Setting the Scene

The Health and Safety at Work Act 2015.

The Health and Safety at Work Act (HSWA) 2015 covers all workplace risks in NZ, not just TTM. This law applies to everything, from working at heights to handling chemicals and using machinery. Organisations have systems and standards to ensure people are safe in all these areas. TTM is no different.

Navigating the Change

If you’ve got this far, you’re likely thinking, “Yes, we need TTM as part of our work.” You might also be wondering, “This seems like a significant change, where do I start?!”
That’s where we come in. We’re here to help you figure out where to begin. Instead of jumping straight into the big question of “How do we do TTM now?” Let’s break it down into more manageable topics:

1. What standards do we follow to ensure we’re doing it right?
2. What systems and processes need to change?
3. What about training and the capability of my staff to handle this now?
4. What about my clients, sub-contractors, and the council (or NZTA)?
5. Who will we be answerable to regarding TTM?
   

What standard(s) do we need to follow to know we are doing it right?

Key Legislation: the Health and Safety at Work Act 2015

The Health and Safety at Work Act 2015 (HSWA) is the main law for workplace safety in NZ, including TTM. There are lots of expectations as part of that legislation, but let’s highlight four that are critical in TTM:

Other Relevant Laws and Regulations

Land Transport Act 1992

The Land Transport Act (LTA) 1992 and its regulations cover road user rules, traffic control devices, speed limits, and more. TTM work, being in the road environment, must comply with these rules. Both the HSWA and the LTA are equally important and must be followed.

Health and Safety Regulations

The Health and Safety at Work (General Risk and Workplace Management) Regulations 2016 are also relevant to TTM. They require PCBUs to:

• Identify hazards (s.5)
• Apply the most effective controls first (Hierarchy of Controls) (s.6)
• Review control measures to ensure they are working (s.8)
• Maintain effective control measures to keep risks as low as reasonably practicable.

What about ‘Industry Guidance’?

What are these things called Practice Notes?

Practice notes are guidelines for common TTM activities, approaches, or processes. They describe how risk can be managed at a common activity or problem/system level, unlike a Traffic Management Plan (TMP) which describes how risk is managed at a site level.

Practice notes will eventually cover a wide range of activities such as cycle races, waste collection, surveying, and emergency responses, each with different risk profiles. Factors like activity duration, location, and public interaction influence these profiles.

There are some published practice notes already, like those from Survey and Spatial New Zealand (covering land surveying) and from Civil Contractors New Zealand (CCNZ) (covering Vulnerable Road Users).

These notes help organisations document and follow good practice, tailored to their specific contexts. They are a key tool in determining what might be ‘reasonably practicable’ in a given situation.

What systems and processes do I need?

At its core, TTM is about managing risk. Many organisations already have strong risk management systems, often based on the ISO31000 standard.

Risk Management System

Consider how your organisation identifies, manages, and treats risk at different levels:

1. Enterprise (Organisational) or Governance Level

How does your organisation set risk policies and determine the acceptable level of risk
(risk appetite)?
What processes are in place to manage all types of risk the organisation faces?

2. Operational or Management Level

How does your organisation implement its risk management system?
How are risk assessments conducted and decisions made when risks are identified?

3. Delivery/Execution Level

How is risk managed on a daily basis, especially at individual sites?
What processes are used to assess and manage risk for daily operations?
Are these processes aligned with the organisation’s overall policies and procedures (and risk appetite)?

Health and Safety System

We have covered the HSWA 2015 already, but specifically from a systems perspective, what do you need to do?

Health and Safety is just one dimension of risk that an organisation must manage – but it has its own specific law (the HSWA 2015). The HSWA sets out minimum expectations for health and safety systems, such as:

• Establish mechanisms to ensure work is designed safely.
• Engage workers in health and safety matters in a deliberate and coordinated way.
• Have methods to report and investigate incidents.
• Ensure there are appropriate procedures in place for emergencies.

What about training and the capability of my staff to do this?

Historical Training and Competency Framework

Since 2001, the CoPTTM has had a “Training and Competency” framework, refreshed in 2021.
This system has been the foundation for TTM training in NZ, issuing ‘warrants’ (licences) for
various roles, such as:

• Traffic Controllers (Historical)
• Traffic Management Operatives (TMOs)
• Site Traffic Management Supervisors (STMSs)
• and others.

These qualifications, administered by NZTA, are renewed every three years and have been the primary method relied upon by organisations to ensure that individuals working on the road are sufficiently ‘trained, instructed, or supervised.’

However, this reliance is often misplaced, as the system is insufficient for meeting the comprehensive requirements of the HSWA 2015 s.36(3)(f).

Transition with the Retirement of CoPTTM

With the retirement of the CoPTTM, the centralised ‘warrant’ system will also disappear. This doesn’t absolve organisations from ensuring their staff have the necessary skills and knowledge to work safely on the roads.

Future of Training: TTM Credentials Framework

The NZ TTM Industry Steering Group (ISG) is coordinating the development of a TTM Credentials Framework through the NZQA system. This will provide some centrality to credentials but will not cover all aspects of competency.

A qualification in TTM, even through the new NZQA framework, doesn’t guarantee sufficient competence for all tasks and duties.

Organisational Responsibilities

Organisations must critically evaluate the tasks, duties, and functions their staff perform. They need to determine the specific skills, knowledge, and capabilities (or supervision) required for these roles.

This process is detailed and nuanced, not something that can be covered by a general ‘licence to operate’.

Employers should develop a detailed understanding of the roles within their organisation, the skills needed for those roles, and deploy training and competency systems accordingly.

This ensures each person has the necessary skills to perform their job safely, without risking harm to themselves or others.

This doesn’t mean that an organisation has to deliver all the training needs of their people. Employers may use external training providers, qualifications, in-house inductions and training, buddy systems, apprenticeship models or many other approaches to generate the skills needed to do their work they do.

What about my clients, sub-contractors, and the council (or NZTA)?

Many organisations are also dealing with this transformation, requiring significant system changes across Road Controlling Authorities (RCAs), NZTA, asset owners, and others to align with the legal framework. It’s not longer sufficient to rely on the CoPTTM as sole evidence of effective TTM.

Current Efforts and Trials

• NZTA is undertaking trials of the risk-based approach to TTM across some of their contracts.
• Auckland Transport has set up a TTM transformation programme.
• Various other organisations are in different stages of exploration or adjustment to the new approach (such as Chorus, PowerCo, and Watercare).

Interdependencies in the Contracting Chain

There are interdependencies across organisations in the contracting chain. If a contractor wants to focus on a more robust risk assessment process to design their TTM environments, there is no entity that can prevent that from occurring. However, in practice, this shift is challenging due to the existing reliance on the CoPTTM.

Collaborative Approach

To move towards a risk-focused TTM approach, you need the willing participation of other PCBUs in the contracting chain. Start with discussions and engagement with these parties:

Health and safety risk management requires consultation, cooperation, and coordination. Engage with other PCBUs to propose a more risk-focused approach to TTM.

Communicate with these parties to explore the administrative or cultural implications of this shift. Change takes time, so begin by presenting your risk management strategy and inviting others to join you.

Avoid this Common Mistake

A common mistake is expecting the RCA to dictate what needs to be done. This abdicates responsibility and misunderstands the RCA’s role.

RCAs are not the arbiters of risk management or the rule-setters for TTM methods. They are another PCBU that must be collaborated with. Start the journey with them by discussing and developing a risk-focused TTM approach together. Don’t wait for them to tell you how to do it.

Who are we answerable to regarding TTM?

WorkSafe NZ: The Health and Safety Regulator

WorkSafe NZ is the main regulator for health and safety in NZ, including work on the roads. If your TTM creates unsafe environments, WorkSafe may investigate to determine if you have breached your duties. Consequences can range from improvement notices to fines or even imprisonment.

Road Controlling Authorities (RCAs): Local Councils and NZTA

Local councils (for local roads) and NZTA (for state highways) are often seen as the ‘police’ of TTM. They hold organisations accountable for safe work on the roads. However, their role is more complex for several reasons:

1.    RCAs are not health and safety regulators

RCAs are not the authority on risk management and do not have the power to instruct or manage risk for other PCBUs.

They cannot dictate how other PCBUs must manage their risks.

2.    RCAs as PCBUs

RCAs are also PCBUs, meaning they have their own duty of care but are no more responsible than other PCBUs.

They must consult, coordinate, and cooperate with other PCBUs to manage risk.

RCAs typically have less influence over the risk since contractors and service providers control how work is done and made safe.

3.   Public Safety Responsibility

RCAs have a legal duty to protect public safety under the Local Government Act 1974 and the Land Transport Management Act 2003. This means they need a voice in managing public risks.

This duty is compatible with the consult, coordinate, and cooperate approach outlined earlier.

4.  Efficient Road Network Management

RCAs must ensure the road network functions efficiently by coordinating activities to avoid excessive disruption.

They do this through a ‘network coordination’ role to prevent multiple contractors from working in the same place (or with compounding impact) simultaneously.

5.  Regulatory Functions

RCAs must approve the use of traffic control devices, temporary speed limits, and road closures. These are regulatory functions to manage access and coordinate the road network.

Historical Role of RCAs

Historically, RCAs have been seen as authorities on whether TTM complies with the CoPTTM.
However, they do not have explicit authority to enforce adherence to the CoPTTM under NZ law. This would impose requirements on other PCBUs for managing their risks, which is not aligned with the HSWA, 2015.

While the CoPTTM is a valuable reference for managing TTM risks and understanding what is ‘reasonably practicable,’ it is not legally enforceable. There is also other guidance available, like newly published practice notes and the Austroads Guide to TTM, which can also inform good practice. 

A Risk-Based Approach to TTM
– give me the short version

In simple terms a risk-based approach to TTM involves three key elements.

Will TTM cost less?

Understanding the costs associated with TTM involves first understanding the three drivers for TTM costs in the first place:

1. Unit rates for TTM resources. This includes the costs for plant, personnel, and equipment used in TTM. Historically, most attention has been given to this component to ‘squeeze’ the cost of TTM.
2. Quantity of TTM resources needed. This is driven by work methodology and the standards being followed. Under the CoPTTM, quantity expectations were well-defined (meaning that how much TTM is required can be ‘fixed’ rather than variable/depending on the situation. This is the biggest area of expected cost fluctuation under a risk-based TTM system.
3. Duration of work/TTM. The total cost is a product of the rates, the quantity of resources, and the duration of the work. The work activity methodology and the efficiency of TTM setup and removal influence the duration.

Potential for Cost Reduction

If the quantity of TTM is no longer a one-size-fits-all approach, it is quite likely that TTM costs will come down. By designing environments where TTM control measures are ‘just the right amount,’ any waste currently present in the system (where we ‘over-treat’ with TTM controls) will be removed, thus reducing costs.

Practical Actions: So what can I do now?

Now that you have some more foundation, it’s time to consider what you are going to do next.

Transitioning to a risk-based approach can involve some practical simple early steps to ensure your organisation is prepared and equipped.

1. Establish a good foundation through risk management and health and safety systems.
2. Design your training and competency needs.
3. Upgrade your processes for designing work and TTM.
4. Connect with adjacent organisations in your contracting chain.

Establish a good foundation through risk management and health and safety systems.

Establishing The Objectives

To begin with effective risk management, it’s crucial to establish clear objectives. According to ISO 31000, risk is defined as the “effect of uncertainty on objectives.” This highlights the importance of having well-defined objectives as the foundation of any risk management process.

Without clear objectives, risk management becomes a directionless task because you cannot evaluate risks properly without understanding their potential impact on these objectives.

What are the Objectives of TTM?

For TTM to be successful, the following three things would be true (these are the ‘objectives’ of TTM):

1. The activity in the road is completed as desired.
2. Nobody is harmed in the process.
3. The road network retains sufficient normal function.

Number 3 may be slightly harder to define, but objectives 1 and 2 are clear cut. If the job gets done, and nobody gets harmed – then TTM could be considered a success.

These competing objectives necessitate deliberate decision-making. Every day, you and others in your organisation make decisions about how much risk to accept, prioritising certain objectives over others.

This prioritisation often happens informally, without a structured decision-making system, and without the explicit blessing and endorsement of the organisation.

By establishing a risk appetite, an organisation provides its people with a framework to make decisions on how to: 

• Prioritise risks (rather than relying on individual preferences).
• Determine whether the residual risk (after risk treatments are applied) is acceptable to the organisation.

Importantly, these are not isolated processes. Every organisation involved has its own risk appetite and priorities, highlighting the need for good consultation, coordination, and cooperation when making risk-based decisions. 

Set the Risk Appetite

Begin by establishing a clear risk appetite for your organisation. This means deciding how much risk your organisation is willing to take on in pursuit of its objectives (across different domains like strategic, financial, and reputational).

Understanding your risk appetite helps guide decision-making processes and ensures everyone is aligned on the acceptable level of risk.

Risk Assessment and Decision-Making

Once the risk appetite is established, focus on how your organisation identifies, analyses, and treats risks. This involves a systematic approach to assess potential risks and determine how to manage them effectively.

Some Steps for Risk Assessment and Decision-Making (modelled from ISO31000):

• Identify Risks: Conduct thorough risk assessments to identify potential hazards and vulnerabilities.
• Analyse Risks: Evaluate the likelihood and impact of identified risks to prioritise them.
• Treat Risks: Develop strategies to mitigate, transfer, accept, or avoid risks based on their priority.
• Accept Residual Risk: Recognise that some level of residual risk will always remain. Be deliberate about how much residual risk your organisation is willing to accept.

Integrating Health and Safety Systems

Ensure that your Health and Safety (H&S) management system complements the overarching risk management system. The H&S system should address specific risks related to workplace safety and health while aligning with the broader risk management framework.

Steps for Integrating H&S Systems:

• Align policies and procedures: Ensure H&S policies are in line with the risk management framework.
• Engage employees: Involve employees in H&S initiatives to foster a culture of safety.
• Monitor and review: Continuously monitor H&S performance and review systems regularly to ensure they remain effective.

Useful Resources

For further guidance on establishing robust risk management systems, consider the following resources:

• The Business.govt.nz Governance Guide offers practical advice on good governance and risk management system setup.
• The University of Canterbury’s Risk Management Framework provides a good example of an organisational risk management framework, including some establishment of their risk appetite across different domains.
• ISO Standards:

– ISO 31000: Provides principles and guidelines for effective risk management.

– ISO 31010: Explains various tools and techniques for risk assessment and management.

Design your training and competency needs.

• Start by developing a matrix of skills and knowledge for various roles within your organisation.
• List all roles you have, from inspectors to plant operators to truck drivers and all the others. For each role, identify the specific skills and knowledge required (in this case, to do with TTM). This matrix serves as a comprehensive guide to understanding the training needs of your team.
• Next, assess your current staff against this matrix. Identify who holds which roles and determine any gaps in their skills and knowledge.
• Once you have this clear picture, plan your training accordingly. Training can come from various sources, including external courses, internal training programs, supervision, on-the-job learning, and inductions. For instance, some competencies might benefit from formal block courses offered by training providers, while others might need regular, repetitive learning sessions to reinforce their skills.

• Competency in TTM is perishable; if not used regularly, it fades. Continuously test and verify that staff maintain the necessary skills and knowledge, adjusting the frequency of checks based on how quickly these skills erode, how often they are used, and the pace at which new practices and information emerge.
• Encourage a culture where learning and improvement are ongoing, and make use of feedback to adjust and enhance your training programs.

Upgrade your processes for designing work and TTM.

• TTM Plan Development: Create detailed TTM plans that are based on thorough risk assessments and tailored to specific activity and environment requirements.
• Implementation Support: Provide support in implementing these plans, ensuring they are executed effectively and safely.

• Upgrading your processes involves establishing a robust risk assessment and control selection process for TTM design and deployment.
• Start with the work itself, as most TTM risks stem from how the work is performed. Assess both the work methodology and the TTM requirements to achieve the lowest total risk. Iteratively refine the methodology to ensure the safest possible approach.
• Each TTM control measure should serve a clear purpose in risk reduction. Move beyond simply adhering to CoPTTM guidelines and focus on the explicit purpose of each control measure. Be prepared to explain what each control does and why it is necessary. A detailed understanding of each control’s role in reducing risk is crucial.
• Consider upgrading from basic risk matrices to more sophisticated tools like Bow-tie analysis, fault tree analysis, or failure modes and effects analysis. These methods are widely used in other disciplines and provide deeper insights and more effective risk management. They help you to better understand the interplay of various risks and controls, leading to more informed decision-making.
• After completing your risk assessment, ask yourself, “Are there any more ways to reduce this risk that are reasonably practicable and haven’t been used?” Remember, adding more measures does not necessarily make the setup safer; sometimes, removing unnecessary elements can enhance safety.

Connect with adjacent organisations in your contracting chain.

Effective risk management in TTM benefits from contributions from all parties involved. Establish a detailed understanding of the risks and available treatments by involving everyone who has a hand in managing these risks. This includes clients, subcontractors and the RCA.

Develop a system where TTM decision-making is a collaborative effort. Regularly engage with these organisations to discuss risks and share solutions. This collaborative approach ensures that all perspectives are considered, leading to more comprehensive and effective risk management strategies.

How can Parallaxx Help?

At Parallaxx, we offer a comprehensive suite of services to support organisations in transitioning to a risk-based approach to TTM. Our expertise ensures that your TTM practices are effective, robust, and tailored to your specific needs. Here’s how we can help:

Risk Management & Health and Safety System Evaluation and Development

• System Evaluation. Assess your current risk management and health and safety systems to identify strengths and areas for improvement.
• System Development. Develop robust, integrated systems that align with the Health and Safety at Work Act 2015 and other relevant legislation.
• Custom Solutions. Create tailored solutions to address the unique risks associated with your specific activities and projects.

Risk-Based TTM Process Configuration and Deployment

• Process Design. Configure TTM processes that focus on risk management, ensuring they are adaptable to various road activities and conditions.
• Deployment Support. Assist in deploying these processes across your organisation, providing hands-on support and guidance.
• Continuous Improvement. Implement feedback loops to continuously refine and improve TTM processes.

Training and Competency Assessment and System Development

• Training Needs Analysis: Conduct a detailed analysis of the skills and competencies required for different roles within your organisation.
• Competency Matrix Development: Develop a comprehensive training matrix to map out the training needs of your staff.
• Training Programs: Design and deliver customised training programs, including external courses, in-house training, and on-the-job learning opportunities.

Risk-Based TTM Design and Management

• TTM Plan Development: Create detailed TTM plans that are based on thorough risk assessments and tailored to specific activity and environment requirements.
• Implementation Support: Provide support in implementing these plans, ensuring they are executed effectively and safely.

Assurance Systems and Quality Control of Risk-Based TTM

• System Audits. Conduct audits of your risk-based TTM systems to ensure they are functioning as intended and achieving the desired outcomes.
• Performance Metrics. Develop and track key performance indicators (KPIs) to measure the effectiveness of your TTM strategies.
• Continuous Improvement. Offer recommendations for continuous improvement, ensuring that your TTM practices remain effective and compliant over time.

By leveraging our expertise, you can navigate the complexities of the new risk-based TTM approach with confidence and clarity.

Contact Parallaxx today to learn more about how we can support your organisation in achieving the safest and most efficient TTM outcomes.