, which are critical for lifting the
and responsive. regulatory performance of the land transport system.
REGULATORY STRATEGY 2020-2025 9
OUR HOW WE WORK AS A CAPABILITY SHIFTS OUR OUR
PURPOSE REAL-WORLD REGULATOR 2020–25 VISION GOAL
To ensure the system is We are grounded in
te ao Māori
Our regulatory approach is firm and fair,
applying principles of good practice
Advancing strong
governance and A safe, fair, Waka Kotahi and
accountability
safe, effective, efficient and sustainable land New Zealand Police
functions well for everyone WHAKAPONO
We are a system leader
with oversight of all users Leading regulation transport system partner to contribute
through trusted and
in New Zealand. Integrity valued relationships
for everyone. to a 40% reduction
Delivering robust and
in deaths and serious
We are risk-based and
MANAAKITANGA
focused on harm prevention consistent regulatory
decision-making injuries by 2030.
Caring for people
BEING A REAL-WORLD REGULATOR MEANS:
Inspiring a thriving
• we take a systems view that is focused on improving regulatory culture and
We are responsive courageous people
safety outcomes and reducing harm and forward thinking
WHANAUNGATANGA
• we work to understand why people behave the way Relationships
they do and are pragmatic in how we respond Improving technology,
intelligence and
• we engage and educate to support people to comply, practices
and enforce compliance when necessary. We are informed by
KOTAHITANGA evidence and intelligence
Unity
Our purpose and regulatory role
Tō mātou aronga, ā mātou mahi waeture
We need to constantly scan the horizon to Ā tātou mahi waeture Governance of our regulatory function
anticipate challenges and opportunities, Waka Kotahi has transport regulatory responsibilities Waka Kotahi has three core roles – to plan, manage and
adapting our regulatory response accordingly. under the: maintain the state highway system (infrastructure builder);
• Land Transport Management Act 2003 to manage funding of the transport system (funder); and to
Waka Kotahi NZ Transport Agency manage regulatory requirements for land transport (regulator).
• Land Transport Act 1998
Our road and rail system shapes how people and products These three roles have different responsibilities with inherent
move around and how communities connect. It enables • Railways Act 2005
tension between them that require active management when
New Zealanders to access work, school and recreation. It • Government Roading Powers Act 1989 we are making decisions.
supports economic activity through the movement of freight • Road User Charges Act 2012. We manage this tension through strong governance oversight.
and connects businesses with customers.
This includes appropriate independence; clear and transparent
We are the lead regulator for land transport, promoting a safe, decision-making processes; effective assurance and reporting;
efficient and effective land transport system that operates in
Leading and influencing system performance good management practices; and specific funding mechanisms
the public interest. Our other core functions include investing In our regulatory role, we monitor ongoing performance for each function. Our board’s regulatory subcommittee
in land transport activities and managing the state highway and advocate for opportunities to improve the regulatory provides focus and priority for the regulatory function.
network. framework and settings.
Governance will be further strengthened if Parliament enacts
We contribute to ensuring that rules are simple, clear and legislation in 2020 to establish a Director of Land Transport
fit-for-purpose, and provide an environment for straightforward with statutory independence for regulatory decision-making
regulation. We constantly ask if the regulatory settings are at Waka Kotahi.
right and work with others to enable us to respond to future
changes in the land transport system.
12 WAKA KOTAHI Tū ake, tū māia
REGULATORY SERVICES
There are millions of regulatory actions undertaken every year by Waka Kotahi and our delegated regulatory agents.
Our regulatory world
Tō mātou nei ao waeture 3.5m 5.2m 10,000+ 6.8m
licensed vehicles delegated vehicles inspected
drivers registered regulatory agents each year
What we regulate 36m passenger journeys and 17m tonnes of freight moved on the rail network.
The land transport system is extensive and complex.
Waka Kotahi has a leadership role in ensuring rules and
regulations are fit-for-purpose and allow people to operate
safely.
The functional areas we regulate:
Our functional areas of regulation and responsibility
• System performance and integrity: systems design,
regulatory settings and capability.
• Drivers: road user behaviour, driver licensing and load
restraints. Global forces
• Vehicles: classification and standards, motor vehicle
registration, dimensions and mass, entry certifications,
influence our Systems
integrity
Drivers Vehicles Commercial
operators
Network
management
Rail Revenue
in-service certifications, warrant of fitness (WoF) and
certificate of fitness (CoF) providers and specialist certifiers
regulatory system
such as heavy vehicle certifiers. Transport contributes more
• Commercial operators: operator licensing, driver than 20% of greenhouse Education, engagement, enforcement
restrictions, dangerous goods, driving hours and logbooks,
and passenger endorsements.
emissions globally. We need to be balanced and proportionate in how we use our tools to achieve our regulatory purpose.
A safe, fair and
sustainable land
In 2018, electric vehicles surged
• Network management: road and rail network design and in sales by 63% worldwide from
transport system
management, speed limit management, traffic control the previous year.
devices and roading standards. Entry In-service Exit and accountability
We check that people and Some of the regulatory functions of Waka Kotahi are When people, operators or
Between 2020 and 2030, all
for everyone.
• Rail: rail licences, safety cases and safety assessments. vehicles are certified and delegated to other agents – people or businesses. vehicles are making the system
major car manufacturers are licensed to access the land These agents operate as regulators on our behalf unsafe through behaviour, action
• Collection of revenue: road user charges, fuel excise duty,
forecasted to release fully transport system safely. and ensure people comply with the regulations and or inaction, we suspend or
motor vehicle licensing, tolling and regional fuel tax. We are here to ensure you and your
automated, driverless vehicles. maintain a fair system. NZ Police undertake a road revoke their licences or permits
policing and enforcement function. to operate. whānau get around New Zealand
safely – however you choose to travel.
Road user charges contribute $2 billion per year
14
to building and maintaining the land transport system.
WAKA KOTAHI Tū ake, tū māia
Regulating the land transport system Education, engagement, enforcement
We need to be balanced and proportionate in how we use our tools to achieve our regulatory purpose.
Te mahi waeture mō te pūnaha waka i te whenua
Entry In-service Exit and accountability
Regulating access to and use of the land transport system Regulation through delegated agents
Authorising entry Monitoring in-service Enforced accountability Some of the regulatory functions of Waka Kotahi are A snapshot of activities undertaken in the regulatory system
compliance or exit delegated to third parties (individuals and organisations)
Waka Kotahi is the gatekeeper for who are authorised to operate as regulators on our behalf.
access to the land transport system. Once people enter the system, we If people do not comply with the rules This includes nearly 550 driver licence course providers, over 250,000 new licences issued 280,000 renewed licences per year 62 Transport Service Licences revoked
People and vehicles can only enter the ensure that they continue to comply and regulations and this threatens the 8000 vehicle inspectors and more than 3,000 inspecting
land transport system if certain criteria with the rules and regulations in order integrity of the land transport system organisations. 87,500 driver licence course 3100 inspecting organisations, over 8,000 appointed 75 immediate suspensions for small
are met. For example: to keep people safe and maintain a fair (for example, an ongoing risk of harm), participants per year inspectors undertaking over 7 million inspections every year
An important part of our role involves appointing, monitoring passenger service operators
• people can obtain a driver licence system. We do this through education, we respond swiftly by limiting (through
and evaluating the performance of our delegated agents to
if they pass tests that demonstrate engagement and enforcement. conditions), suspending or revoking their 160,000 new and used vehicles
ensure that they effectively represent Waka Kotahi when 500,000 heavy vehicle licence holders (class 2, 3, 4 & 5)
licences or permits to operate. pass border inspections per year 53 rail compliance interventions with
they are a competent driver carrying out their regulatory responsibilities. We also support
We review, assess and investigate 21 licence and activity restrictions, 31
• used imported vehicles can only commercial operators and rail system our agents to improve their regulatory performance. 760 regulatory outlets providing face-to-face services statutory safety instructions and a
enter the market after they have participants to make sure that safety and over 11.2 million transactions for driver licences, motor prosecution resulting in a $250,000 fine
been certified as meeting minimum protocols and systems are in place. We vehicle registrations and road user charges (RUC)
standards and are safe to be on our also ensure consistent use of traffic
roads control devices and speed restrictions. 56 million in unpaid road user charges investigated
• commercial transport operators
In partnership with NZ Police we take 92 rail licence holders carrying 36 million
need to demonstrate they are fit and
action against those who do not comply – passengers and 17 million tonnes of freight
proper before they are issued with a
for example, issuing infringement notices
licence
or impounding vehicles.
• vehicle inspectors must demonstrate
a minimum competency before we
A Road Safety Partnership 180,000 enforcement actions for unsafe driving (under the 3,000 immediate roadside suspensions
appoint them to carry out vehicle Waka Kotahi invests over $360 million influence of drugs, alcohol, mobile phone use or no seatbelt) for unsafe speeds
checks and issue WoFs and CoFs. in road policing activities every year to
improve safety. NZ Police delivers the 1.3 million infringement notices issued in 2019 for unsafe 19,000 driving offences resulting in court
Road Safety Partnership Programme. speeds proceedings
*Data sourced from Motor Vehicle Register, Drivers Licence Register and NZ Police for 2019.
16 WAKA KOTAHI Tū ake, tū māia REGULATORY STRATEGY 2020-2025 17
Keeping pace with change How we work: a real-world regulator
Huri te ao, huri te tikanga Ā mātou mahi: hei waeture ‘motuhake ā-ao’
We need to prepare for future challenges innovative business models and approaches: including
• As a ‘real-world’ regulator, Waka Kotahi will We will be a decisive regulator, but engage
‘Mobility as a Service’ and other new business practices
such as global trends, advances in technology be firm and fair in our regulatory approach. respectfully
potentially requiring regulatory oversight, such as
and increasing demand on the land transport multi-modal transportation and ridesharing
We will do the right thing, at the right time, As the lead transport regulator, our role demands that we
system. for the right impact. respond swiftly and take decisive action in the public interest.
data management and cyber security issues: with an
•
We will ensure the land transport regulatory system is safe, fair
To maintain a safe system through times of change, we increased volume of data about drivers and vehicles. The Regulating in the real world and sustainable, and functions well for everyone in
need to work on all aspects of the system and draw on our potential for this data to be shared raises privacy concerns
We will bring clarity and understanding to a complex regulatory New Zealand.
regulatory levers in an integrated way. By being a risk-based legislative and regulatory challenges: related to new
• system and ensure that all involved are accountable. Effective
and intelligence-led regulator, we drive and influence changes vehicles, technologies and business models. For example, At the same time, our engagement with communities, entities
regulation contributes to the economic and social wellbeing of
in the regulatory framework to ensure it is fit-for-purpose and autonomous vehicles create uncertainty around liability in and individuals, while decisive, will be consistent with our
New Zealand, and supports our communities to thrive.
keeps pace with change. We continue to respond to major the event of a crash values of whakapono, manaakitanga, whanaungatanga and
trends and challenges, such as: We will constantly drive improvements in rules and standards kotahitanga.
• isasters and emergencies: the Covid-19 pandemic and
d to reduce the compliance burden and ensure we achieve our
new and emerging technologies: electric cars, e-scooters,
• natural disasters like earthquakes can affect our ability to We will engage respectfully to build cohesion and a shared
regulatory purpose. We must be pragmatic and proactive in
autonomous vehicles, intelligent safety features and an effectively carry out our regulatory role. We will continue understanding of what is needed to reduce the risk of harm.
order to achieve the right compliance outcomes.
increasing reliance on software to ensure safety to have a focus on building our resilience.
social and demographic shifts: including a population fast
•
approaching five million and the resulting pressure on our
Stepping up as a real-world regulator
transport infrastructure. Sector-wide, we have an ageing
workforce and major skill shortages We will take a long-term view of business-led technology and
platform revitalisation. Anticipating and responding to the
increased focus on environmental sustainability: climate
•
challenges ahead, critical national assets such as the Motor
change mitigation and adaptation. Reducing emissions will
Vehicle Register and the Driver Licence Register provide
continue to be a priority, as transport accounts for nearly
functionality for regulatory system, other regulatory agents
20% of New Zealand’s total greenhouse gas emissions
such as the NZ Police and many commercial businesses.
Smart systems and the right investment will enable us to
effectively target areas of greatest risk, deliver efficient and
fit-for-purpose services and make it easier for people to comply
through enhanced usability and integrated information.
18 WAKA KOTAHI Tū ake, tū māiaGrounded in te ao Māori, underpinned by good practice
Te whakaū i ngā tikanga Māori, e pūmautia ai mā te mahi pono
Our regulatory WHAKAPONO MANAAKITANGA WHANAUNGATANGA KOTAHITANGA
Integrity Caring for people Relationships Unity
approach will
demonstrates the highest is an expression of respect refers to lines of kinship, occurs when people pool
be firm and fair, levels of integrity, trust and and genuine interest in connections and shared their resources together
applying principles honesty. During difficult the welfare of others. We experiences that provide to achieve a common
will serve others for the
of good practice times, a person with
whakapono is seen to remain betterment of Aotearoa
a sense of belonging.
It includes reciprocal
purpose or goal. It is an
opportunity to strengthen
stable and considered. New Zealand. We will rights and obligations. whanaungatanga –
As a regulator, we will act protect people from harm. We will develop good relationships. As the
with consistency in our Manaakitanga will underpin working relationships lead land transport
commitment to others, our way of working, as even with a wide range of regulator, we will have an
fronting up to any situation, our approach to enforcement participants across the important role in fostering
no matter how difficult. should be based on mutual land transport regulatory kotahitanga between
In this way, we will retain respect and caring for people system. Whanaungatanga regulators and industry
our mana as an organisation at risk of harm through is essential for effective to lift the performance
that can be trusted. non-compliance. regulation. of the land transport
regulatory system.
We are a We are risk-based We are We are
system leader and focused on responsive and informed by evidence
with oversight harm prevention forward-thinking and intelligence
of all users
20 WAKA KOTAHI Tū ake, tū māiaApplying good practice
He whakaū i te mahi pono
Education
As we build this new way How our approach informs the use of our A balanced and proportionate regulatory Engagement
of working, we will ensure We can’t eliminate all We will implement a robust regulatory tools approach
that the basics are done risks, but we can work to framework that allows us to
We balance the diverse needs and interests We need to be balanced and proportionate in how we use our
well, carrying out the understand and reduce them. understand risk and deal with tools to achieve our regulatory purpose.
immediate issues as well as
of a wide range of parties through a core set
fundamentals of good We will target our efforts
of regulatory tools. Being firm and fair means This means we will be more proactive in identifying and dealing Enforcement
We are a We are risk-based to where we can have the their underlying causes.
regulatory practice. that we use the right tools at the right time. with non-compliance, taking a firmer stance and responding
system leader and focused on greatest positive impact. swiftly to mitigate the risk of harm. People and organisations
Over the next five years and beyond, with oversight of harm prevention We will ensure that we have a competent team who use an can expect to see increased regulatory scrutiny.
we will evolve and mature as a all users effective decision-making model, with clear delegations for We will lift our engagement and continue to educate so people
real-world regulator, lifting making regulatory decisions. understand what they need to do to be safe and compliant. Education
our regulatory performance. We monitor the whole
We will work collaboratively with organisations that have We will provide information and guidance so that people
regulatory system including
Safety is a shared responsibility We make considered and Right tools, right time, right impact significant influence in the land transport sector towards the and organisations know what is required of them and why
our performance within it. We have a range of tools we use to encourage or require people
and we want people to adopt transparent decisions in context. goal of a safe land transport system. it is important – so ‘getting it right’ is easier. Education can
As a leader, we influence to comply with the laws, regulations, rules and standards
safe behaviours. To help people We assess the level of risk, the As an evidence-based and intelligence-led regulator, we will range from broad campaigns through to our frontline staff
how the system is set necessary to ensure high levels of safety.
do this, we use a range of levers attitudes and behaviours of those make better use of data to identify where the risk of harm is working directly with individuals.
up and manage how we
We are and tools in a balanced and who don’t comply and what is in We will use the right tools at the right time. These are not a greatest and target our regulatory attention accordingly.
regulate, advising if a Engagement
proportionate way. the public interest.
change to design is needed. responsive and suite of graduated actions – we will enforce immediately if that We will measure our performance and adapt our approach to
is what is required. We will engage with a wide range of stakeholders,
We are people-focused in forward-thinking ensure the use of regulatory tools has the greatest impact.
industry groups, regulated parties and other government
Most people want to comply with rules and regulations and we
everything we do. We work organisations, and pool our resources to improve our
need to support people to get it right. Ideally, everyone would
hard to understand who regulatory settings for the right outcomes.
comply, but in reality people make mistakes, and some take
we are regulating and the
reason for their behaviour Our decisions are based on good We continually reflect and learn deliberate risks that may cause harm to themselves and others. Enforcement
data and insights, so that we are so we can keep up with change Harm is never okay. When people take risks that are unacceptable, we will
in order to deliver the
best impact. well informed when we respond and be innovative in how we can respond with enforcement. Our enforcement tools range
to risk. We use our insights to best achieve the right regulatory from infringement notices, through to prosecutions or
We front-foot issues
drive fit-for-purpose changes to outcomes. removing operators or drivers from the system. We will
before they become We are informed
the system, including rules and hold people to account for the harm they have caused.
problems. by evidence and
standards.
intelligence
22 WAKA KOTAHI Tū ake, tū māia REGULATORY STRATEGY 2020-2025 23NZ Police
Connected relationships for a safe system NZ Police is a key partner in keeping
people safe on our roads and railways.
Ngā hononga whanaungatanga hei pūnaha whakahaumaru We will collaborate on road and rail
Delegated agents
We have important relationships with
safety, education and enforcement.
delegated agents who are acting on
behalf of Waka Kotahi. We will work
closely with agents to improve their
Responsive regulation means we can’t achieve regulatory performance.
the right safety outcomes by acting alone. Government organisations
Achieving a safe land transport system is a Global connections
We will work with other government
shared responsibility. We will develop and maintain organisations including ACC,
our global connections to the Transport Accident Investigation
Waka Kotahi has a responsibility to work effectively with others
to keep people safe. We value our relationships with those
continuously improve and
innovate as we mature in our
Lead regulator for the Commission and WorkSafe.
Industry groups
Industry representatives such as
Public of New Zealand
Public engagement will
who help us regulate. We will encourage all regulators to work
cohesively, to jointly lift the performance of the land transport
regulatory practice. land transport system the National Rail Industry Advisory
Forum and the Road Transport Forum
enhance the visibility
of our regulatory role
regulatory system. have significant influence in the land and increase public
Working together, we can avoid duplication of effort and pool An effective regulatory system relies transport sector. We will collaborate confidence in our
Māori engagement
resources to maximise our impact. We can also share examples
of innovation and good regulatory practice and gain valuable
on everyone contributing to keep We will explore opportunities to
with industry bodies to better achieve
safety outcomes.
ability as an effective
regulator.
insights. Our relationships will be underpinned by our te ao Ministry of Transport New Zealand safe. collaborate with Māori on initiatives
Māori principles and good regulatory practice. that improve Māori road safety,
The Ministry of Transport
We will work closely with the Ministry of Transport, keeping including driver licensing initiatives.
is responsible for
them informed of critical issues to support their stewardship of preparing changes to Waka Kotahi plays a vital role in Regulated parties (users)
the transport system. This will include providing insights and
advice to support the ministry’s development of transport policy
the legislation and is
the steward for the
strengthening engagement and We will engage with regulated
parties and others directly affected
and changes to legislation. transport system. alignment with other regulators and Regional, district and city councils and by rules and practices, considering
key industry groups. road controlling authorities (RCA)
Councils and RCAs are important partners
their perspective and experience of
regulation. This includes all users of the
in regulation of roading design and land transport system.
implementation for road safety, speed limit
setting and traffic control devices.
24 WAKA KOTAHI Tū ake, tū māiaKey capability shifts Advancing strong governance Leading regulation through
Ngā āheinga matua hei whakapakari and accountability trusted and valued relationships
Our key capability shifts will bring a focus to good regulatory practice Our transformational change depends on strong Our transformational change depends on us leading
so that we can target our effort for the greatest impact.
We have identified five key capability shifts that will support the delivery of our strategy from 2020 to 2025.
These are interconnected and cover the full scope of our regulatory role. They involve all our people, from our
1 STRONG GOVERNANCE
& ACCOUNTABILITY
governance and accountability. We need to ensure
that ministers and the public have confidence in
our ability to operate as an effective regulator.
an integrated regulatory system through trusted and
valued relationships.
What we are aiming to achieve
Waka Kotahi board through to our frontline people, as well as our stakeholders in the land transport sector.
2
What we are aiming to achieve In line with our core values of whanaungatanga and kotahitanga, we engage
These capability shifts are interdependent. Improving technology, intelligence and practices will help to TRUSTED & VALUED Strong governance and accountability is achieved through effective and collaborate with others in the land transport system in order to share
achieve robust and consistent decision-making, which will support strong governance and accountability. RELATIONSHIPS oversight of the regulatory function by the Waka Kotahi board. Accountability information, build trust and target risks effectively.
Trusted and valued relationships will encourage information sharing and improve intelligence capability. A
thriving regulatory culture and courageous people will strengthen all aspects of business and interactions. cascades through the regulatory system from the board and executive
Current areas for stage 1: 2020–22
3
leadership right through to our frontline teams. Our strategic direction and
It is people, it is people, it is people. • ork closely with delegated agents to set clear expectations and
W
ROBUST & CONSISTENT priorities are clear, we measure our performance effectively and we advocate
These five capability shifts will support us as a transparent and accountable regulator, and help us to for the resources required to deliver our key capability shifts. improve their regulatory performance.
achieve our overarching outcome:
DECISION-MAKING
• ork with NZ Police, WorkSafe and Ministry of Transport to improve
W
Current areas for stage 1: 2020–22
how commercial vehicles and operators are regulated.
Waka Kotahi and NZ Police partner
4
• nsure board and senior leadership have strong regulatory experience
E
• nderstand and engage with industry groups who participate in or
U
and engage directly with our regulatory functions.
to contribute to a 40% reduction in THRIVING REGULATORY CULTURE
& COURAGEOUS PEOPLE • Appoint Director of Land Transport (if legislation is passed).
•
influence the land transport system.
ctively participate in the Government Regulatory Practice Initiative
A
deaths and serious injuries by 2030 • Regular board reporting on regulatory performance and systems risk. (G-Reg) network.
5
• evelop a new operational plan (including resourcing and funding
D • Re-establish and strengthen our international connections.
It will also support the achievement of other key outcomes: requirements) to support the implementation of our strategy.
INNOVATIVE TECHNOLOGY How we will measure our progress
Higher levels of compliance measured by detection of non-compliance, appropriate action and audits.
• • ffectively manage the tensions between our three core functions within
E
& INTELLIGENCE • Regular reporting of industry engagement.
Waka Kotahi.
• I mproved capacity and capability to deliver our regulatory functions measured by technology
• I mplement a transparent, robust and equitable funding regime to • Annual review of (Waka Kotahi, NZ Police and Ministry of Transport)
investment, appropriate staffing and sustainable funding.
improve system performance and sustainability. joint activities.
• I ncreased trust and confidence in our abilities as an effective regulator measured by the Waka Kotahi
board’s transparent and deliberate independent regulatory performance, and stakeholder surveys that How we will measure our progress
recognise Waka Kotahi as a firm and fair regulator.
• Director of Land Transport appointed (if legislation passed).
• F orward operational targets agreed and supported with milestones
and regular reviews.
26 WAKA KOTAHI Tū ake, tū māia REGULATORY STRATEGY 2020-2025 27
• Regular independent review of governance and accountability reporting.Delivering robust and Inspiring a thriving regulatory Improving technology,
consistent decision-making culture and courageous people intelligence and practices
Our transformational change depends on providing clear Our transformational change depends on inspiring Our transformational change depends on building
delegations and high-quality support, guidance, mentoring and maintaining a thriving regulatory culture and capability to support our risk-based, intelligence-led
and training for regulatory people and delegated agents. courageous people. approach by investing in technology that supports the
effective capture and use of data and information.
What we are aiming to achieve What we are aiming to achieve
We ‘walk the talk’ and our people are supported and inspired to make What we are aiming to achieve
We exemplify integrity – whakapono – in our decision-making.
Our decision-making and that of our delegated agents is a positive difference every day. By building effective regulatory capability, Effective regulation is delivered through adaptive and innovative people,
transparent, effective, timely, consistent and proportionate. fostering an understanding of te ao Māori, and valuing diversity in processes and platforms. In the short term, we will develop the right tools
thought, backgrounds and technical knowledge, we inspire a thriving to support improved regulatory practices. In parallel, a system revitalisation
Current areas for stage 1: 2020–22 regulatory culture. programme will be developed, preparing Waka Kotahi for digital business
• evelop and implement clear delegations and an effective
D Current areas for stage 1: 2020–22 models, regulation of automated vehicles and driverless systems, cyber
decision-making framework. security and greater connection and alignment internationally.
• evelop a new regulatory operating model that clearly sets out our
D
• raining and mentoring to support our people and agents to make
T purpose and responsibilities for functional areas of regulation. Current areas for stage 1: 2020–22
robust and consistent decisions. • reate a leadership culture that role-models speaking up when a
C • Build capability to support our risk-based, intelligence-led approach.
• ffective monitoring, reporting and publishing of decisions, to
E problem is identified.
• rioritise investment in technology that supports accurate data and
P
encourage the right behaviour and a fair playing field. • evelop clear guidelines, policies and delegations for our people who
D information.
• I mplement a risk and assurance framework to improve regulatory exercise regulatory judgment and make decisions.
• Upskill our people to ensure that insights inform our decision-making.
decision-making. • evelop and implement a people capability programme and
D
• evelop technology solutions that can be integrated with other
D
• evelop transparent policies, processes and procedures for our people,
D succession planning across the regulatory system.
government organisations.
delegated agents, partners and stakeholders. • F oster continuous improvement and innovation as a progressive
• nsure our guidance and processes are fit-for-purpose and responsive to
E
How we will measure our progress learning organisation.
the changing environment.
• Report progress on regulatory compliance cases. How we will measure our progress
How we will measure our progress
• Report on regulatory performance by delegated agents. • egular surveys to test engagement, clarity of roles and
R
understanding of responsibilities. • Regular reviews of our data needs and quality.
• Report audit findings and progress on recommendations.
• vidence that problems are raised, discussed and resolved,
E • onitoring the level of service provided by our systems and processes,
M
with learnings regularly shared for all our people. supported by a lean improvement process.
• egular surveys of people who have interacted with Waka Kotahi
R • onitoring progress against milestones in a regulatory technology
M
regulatory functions. solutions road map.
28 WAKA KOTAHI Tū ake, tū māiaRoad map 2020–25
Te mahere 2020-2025
GETTING THE STAGE 1: BUILDING A STAGE 2: EVOLVING IN STAGE 3: EXPANDING
CAPABILITY
BASICS RIGHT NEW WAY OF WORKING MATURITY AND PERFORMANCE FOR A NEW FUTURE
SHIFTS
2018–20 2020–22 2022–23 2023–25
We moved quickly • Strategy – in place
STRONG to address areas of • Operating model – in place • Mechanisms to measure, review, report
regulatory failure and to • Functional decision-making – • Capability (gaps reducing) – improving and continuously improve regulatory
GOVERNANCE & developing • Resourcing for stage 3 – in place performance, effectiveness and system
understand the causes
ACCOUNTABILITY of that failure. • Effective governance – in place performance – in place
Key actions over the
past 18 months have
included: • Relationships and engagement with • Industry confidence in the leadership and
• Behaviour and regulatory approach
TRUSTED & VALUED • Waka Kotahi industry groups – improving
positively influences regulated parties
delivery of regulatory services – in place
RELATIONSHIPS board regulatory • Collaboration with regulatory
– progressing
• Collaborative approach with regulatory
subcommittee partners – developing partners – in place
– in place
• senior leader • Decision-making framework
ROBUST & regulatory expertise – in place • Performance reporting of transport
– improving
CONSISTENT • Policies to assist decision-making and public safety benefits from our • Continuous improvement – in place
DECISION-MAKING • Waka Kotahi board – in place regulatory practice – in place
focus on regulatory • Decisions published – in place
risk – developing
• Coherent, respected and understood culture
THRIVING • backlog of regulatory
of success – in place
compliance cases • Conversations are open, transparent
REGULATORY • Wide network of people with diverse • Transparent and trusted by government and
– completed and upfront – developing
CULTURE & • Enduring and open culture – developing
technical knowledge and backgrounds public – in place
• relationships with – in place • Our people are skilled and well supported to
COURAGEOUS regulators, particularly exercise judgement – in place
PEOPLE NZ Police – developing • Agile adaptive operating model – in place
• regulatory strategy
developed to provide • Road map for technology investment • Risk-targeted approach/framework –
INNOVATIVE direction for the future • Purposeful, structured approach for
- developing in place
TECHNOLOGY & – approved. • Data and insights support business • Integrated technology capability –
supporting wider regulatory system – in place
INTELLIGENCE • New, innovative ways of working – in place
decisions – improving progressing
30 WAKA KOTAHI Tū ake, tū māiaKey actions across the areas we regulate
Ngā tukanga matua e hāngai ana ki ā mātou waeture
FUNCTIONAL RISKS WE ARE WHAT WE WILL
This strategy provides a focus for our functional areas to target their efforts and support the achievement of key outcomes, including a significant reduction in deaths and serious injuries. WHAT WE WILL BE DOING OUTCOMES
AREA TARGETING FOCUS ON
FUNCTIONAL RISKS WE ARE WHAT WE WILL DRIVERS x I mproving existing processes for drivers to enter the land
WHAT WE WILL BE DOING OUTCOMES transport system
AREA TARGETING FOCUS ON Our regulatory approach does
not keep pace with increased Developing business case for future
x I mproving access for disadvantaged communities, in
Improved access to the land
partnership with other government agencies, NGOs, iwi
SYSTEMS x elivering better system insights for the Waka Kotahi board,
D user demands to access the licensing services
and local councils
transport system
partners and industry system safely
INTEGRITY x eveloping business case and, if approved, implementing
D
x ccelerating development of our risk and intelligence
A digital driver licensing
capability, including better risk information for licensing and
We do not sufficiently Clearer picture of system risks,
monitoring functions
understand our environment so Accelerating risk and intelligence and improved ability to target Monitoring heavy vehicle drivers x perationalising and enhancing education and monitoring
O
that we can focus resource on capability x I mplementing a regulatory management system with risk our resources for the best Commercial vehicle drivers working for commercial operators of class 2–5 heavy vehicle licensed drivers and those
areas of greatest risk and case management functionality impact who are not fit and proper holding passenger endorsement licensed drivers Safer drivers working for
are driving for commercial Responding to risk of harm from commercial operators
x Implementing mobility solutions for field operations commercial drivers carrying
x ngaging with industry on commercial driver behaviour;
E
operators. particularly around fatigue and the use of advanced driver
x pgrading or replacing driver licence and
U passengers fatigue management systems
motor vehicle registers
x Delivering process review and implement improvements Course providers not meeting Quality, competence and behaviour x uditing course providers and testing officers to ensure
A All new drivers have the required
Regulation is out of date or not Making it easier to comply with required standards resulting in of course providers and testing the robustness and integrity of courses are being experience, knowledge and skills
x eveloping better system and user insights to improve how
D
improved guidelines, standards unsafe drivers on the roads officers maintained to be driving on NZ roads
fit-for-purpose we operate
Streamlining processes to make and rules
compliance easier, while ensuring x I nforming and influencing policy and rules programme (led
We are not clear on what Clarity about how our regulatory
checks are robust by Ministry of Transport)
problems we are aiming to interventions solve problems in VEHICLES x orking with industry and across the sector to help
W Vehicles in the NZ fleet
address through regulation Shortage of specialist and Attracting and retaining certifiers address skills shortage, and establishing formal
x nsuring that system improvements are implemented
E the system meet safety and compliance
effectively internally and through delegated agents in-service certifiers and engineers into the industry arrangements with industry partners for specialist
certification industries requirements
Establishing a regulatory Ministers and the public can
Decisions made by Waka Kotahi Responsive regulatory
are inconsistent and fail to take
decision-making framework x I ntroducing decision-making framework and reviewing all have confidence that road and
Vehicles entering the NZ fleet
Improving IT systems and x trengthening border and entry certification systems
S
framework provides assurance of
to ensure transparency, delegations of authority rail regulatory decisions are processes to manage the entry of and processes, and completing appointment process for
into account relevant factors are not properly certified certification process of imported
independence and consistency robust vehicles into the NZ fleet border inspectors and entry certifiers
vehicles
Our funding and fees model is x ndertaking comprehensive funding and fee review and
U x I ndustry partnership programmes targeting high-risk areas
More effective and equitable In-service inspections are Focusing education campaigns Effective and consistent
unsustainable and fails to reflect Regular monitoring and review of consult 2020–21 for education initiatives and process improvements
funding model for land transport not completed to standard, with industry groups on reinforcing compliance monitoring and
how people participate in the funding regime x stablishing capability to manage our funding model and
E resulting in unsafe vehicles on expectations and improving intervention to improve the
system
regulation x ransparent and clear standards that set expectations that
T
develop three-yearly review cycle the road compliance enforcement activity will be taken when required safety of the NZ vehicle fleet
32 WAKA KOTAHI Tū ake, tū māia REGULATORY STRATEGY 2020-2025 33Key actions across the areas we regulate
Ngā tukanga matua e hāngai ana ki ā mātou waeture
FUNCTIONAL RISKS WE ARE WHAT WE WILL FUNCTIONAL RISKS WE ARE WHAT WE WILL
WHAT WE WILL BE DOING OUTCOMES WHAT WE WILL BE DOING OUTCOMES
AREA TARGETING FOCUS ON AREA TARGETING FOCUS ON
COMMERCIAL x artnering with NZ Police, WorkSafe, ACC and Ministry of
P NETWORK x utting in place a more nationally consistent speed
P
Transport to develop a joined-up view and approach to reducing limit environment for highways and local roads
OPERATORS
Fatal/serious crashes involving crashes Improved commercial Inconsistent approach in National and regional speed
Improving operating standards, the road network regulatory
Delivering the Tackling Unsafe Speeds x ore widespread use of automated speed
M
management plans in place for
heavy vehicles increased 40% operator performance and compliance
from 2013 to 2017 with higher
and monitoring of commercial x ngaging with industry groups to set appropriate standards and
E
safety for all users of the environment
programme
all highways and local roads
operators undertake sector-wide education x I ncreasing coverage of automated heavy vehicle
levels of non-compliance transport system
x ursuing health and safety designation under Health and Safety
P weight compliance management technology
at Work Act
REVENUE Unpaid fees and charges x eveloping and implementing new collection
D
Rail infrastructure and vehicles go undetected and are not management approach (education, engagement and Significantly increased fees and
RAIL actively pursued for recovery, enforcement)
are ageing, increasing the Developing a new system to make it charges compliance
potential for incidents causing x eveloping a continuous improvement plan for our regulatory
D resulting in high levels of easier to comply with fees and charges
debt for individuals and
x I mproving intelligence capability to proactively Reduction in the number of
catastrophic harm processes, tools and guidance identify risks
businesses and a significant Debt reduction entities with RUC debt and the
Passenger demand predicted to x Developing a critical risk strategy
Improved regulatory under-funding of the National x eveloping Road User Charges Compliance Strategy
D amount of RUC debt per entity
increase from 35m in 2017/18 Improving the regulatory
x I mproving our monitoring processes and benchmarking to ability to prevent the risk Land Transport Fund and Debt Management Strategy
to 55m by 2024, putting greater framework for rail safety
ensure more robust oversight of catastrophic harm, and
strain on the rail system Strengthening the governance and effectively managed public
An inadequate regulatory risk management capability of the x L everaging relationships with rail industry bodies, such as the
interactions with the rail
rail sector National Rail Industry Advisory Forum
framework, unclear system
accountabilities and an x eveloping a fit-for-purpose funding model for the rail safety
D
unsustainable funding model regulator, and working with Ministry of Transport to deliver a
mean that unsafe practices may funding solution
not be addressed in time to
prevent harm
34 WAKA KOTAHI Tū ake, tū māia REGULATORY STRATEGY 2020-2025 35Titiro whakamuri, Kimihia te kahurangi;
kōkiri whakamua ki te piko tōu mātenga,
ki te maunga teitei.
As we implement Tū ake, tū māia, we are guided, but not
constrained, by our past – titiro whakamuri, kōkiri whakamua.
Seek that which is
Tū ake, tū māia is underpinned by good regulatory practice, signalling
a future culture of rigorous regulatory oversight.
most precious;
Stepping firmly into our role as the system leader, we will contribute if you must bow
your head, let it be
to a safe, effective and efficient land transport system in the public
interest. Building our capability to turn data into intelligence, we will
target our resources for the greatest impact. Our firm and fair stance
will apply the right regulatory response at the right time – we will
lift our engagement, continue education so people understand what
to a lofty mountain.
they need to do to be safe, and exercise our enforcement function for
the right impact.
Looking to the future, we aspire to be the regulator that others look ‘At the heart
to for a model of ‘how to do it right’. We are bringing a uniquely of my report is the
Aotearoa flavour to our regulatory role, reflecting our obligations as a
recommendation that
Crown entity under Te Tiriti o Waitangi.
Waka Kotahi return to first principles –
We have a clear goal – we are on the Road to Zero, reaching for
that is, focus on its core regulatory purpose,
something fundamental and aspirational. Now is the right time for us
to rise to the challenge and meet the ambitious targets we have set.
namely to undertake its functions in a way
that contributes to an effective, efficient and
safe land transport system in the public interest
Waeture tū ake! Waeture tū māia!
and work to develop a culture that facilitates and
encourages rigorous regulatory oversight.’
Kristy McDonald, ONZM QC
36 WAKA KOTAHI Tū ake, tū māiaYou can also read
