Scottish Transport Appraisal Guidance

2. PRE-APPRAISAL

2.1 ANALYSIS OF PROBLEMS AND OPPORTUNITIES

2.1.1 The identification of problems and opportunities within the transport and land-use system must form the starting point for a STAG study.

2.1.2 The process of defining objectives and the identification of problems and opportunities are parallel and iterative processes. An initial assessment of problems and opportunities should inform Objective Setting, which in turn may highlight the need for further investigation of problems and opportunities.

2.1.3 It is essential that consideration is given to existing and future problems and opportunities that may potentially arise. Similarly, those perceived by stakeholders should also form a part of the Pre-Appraisal process.

2.1.4 This phase of STAG is often given insufficient attention during STAG studies and its importance should not be underestimated.

DATA ANALYSIS

2.1.5 For a full understanding of the study area and the transport system under consideration, practitioners must identify appropriate data analysis requirements.

2.1.6 The nature and extent of data analysis within a STAG study is clearly correlated with its duration and the resources available. The effort put into the analysis of data must be commensurate with the scale of the Pre-Appraisal analysis undertaken for the study area and potential impacts of the options to be considered.

2.1.7 However, practitioners must ensure that the analysis of data provides sufficient evidence of the problems and/or opportunities. The analysis of data should provide a significant contribution to establishing the basis of a STAG study and simply providing contextual information must be avoided.

2.1.8 An appropriate evidence base is crucial when moving to the Objective Setting phase of Pre-Appraisal and the setting of SMART Transport Planning Objectives as the STAG study progresses. This is reflected by the iterative nature of the Analysis of Problems and Opportunities, and Objective Setting.

IDENTIFYING PROBLEMS AND OPPORTUNITIES

2.1.9 It is important to recognise that actual and perceived problems or opportunities within the transport system must be the rationale for any STAG study.

2.1.10 The analysis of problems should look beyond the immediate manifestation of such problems on the transport system. The analysis should, instead, explore the root causes and consequences of problems. At this phase of the Pre-Appraisal process, opportunities for improvements to the transport system and the way it is used should be thoroughly explored.

2.1.11 Practitioners should ensure that an appropriate analysis of data has been undertaken to provide an evidence base. The Technical Database provides detailed guidance for what is required at this phase in Pre-Appraisal.

ISSUES AND CONSTRAINTS

2.1.12 In parallel to problem and opportunity analysis, relevant Issues and Constraints should also be considered within the context of a STAG study. It is important that the identification of problems and opportunities are considered within the wider context.

2.1.13 ‘Issues’ are uncertainties that the study may not be in a position to resolve, but must work within the context of. Examples of Issues include:

• Uncertainty at the time of the study whether a major road or rail link will be built that will affect the study area;
• The impact of a major new land-use development has yet to become clear; and
• A study for a neighbouring area may lead to a proposal that results in significant changes to through trips passing across a study area.

2.1.14 Practitioners should account for, or if possible neutralise, such Issues through liaison with neighbouring authorities, government departments and agencies, and transport operators.

2.1.15 Constraints represent the bounds within which a study is being undertaken. These may include, but are not limited to:

• The statutory powers of an authority to promote change;
• The funding levels that can realistically be obtained;
• Scottish, UK or EU legislation; and
• Scottish or UK fiscal policy.

2.1.16 Similarly, Constraints on the shape of a particular option could be affected by:

• Sensitive areas of ecological, landscape or heritage importance;
• Built-up areas;
• Rivers or railway lines which are expensive to bridge;
• Rough terrain making infrastructure works expensive; and
• Unusual existing patterns of development such as industry and commerce spread over wide areas outside the traditional urban centre.

PARTICIPATION AND CONSULTATION

2.1.17 It should be recognised that people will naturally have more reliable views about current problems, potential opportunities, Issues and Constraints than those predicted to occur in the future.

2.1.18 People are more likely to be concerned with Issues that directly affect them, their immediate environments and lifestyles. Some may also be well informed on more strategic Issues and could contribute a useful perspective on these. It is important not to underestimate the level of detailed knowledge people may have and it must be recognised that perceived problems, opportunities, Issues and Constraints can also feed into the Pre-Appraisal process.

2.1.19 In order to fully understand and confirm the issue under appraisal, there may be value in consulting with members of the public alongside key stakeholders. The scale and focus of this consultation must be proportionate to the appraisal itself and draw from other consultations where appropriate.

REPORTING

2.1.20 It is expected that the thorough analysis of existing and future problems and opportunities will have comprised an integral part of the methodology adopted to develop the study and, therefore, clear evidence of existing and future problems and opportunities must be presented in the STAG Report.

2.1.21 A textual statement of the assessment of problems and opportunities together with identification of any Issues and Constraints should be presented in the STAG Report. The statement should summarise the sources of data and any consultation activities undertaken. It should highlight the key problems, Issues, Constraints and opportunities and also provide details of associated severity/magnitude and the root causes and consequences of such problems, Issues, Constraints and opportunities.

2.1.22 Practitioners should avoid simply providing background information for the study area. The geographic scope of the study should be presented with clear evidence of the problems and/or opportunities together with the methods of analysis used.

Pre-Appraisal: Key Points

• The identification of problems and opportunities and Objective Setting are iterative exercises, one informed by the other;
• Perceived problems and opportunities should be considered, i.e. those that are experienced but cannot be easily encapsulated through data analysis;
• The analysis of problems should look beyond the immediate manifestation of such problems on the transport system and should explore root causes and consequences;
• Data analysis must be used to assist in the identification of problems and opportunities. The Technical Database provides detailed guidance on data that will be helpful and describes how it can be used;
• Practitioners must avoid simply providing background information for the study area. Robust analysis must provide sufficient evidence of the identified problems and/or opportunities;
• Consultation with stakeholders and the public can provide a valuable input into the identification of problems and opportunities;
• When considering problems it will also be important for the practitioner to consider Issues and Constraints that may affect the study; and
• ‘Issues’ are uncertainties that the study may not be in a position to resolve, but must work within the context of. ‘Constraints’ are the bounds within which a study is being undertaken.

2.2 OBJECTIVE SETTING

INTRODUCTION

2.2.1 The Transport Planning Objectives for the appraisal are developed to reflect the issues and opportunities as well as established policy directives, including the Government’s Purpose.

TRANSPORT PLANNING OBJECTIVES

2.2.2 In developing a transport option it is essential to be clear about what the study aims to achieve. The term ‘Transport Planning Objectives’ is used to describe those objectives adopted for the purposes of the specific transport appraisal exercise being undertaken for which STAG is being used.

2.2.3 The Transport Planning Objectives should express the outcomes sought for the study and will describe (while avoiding indications of potential solutions) how problems will be alleviated. Additionally, the Transport Planning Objectives provide the basis for the appraisal of alternative options and, during Post Appraisal, will be central to Monitoring and Evaluation.

2.2.4 The setting of Transport Planning Objectives is important and offers significant value for a number of reasons. They:

• Provide all stakeholders with a clear indication of what practitioners are trying to accomplish;
• Serve as a basis for directing and guiding the entire study process;
• Can provide motivation, unity and integration;
• Facilitate accountability of the decision maker, from the STAG perspective, both during the transport planning, appraisal, implementation process and Post Appraisal (a key concern in light of the need for Monitoring and Evaluation); and
• Introduce clarity where there may exist strong vested interests and entrenched views on priorities.

2.2.5 Transport Planning Objectives will be specific to each individual study and the specific problems and opportunities to be addressed. Consequently, it is expected that Transport Planning Objectives would differ between individual studies. It is, therefore, not practical to be prescriptive in STAG about the formulation of Transport Planning Objectives.

2.2.6 In some cases, Transport Planning Objectives may not appear to be directly related to the STAG Criteria. In many other cases, these will be subsidiary objectives, devised to focus on the way in which the STAG Criteria can be achieved.

SMART TRANSPORT PLANNING OBJECTIVES

2.2.7 At Pre-Appraisal, Transport Planning Objectives may be articulated in general terms indicating the desired direction of change. It is recommended that this is sufficient for the purposes of the qualitative Part 1 Appraisal.

2.2.8 It is imperative that Transport Planning Objectives are expressed with SMART principles in mind. This will enable the Transport Planning Objectives to be sharpened and refined as the STAG study progresses and more information becomes available. The analysis of data and evidence of problems and/or opportunities is crucial in setting robust Transport Planning Objectives.

2.2.9 In advance of Part 2 Appraisal, Transport Planning Objectives must be finalised and, where appropriate, include a target.

2.2.10 A SMART objective will be:

• Specific, it will say in precise terms what is sought;
• Measurable, there will exist means to establish to stakeholders’ satisfaction whether or not the objective has been achieved;
• Attainable, there is general agreement that the objective set can be reached;
• Relevant, the objective is a sensible indicator or proxy for the change which is sought; and
• Timed, the objective will be associated with an agreed future point by which it will have been met.

2.2.11 SMART Transport Planning Objectives can be challenging to set – they demand insight, careful consideration and impose greater accountability. There is, however, an importance attached to making the necessary effort in arriving at SMART Transport Planning Objectives as:

• The SMART Transport Planning Objectives provide an essential focus on the outcomes sought for a study area and, if intelligently set, will facilitate the satisfactory resolution of any conflicting priorities; and
• They may foster a shared enthusiasm for their achievement.

2.2.12 SMART Transport Planning Objectives provide a unique opportunity for recognition of achievement. As described in Chapter 6, during Post Appraisal, indicators must be developed from the Transport Planning Objectives established for the study.

2.2.13 It is important that SMART Transport Planning Objectives are finalised in advance of Part 2 Appraisal with the intention of developing meaningful indicators for detailed quantitative appraisal and subsequent Monitoring and Evaluation purposes.

STAG CRITERIA

2.2.14 The STAG Criteria are:

• Environment;
• Safety;
• Economy;
• Integration; and
• Accessibility and Social Inclusion.

2.2.15 The STAG Criteria provide a framework to ensure all impacts are considered, and practitioners should not begin the process of formulating Transport Planning Objectives by considering only the national objectives. This could dilute the importance of local objectives or the inclusion of issues which, for the transport planning context in question, are not relevant.

ESTABLISHED POLICY DIRECTIVES

2.2.16 Objectives and policy directives that are already established must also be considered during the Objective Setting process and are used to describe the existing objectives and directives which practitioners should take cognisance of during the STAG study.

2.2.17 By definition, established policy directives will have been set by a third party or, if set by the body undertaking the study, are independent of the study. Established policy directives may be national, regional or local and may be more or less precise.

2.2.18 Practitioners should take cognisance of the Government’s Purpose and the National Transport Strategy (NTS). The associated strategic outcomes and indicators, including the Government’s National Outcomes, outlined in the Technical Database, should be recognised during the Objective Setting process and should contribute towards the appraisal of options.

PARTICIPATION AND CONSULTATION

2.2.19 Reaching a broad agreement on the Transport Planning Objectives for a study, particularly amongst interested stakeholders and the wider public, is of value at this phase. It will provide a focus for the continued development of the study and could prove vital if, at a later date, objections to specific options emerge. If it can be demonstrated that particular options meet the agreed objectives for a study, it can be asserted that such options are in keeping with the view of the wider public and there is evidence to support these options.

REPORTING

2.2.20 In order to fulfil the requirements of STAG, the reporting on Objective Setting within the STAG Report should provide a summary of the methodology applied in developing the Transport Planning Objectives.

2.2.21 In the STAG Report, practitioners should outline the approach adopted and state the Transport Planning Objectives clearly. In summarising the methodology used, it should be demonstrated that the principles promoted by STAG, including the establishment of value-led SMART Transport Planning Objectives, have been followed.

2.2.22 Practitioners must present the relationship between the analysis of data, evidence of problems and/or opportunities, and the derivation of the Transport Planning Objectives. These are the essential first phases of Pre-Appraisal and practitioners must not proceed to Option Generation, Sifting and Development until there is confidence in the evidence base and articulation of Transport Planning Objectives.

2.2.23 It is anticipated that to ensure appropriate focus there should be no more than six clearly defined Transport Planning Objectives for any study.

2.2.24 If there is a relationship between any of the Transport Planning Objectives derived and the STAG Criteria then this should be clearly identified. Similarly, during the Pre-Appraisal process for the study under consideration, the relevant established policy directives for a study should be stated clearly together with the rationale for inclusion of such established policy directives.

Objective Setting: Key Points

• Transport Planning Objectives should express the outcomes sought in the study area as opposed to any of the activities planned to achieve the Transport Planning Objectives;
• The formulation of Transport Planning Objectives should take full account of a thorough investigation of the root causes and consequences underlying identified problems or opportunities and the provision of robust evidence of problems and/or opportunities;
• It is recognised that Transport Planning Objectives may not be entirely SMART (i.e. include targets) at the Pre-Appraisal phase, but such Transport Planning Objectives should be set in such a way to facilitate the establishment of entirely SMART Transport Planning Objectives in advance of Part 2 Appraisal;
• Any existing resources in the form of previously established sets of objectives or data resulting from surveys or consultation exercises should be used fully to inform the setting of Transport Planning Objectives;
• The Government’s Purpose and National Outcomes should inform practitioners in setting of Transport Planning Objectives;
• Consideration should be given to the relevant established policy directives;
• A regular dialogue should take place between practitioners and decision makers throughout the Objective Setting phase (and throughout the STAG study as a whole); and
• Any application for funding, support or approval from the Scottish Government and/or Transport Scotland will be assessed, in part, on whether there is a clear statement of objectives supported by an explanation of the derivation of such objectives.

2.3 OPTION GENERATION, SIFTING AND DEVELOPMENT

INTRODUCTION

2.3.1 The purpose of Option Generation, Sifting and Development is to derive a range of options which should provide the solution/s to meet the Transport Planning Objectives and alleviate the problems or address the opportunities identified.

2.3.2 This phase of Pre-Appraisal must not be started until a thorough Analysis of Problems and Opportunities has been completed, and until robust Transport Planning Objectives are set.

2.3.3 It is vital to derive options which fully reflect the range available and at this early phase in the process, this exercise should not be constrained. It is imperative that practitioners cast the net wide in generating options as potential solutions to the identified transport problems and opportunities.

2.3.4 Option Generation, Sifting and Development should be carried out in a logical, transparent and therefore auditable manner.

DO-MINIMUM

2.3.5 The options generated must be appraised against a do-minimum option that includes transport improvement commitments that have policy and funding approval and from which it would be difficult to withdraw.

2.3.6 The do-minimum must reflect trends in the provision of transport. This philosophy is intended to answer the question: if no action is taken, what form will the transport system take at some defined point in the future?

2.3.7 The do-minimum will include relevant assumptions of land-use/development. Practitioners must ensure that a robust development profile with clear geographic scope is included in the do-minimum scenario.

2.3.8 The Technical Database provides detailed guidance on the do-minimum.

REFERENCE CASE

2.3.9 Practitioners may also find it helpful to develop a ‘reference case’, which includes other non-controversial but as yet uncommitted transport schemes and/or development profiles, and which can be used as a baseline for option comparison.

2.3.10 The reference case does not replace the do-minimum scenario but should be used to complement STAG.

2.3.11 The Technical Database provides detailed guidance on the reference case.

OPTION GENERATION

2.3.12 Once the situation in the study area has been examined, problems and opportunities identified and Transport Planning Objectives set, the next step is to start developing options which will achieve the desired transport outcomes.

2.3.13 In general terms, options should be generated through the following sources:

• As ideas/outputs from the consultation and participation process;
• Ideas/proposals which have a history and which (or derivations thereof) remain viable options;
• Through the statutory planning and policy process, both for transport initiatives and land-use plans; and
• As ideas/outputs from a structured decision making process followed by the team undertaking the transport planning exercise.

2.3.14 The range of policy instruments available to practitioners include but need not be limited to:

• Land-use measures;
• Infrastructure measures;
• Management measures;
• Information provision; and
• Pricing measures.

2.3.15 Where appropriate, practitioners should investigate the possibility of packaging measures in order to achieve the desired transport outcomes. Packaging measures effectively can:

• Reinforce, extend or complement the impact of a particular measure;
• Mitigate potential adverse impacts of a particular measure; and
• Increase public acceptability of a particular measure.

2.3.16 It is important to recognise cumulative impacts which may arise from the packaging of measures. This should be accounted for fully during analysis.

OPTION SIFTING

2.3.17 The Option Sifting process should be undertaken when an unmanageably large number of options have been generated or where there is general consensus that a particular option or options generated will clearly not achieve the intended objectives or meet the identified transport problems and/or opportunities.

2.3.18 There are a number of ways in which options can be sifted and practitioners should agree the approach with stakeholders (and, where appropriate, decision makers).

2.3.19 At this stage it is essential to document why options have been recommended for Part 1 Appraisal or why they have been sifted out prior to Part 1 Appraisal.

OPTION DEVELOPMENT

2.3.20 The aim of Option Development, the next step of the process, is to develop a reasonable number of broadly defined alternative options that can be subjected to appraisal.

2.3.21 In parallel to the continuing development of options, a number of other tasks may be undertaken. The aims of these complementary tasks are:

• To confirm that the elements that will be examined are broadly feasible;
• To define each option carefully so that it can be analysed independently from other options with confidence; and
• To develop costing and timescale information sufficient for the STAG study.

PARTICIPATION AND CONSULTATION

2.3.22 The activities adopted for participation and consultation during the Analysis of Problems and Opportunities, and Objective Setting should continue and will inform:

• The identification of options for consideration; and
• The development of options or packages of options for appraisal.

2.3.23 At this early phase of the process, practitioners must cast the net wide – brainstorming, workshop discussions and other consultation and participation measures are encouraged. This will encourage new potential options to be identified, as well as those which might have been proposed for some time.

REPORTING

2.3.24 The methodology adopted for generating, sifting and developing options should be described clearly and concisely in the STAG Report. In addition, all options generated, the do-minimum and any reference case should be described in full.

2.3.25 If options are rejected at the Option Sifting phase, the reasons for rejection should be briefly and clearly outlined. This may include identifying inconsistencies between options and Transport Planning Objectives.

2.3.26 In summary, the methods by which the Option Generation, Sifting and Development process is carried out must be comprehensively documented, with a clearly defined audit trail.

Option Generation, Sifting and Development: Key Points

• It is vital to develop options that reflect the full range of options available and that seek to meet the Transport Planning Objectives set for a study, not just immediate manifestations of problems;
• The Option Generation process should not be unreasonably constrained at the start of the process. Practitioners should cast the net widely and both stakeholder participation and wider consultation can have an important role to play;
• Option Sifting is often necessary to reduce the number of options and combinations of options to manageable levels. A structured and transparent process that is documented and auditable is required;
• Future year options will be appraised against a do-minimum. The specification of the do-minimum forms a natural part of the Option Development process;
• The do-minimum comprises all schemes and proposals under construction or for which statutory powers exist and funding is available;
• When assessing options practitioners may also find it helpful to develop a reference case, which includes other non-controversial but as yet uncommitted schemes and which can be used as a baseline for option comparison;
• To allow alternative options to be considered, outline designs may be required and an assessment made of capital and other costs, and implementation timescales; and
• There is, however, no requirement to develop alternative options (of any mode) to the same degree as any options that have a transport planning history. What is required is a pre-feasibility assessment of alternative options, sufficient to allow appraisal to take place.