Scottish Transport Appraisal Guidance

1. INTRODUCTION

1.1 INTRODUCTION

1.1.1 The Scottish Government’s Purpose is ‘to focus the Government and public services on creating a more successful country, with opportunities for all of Scotland to flourish, through increasing sustainable economic growth’.

1.1.2 The Government’s particular transport purpose is to focus investment on making connections across and with Scotland better, improving reliability and journey times, seeking to maximise the opportunities for employment, business, leisure and tourism. Additionally, to provide sustainable, integrated and cost effective public transport alternatives to the private car, connecting people, places and work, across Scotland.

1.1.3 The Scottish Transport Appraisal Guidance (STAG) supports the Government’s Purpose by allowing the contribution that can be made by potential transport interventions to be presented in a clear, consistent manner.

1.1.4 Transport is one of Scotland’s most vital public amenities influencing amongst others, the economy, communities, environment and quality of life. A transport system that serves Scotland well is fundamental to achieving the Scottish Government’s vision of a prosperous, inclusive and sustainable society.

1.1.5 STAG ensures that potential options to address evidenced-based transport problems or opportunities are identified and appraised in a consistent manner and that such options will contribute to the Government’s Purpose and meet the transport needs of Scotland.

1.1.6 It is a requirement that an appraisal using STAG is undertaken by commissioning authorities and their agents when seeking Government funding, support or approval for options to change the transport system.

1.1.7 The completion of a study as documented in a STAG Report, allows the rationale behind potential transport options to be presented in a clear, evidence-led manner and provides the information required by a decision maker to make an informed choice of the most appropriate option(s) for design development.

1.2 THE KEY CONCEPTS IN STAG

1.2.1 There are a number of key concepts which underpin the Guidance:

An appraisal using STAG allows the contribution of a potential intervention to the Government’s Purpose to be presented in a consistent manner.

STAG is objective-led rather than solution-led which avoids pre-conceived solutions being brought forward without considering other options which may meet the identified problem or opportunities.

It provides best practice transport appraisal guidance to be used to find transport solutions to identified or perceived transport problems and opportunities using an evidence base.

The Transport Planning Objectives developed as part of a STAG study must capture the essence of the evidence based problem to be addressed or opportunity being undertaken.

It can be used in all transport appraisal contexts, including transport and development policies or strategies.

It is one process incorporating Pre-Appraisal, Part 1 Appraisal, Part 2 Appraisal and Post Appraisal.

It should be applied proportionately but comprehensively – the whole process should be used; the level of detail required will be determined by the scale of the impacts of the transport issue being addressed.

Robust Pre-Appraisal provides the foundation to the whole process since it promotes the analysis of opportunities during Pre-Appraisal in parallel to the identification of transport problems.

It does not prioritise between options rather it is an aid to decision makers to allow them to make informed choices. STAG may provide an initial rationale for investment and it is important that the STAG outcomes are revisited as the Business Case for an intervention develops.

The appraisal, as presented in a STAG Report, should be completed before commencing the detailed design of the options using mode specific guidance. It is recognised that whilst mode specific guidance may be used to inform the options considered as part of the appraisal, designs should not be progressed past this level until the appraisal is complete and decision makers make their informed choice of the option(s) to be developed further.

Appraisal of options and production of a STAG Report should precede any application for planning consent or the production of development management Transport Assessments in support of developments. This ensures the proper consideration of the transport issues relative to the proposals being developed, and presentation of these aspects in a clear manner. To this extent a STAG appraisal is complementary to a Transport Assessment.

Outcomes should be reported clearly and concisely – the STAG Report should document the completion of each phase of the process comprehensively but proportionately.

It embraces Scottish Government policy across a range of areas.

It does not remove the need for practitioners to undertake their statutory obligations – i.e. to adhere to all relevant and applicable Scottish, UK and EU legislation.

1.3 HOW THE PHASES OF THE STAG PROCESS FIT TOGETHER

1.3.1 The four phases of the Guidance are shown in Figure 1.1, and form a continuous STAG process.

FIGURE 1.1 – The STAG Process

Analysis of Problems and Opportunities
Identified or perceived problems or potential opportunities with the transport system are the essential starting point for any STAG study.

Objective Setting
Transport Planning Objectives should express the outcomes sought for the transport appraisal exercise under consideration.

Option Generation, Sifting and Development
The generation of options should be based on the widest possible set of potential options which could alleviate the identified or perceived problems, or address the potential opportunities.

Part 1 Appraisal

An initial appraisal of all options generated during Pre-Appraisal with specific consideration given to:

Is the option going to alleviate the identified or perceived transport problems and/or maximise potential opportunities?
Is the option consistent with established policy directives?
Is the option likely to meet the Transport Planning Objectives?
What are the likely impacts against the STAG Criteria?
Is the option likely to be: acceptable to the public, affordable and feasible to construct and operate?
Is there a clear rationale for the rejection of options on completion of Part 1 Appraisal?

Part 2 Appraisal

Detailed appraisal of the options which have been taken forward from Part 1 Appraisal with specific consideration given to:

Transport Planning Objectives
A detailed appraisal of options against the Transport Planning Objectives using quantitative techniques and analysis.

STAG Criteria
A detailed appraisal of options against the STAG Criteria using qualitative and quantitative techniques and analysis.

Cost to Government
A detailed analysis of the total public sector cost of options, including investment costs, operating and maintenance costs and grant/subsidy payments.

Risk and Uncertainty
A detailed analysis of the risk and uncertainty associated with each option.

THE STAG REPORT

1.3.2 The successful completion of a STAG study, as documented in a STAG Report, allows the rationale behind a potential transport intervention to be presented in a clear, evidence led manner and provides the information required by a decision maker to make an informed and appropriate choice.

1.3.3 An appraisal using STAG provides the Strategic Business Case for the options taken forward, and the foundations for the Investment Case elements of an Outline Business Case.

Format of a STAG report:

• Introduction;
• Analysis of Problems and Opportunities;
• Objective Setting;
• Option Generation, Sifting and Development;
• Part 1 Appraisal;
• Part 2 Appraisal;
• Cost to Government;
• Risk and Uncertainty;
• Option Summary Table;
• Monitoring Plan;
• Evaluation Plan; and
• Conclusions.

Post Appraisal
Once investment is committed and following implementation, Monitoring and Evaluation to assess performance against the original appraisal is essential.

Monitoring
It is a requirement that a clear Monitoring Plan is prepared as part of a study and reported in the STAG Report.

Evaluation
It is a requirement that a clear Evaluation Plan is prepared as part of a study and reported in the STAG Report.

1.4 PARTICIPATION AND CONSULTATION ARE IMPORTANT

1.4.1 Participation and consultation are key elements of a STAG study and should ensure the interests of stakeholders are considered in an inclusive, open, transparent and appropriate manner.

1.4.2 In order for participation and consultation to be effective and contribute positively to the identification and analysis of transport problems and opportunities, the following participation and consultation guidance should be adopted:

• Explain the STAG process: avoiding the use of technical terminology where possible;
• Explain roles and responsibilities, encouraging ‘shared ownership’ of the work being undertaken;
• Be open so that those taking part understand the process and can see how their views are being taken into account;
• Be proportionate in relation to the identification of the transport problems to be addressed and the transport opportunities to be undertaken;
• Start as early as possible in the process and continue throughout to maximise stakeholder confidence in the process as it develops and to reach consensus, as far as possible, on outcomes;
• Involve stakeholders both in the identification of problems and opportunities, and the development and assessment of solutions; and
• Provide feedback to contributors wherever possible.

1.5 WHAT SHOULD BE REPORTED

1.5.1 The STAG Report is the means through which practitioners communicate the appraisal work undertaken. It should be written in a manner which will inform the decision making process. A STAG Report should provide a concise summary demonstrating that the process of STAG has been followed and the Guidance adhered to.

1.5.2 To seek to ensure that the STAG Report is both comprehensive and proportionate, reporting guidance is provided throughout this Guidance, supplemented where necessary, with the detailed advice in the Technical Database.

1.5.3 At the end of each chapter there is a list of key points which practitioners must use to ensure they are following the appraisal process as intended whilst assembling sufficient information to be included in the STAG Report.

1.5.4 The Scottish Government and/or its agency Transport Scotland may seek a review or an audit of STAG studies where further confidence in the application of the process and/or outcomes is sought.