Scottish Transport Appraisal Guidance

3. PART 1 APPRAISAL

3.1 INTRODUCTION

3.1.1 The Part 1 Appraisal is an initial appraisal of the options generated during Pre-Appraisal and involves a qualitative assessment of the likelihood of such options being able to meet the Transport Planning Objectives, and subsequently proceed to the more detailed Part 2 Appraisal.

3.1.2 In this respect, Part 1 Appraisal is intended to focus appropriate effort and resources towards options which merit detailed quantitative appraisal and eliminate options which are unlikely to meet the Transport Planning Objectives, alleviate problems or realise opportunities identified during Pre-Appraisal.

3.1.3 It is likely that no single option will emerge from the Part 1 Appraisal and as such, the Part 2 Appraisal should be used to appraise alternative options in detail.

3.1.4 The Part 1 Appraisal concentrates on the following areas:

• An initial appraisal of the likely impact of options against Transport Planning Objectives;
• An initial appraisal of the likely impact of options against the STAG Criteria;
• An initial appraisal of the fit of options with established policy directives; and
• An initial appraisal of the feasibility, affordability and likely public acceptability of options.

3.1.5 At this phase in the STAG study, practitioners must produce an indicative assessment of the scope and scale of the benefits and impacts associated with an option for each area noted above. In addition to these tasks, it is important to be clear about relevant background information including the geographic, social and economic context for a particular study.

3.1.6 It should be noted that quantitative information can be used as evidence of impacts if this is available and likely to support the Part 1 Appraisal.

3.2 BACKGROUND INFORMATION

3.2.1 To provide relevant context, the Part 1 Appraisal requires a summary of the following:

• Geographical Context – a general statement describing the geographic area likely to be affected by the option;
• Social Context – a summary of the social makeup of the area likely to be affected by the option; and
• Economic Context – a description of the principal sectors and industries within the study area as well as a summary of factors affecting performance.

3.3 TRANSPORT PLANNING OBJECTIVES

3.3.1 A summary of the performance of each option against each Transport Planning Objective is required during Part 1 Appraisal. At this stage, it is recommended that this will be a wholly qualitative appraisal based on the likely impacts of the options against each Transport Planning Objective. However, where quantitative information is available without expending significant additional resources this can also be used to inform the Part 1 Appraisal.

3.3.2 A qualitative assessment should be completed for each option against each Transport Planning Objective, using a seven-point assessment scale, that considers the relative size and scale of impacts. It is important that practitioners provide details of why options are unlikely to meet the Transport Planning Objectives sufficiently and as such, should be rejected at this stage. The reasons for rejection should be clearly outlined.

3.3.3 If required, practitioners should undertake appropriate stakeholder participation and consultation in order to gain agreement on the likely performance of options against Transport Planning Objectives.

3.3.4 The methodology for this initial appraisal of options against the Transport Planning Objectives is outlined in the Technical Database.

3.4 STAG CRITERIA

3.4.1 At Part 1 Appraisal, a qualitative assessment should be completed for each option against the STAG Criteria, using a seven point assessment scale, that considers the relative size and scale of impacts. The Part 1 Appraisal should capture the likely impacts of options but detailed appraisal should not be undertaken until the Part 2 Appraisal phase. It should be noted that at this phase, qualitative information on likely impacts is all that is required, but, where available, quantitative information can be provided.

3.4.2 A summary of the requirements for appraisal against the STAG Criteria for transport is presented below:

ENVIRONMENT

3.4.3 The key environmental attributes and characteristics of the study area must be summarised. This should draw attention to the particular qualities of the area, making reference to specially designated sites within the study area and to known proposals for change.

3.4.4 The collation of environmental baseline data is important at the outset to allow an informed view to be taken of the vulnerability of the study area to likely changes associated with transport or other proposals under consideration. Baseline data is required to inform both the Part 1 and Part 2 Appraisals. For the Part 1 Appraisal, the data will be generally limited to readily available existing information.

3.4.5 In summary, it is important to:

• Confirm the nature of the option including the alternatives under consideration;
• Identify if an Environmental Impact Assessment, Strategic Environmental Assessment is required;
• Identify the range of likely impacts on the environment;
• Identify the extent to which these impacts need to be investigated;
• Identify methodologies to be employed;
• Define data availability and further data gathering requirements;
• Set the indicative thresholds and significance criteria to be used in the Evaluation of impacts;
• Identify broad mitigation measures; and
• Agree the above with statutory bodies.

3.4.6 At Part 1 Appraisal, a qualitative assessment should be completed using the seven-point-scale assessment, considering the relative size and scale of its impacts.

SAFETY

3.4.7 The Safety Criterion comprises two sub-criteria: accidents and security. In Part 1 Appraisal, practitioners should take account of impacts against both sub-criteria including:

• Identifying for accidents which, if any, user groups may be affected and develop projections of what will be the likely impact of each option; and
• Considering whether each option has any material impact on security for the users.

3.4.8 At Part 1 Appraisal, a qualitative assessment should be completed using the seven-point-scale assessment, considering the relative size and scale of impacts.

ECONOMY

3.4.9 The Economy Criterion has three sub-criteria, which together should summarise the full extent of impacts on the Economy. These include:

• Transport Economic Efficiency (TEE) covers the benefits ordinarily captured by standard cost-benefit analysis – the transport impacts of an option;
• Wider Economic Benefits (WEBs) relate to the notion of potential transport impacts on agglomeration and the relationship between agglomeration and productivity. Further guidance can be found in the Technical Database and practitioners should note that it is likely that appraisal of this sub-criterion should only be completed in Part 2 Appraisal; and
• Economic Activity and Location Impacts (EALIs) allow the impact of an option to be expressed in terms of the net effects of the option on the local and/or national economy.

3.4.10 At Part 1 Appraisal, a qualitative assessment should be completed using the seven-point-scale assessment, considering the relative size and scale of its impacts.

INTEGRATION

3.4.11 The Integration objective has three sub-criteria, which together should summarise the full extent of integration impacts. These include:

• Transport Integration, which relates to the degree to which a proposal fits with other transport infrastructure and services;
• Transport and Land-Use Integration, which relates to the fit between the option and established land-use plans and land-use/transport planning guidance; and
• Policy Integration, which relates to the appropriateness of the option in light of wider policies including those of both Central and Local Government.

3.4.12 At Part 1 Appraisal, a qualitative assessment should be completed using the seven point scale assessment, considering the relative size and scale of its impacts.

ACCESSIBILITY AND SOCIAL INCLUSION

3.4.13 The Accessibility and Social Inclusion Criterion includes the sub-criteria of Community Accessibility and Comparative Accessibility, the Part 1 Appraisal involves qualitative assessment of:

Community Accessibility

• Public transport network coverage – changes in accessibility provided by the public transport system; and
• Access to local services – changes in accessibility by walking and cycling to local services.

Comparative Accessibility

• The distribution of impacts by people group – compare impacts for different population groups relevant to local policy objectives; and
• The distribution of impacts by location – compare impacts for policy sensitive locations such as Community Regeneration Areas and areas of deprivation defined by the Scottish Index of Multiple Deprivation.

3.4.14 At Part 1 Appraisal, a qualitative assessment should be completed for the overall appraisal against the Accessibility and Social Inclusion Criterion using the seven-point-scale assessment, considering the relative size and scale of impacts.

3.5 ESTABLISHED POLICY DIRECTIVES

3.5.1 The established policy directives identified during Objective Setting in Pre-Appraisal must also be considered during Part 1 Appraisal. A clear conflict between an option and, for example, established land-use planning policy or transport targets in the area is likely to jeopardise its potential for funding, support, approval and implementation. A positive contribution towards the achievement of other relevant objectives will be to an option’s credit. Further guidance on using the established policy directives during Part 1 Appraisal can be found in the Technical Database.

3.6 FEASIBILITY, AFFORDABILITY AND PUBLIC ACCEPTABILITY

3.6.1 The Part 1 Appraisal must also assess the feasibility, affordability and public acceptability of each option. Practitioners must consider:

• Feasibility – a preliminary assessment of the feasibility of construction or implementation and operation (if relevant) of an option and the status of its technology (e.g. proven, prototype, in development, etc.) as well as any cost, timescale or deliverability risks associated with the construction or operation of the option, including consideration of the need for any departure from design standards that may be required;
• Affordability – the scale of the financing burden on the promoting authority and other possible funding organisations and the risks associated with these should be considered together with the level of risk associated with an option’s ongoing operating or maintenance costs and its likely operating revenues (if applicable); and
• Public Acceptability – the likely public response is of importance at this initial appraisal phase and reference to supporting evidence, for example results from a consultation exercise must be provided where appropriate.

3.7 RATIONALE FOR SELECTION OR REJECTION

3.7.1 The rationale for selection or rejection must always be explained fully. The results of the Part 1 Appraisal should be presented clearly and concisely so that it is understood why options have been either taken forward to the more detailed Part 2 Appraisal or rejected on completion of Part 1 Appraisal. Where there is insufficient information or data available to fully justify the rejection of a particular option during the Part 1 Appraisal, then the particular option must be taken forward for more detailed appraisal in the Part 2 Appraisal.

3.8 PARTICIPATION AND CONSULTATION

3.8.1 The continuous process of participation and consultation can also contribute to appraising options during the Part 1 Appraisal and in making recommendations for the next stages in the STAG study.

3.8.2 Practitioners should plan carefully for stakeholder involvement and feedback at this stage in advance of finalising the Part 1 Appraisal results. Adopting a proactive approach that includes the wider public, can encourage and promote momentum in the overall process and ensure, as far as possible, consensus on outcomes.

3.9 REPORTING

3.9.1 Part 1 Appraisal reporting should concentrate on the following areas:

• An initial appraisal of the likely impacts of options against Transport Planning Objectives, which should record the performance using the seven-point scale assessment;
• An initial appraisal of the likely impacts of options against the STAG Criteria which should record the performance using the seven-point scale assessment;
• An initial appraisal of the fit of options with established policy directives – i.e. relevant established transport, land-use planning and other policies; and
• An initial appraisal of the feasibility, affordability and likely public acceptability of options.

3.9.2 An outline of the appraisal work undertaken during the initial Part 1 Appraisal should be provided together with Part 1 Appraisal Summary Tables (ASTs) for all options considered during the Part 1 Appraisal.

PART 1 APPRAISAL SUMMARY TABLES

3.9.3 The Part 1 ASTs should set out in one place:

• A brief description of the option;
• Summary background information on the geographic, social and economic context of the study area likely to be affected by the option;
• The Transport Planning Objectives set, as defined during Objective Setting, and a summary of the performance of the option against these objectives;
• A summary of the scoping appraisal of the impacts of the option against the STAG Criteria;
• Any relevant additional established policy directives and a summary of the performance of the option against these objectives;
• A statement of the scope for implementation – i.e. feasibility, affordability and public acceptability; and
• A brief summary of the rationale for taking the option forward to Part 2 Appraisal or a summary explanation of why the option is being rejected.

3.9.4 For each option which is rejected at Part 1 there should be discussion of its performance against the Transport Planning Objectives. Additional issues which led the practitioner to conclude that the option should not progress to Part 2 will require full explanation.

3.9.5 Full Part 1 ASTs do not need to be included for rejected options although it is expected that at least partly completed Part 1 ASTs would be produced as part of the study process and could be called upon for audit or inquiry purposes at a later date.

Part 1 Appraisal: Key Points

The Part 1 Appraisal is intended as a check on the suitability of the options and the likelihood of options proceeding to the detailed Part 2 Appraisal. In this respect, Part 1 Appraisal is intended to act as an initial appraisal.

The Part 1 Appraisal concentrates on the following areas:

• An initial appraisal of the likely impacts of options against Transport Planning Objectives;
• An initial appraisal of the likely impacts of options against the STAG Criteria;
• An initial appraisal of the fit of options with established policy directives – i.e. relevant additional transport, land-use planning and other policies;
• An initial appraisal of the feasibility, affordability and likely public acceptability of options;
• The practitioner should produce an indicative assessment of the scope and scale of the benefits and impacts associated with the options for each area noted above;
• In addition to these tasks, it is important to be clear about relevant background information including the geographic, social and economic context for a particular study;
• At Part 1 Appraisal, reporting of qualitative information is all that is required but where available, quantitative information should also be provided; and
• The Part 1 Appraisal should be summarised using Part 1 ASTs.