Highways Agency

4. Key Stages

4.1 Introduction

4.1.1 In developing a RMS, there are a number of key events which need to be undertaken in the course of the study. These are:

• Route Management Strategy Initiation;
• Production of Initial Route Management Strategy;
• Route Management Strategy Seminar and Consultation; and
• Publication of Final Route Management Strategy.

4.1.2 The successful completion of these events will require input from a variety of bodies, including the Project Board, the Strategy Group, the Wider Reference Group and the public during the course of an RMS study. To achieve this, various activities have to be carried out. This section sets out the purpose of these events and suggests activities which may be undertaken.

4.1.3 Some activities may involve decisions or actions by the HA or Strategy Group which will be necessary to facilitate the study process. Others might contribute to the development of the RMS, through technical work. These are illustrated in summary form below which also sets out potential meetings. Figure 9 overleaf also provides a possible approach to the basic process and timeframe. These activities and events are described below in more detail but should be tailored to meet the needs of the particular route.

4.1.5 Although developed after the RMS, this section also describes the development of the Route Management Plan.

Figure 9 - RMS Process

4.2 Route Management Strategy Initiation

Purpose

4.2.1 The purpose of this event is to start the RMS process by setting out the HA's understanding of what the route does, what it should be doing in the future and what its problems are in performing these functions.

4.2.2 The HA should consider the study from a Network perspective. The HA's Network Strategy (NS) and Traffic Operations Directorate (TOD) will meet to discuss their aspirations for the route and the problems which prevent these aspirations being met.

4.2.3 It is an opportunity for the HA to provide their Initial RMS which will then be adjusted to reflect other opinions as well as technical assessment.

Things to do

4.2.4 The Network Strategy Regional Manager should nominate a Project Owner from his/her regional team to steer the RMS. A Project Sponsor will also be appointed and will have responsibility for the day to day management of the study and Consultant appointed. The Project Owner should agree terms of reference with the Project Sponsor at the outset of the study. In some cases, the Project Owner will also act as the Project Sponsor.

4.2.5 The Project Owner and Project Sponsor will be responsible for:

• Identifying the Project Board;
• Identifying the Strategy Group;
• Engaging an RMS Consultant; and
• Preparing the RMS Initiation event and inviting the necessary people.

4.2.6 The Project Board could comprise the following:

• The NS Regional Manager
• The NS Project Owner
• The Project Sponsor
• Government Office (GO) representative(s)
• Regional Planning Body representative(s)
• TOD Route Manager(s)
• Managing Agent(s)
• The HA Design, Build, Finance & Operate (DBFO) Manager (where appropriate).
• The RMS Consultant

4.2.7 The Project Board will meet regularly to review progress on the study and to resolve any substantive issues arising from the RMS. The Project Board must take responsibility for the RMS and work together to ensure that the final strategy fulfils its purpose. It is the Project Board that will make the decisions at the key stages

4.2.8 An RMS Consultant will be engaged to assist in the development of the strategy. Appropriate framework contracts have been identified and are noted within the RMS Portal.

4.2.9 The Project Sponsor will be responsible for the initiation meeting. This is likely to comprise the Project Board plus any other parties, from within the HA, who will bring additional knowledge of route issues to the table. It is important that all HA staff who need to be invited are involved, in particular TOD. The HA should be able to state:

• Their understanding of current and future Route Functions
• Pertinent HA Policy Objectives
• The main problems and issues relating to the route
• The performance of the route
• Existing Land Use Issues (e.g. Rejected planning applications)

4.2.10 For some routes, a 'Route Strategy' may have been developed and is likely to provide a significant proportion of the information required.

4.2.11 Other issues should be resolved at this stage and, where possible, information collated from the Route Manager and their Agents which can be handed over to the Consultants. A suggested list of useful information is set out in section 3.5. The HA should also be able to agree:

• HA management of the Study
• The public consultation strategy (including press announcements)
• The draft programme
• The Consultants brief
• The members of the Strategy Group and other consultees (Wider Reference Group)

4.2.12 It may be necessary to establish a Strategy Group to assist in developing the RMS. The role of the Strategy Group would be to assist the study through their knowledge and understanding of the route and its context. They should be able to provide a valuable contribution to the study in terms of reflecting their organisations' views and aspirations. This Group might also have a prominent role in determining the public consultation strategy for the RMS.

4.2.13 A Strategy Group is likely to contain the Project Board plus a selection of the following:

• Other HA representatives who are not on the Project Board
• Local Authorities (Transportation & Planning Departments)
• Police
• Regional Development Agency

However the make up of the Strategy Group is at the discretion of the Project Board and some of the above may be consulted as part of the Wider Reference Group.

4.2.14 The Strategy Group members should be contacted as early as possible so that the most appropriate people can be identified and prepared for the study.

4.2.15 A Wider Reference Group may also be identified at this stage who will be consulted throughout the study. A suggested list of members is provided within the RMS Portal.

Public Consultation

4.2.16 The Highways Agency will need to consider a consultation strategy for the study. This will include assessing the need for Initial Consultation (informal) as well as the mandatory consultation on the Draft Strategy.

4.2.17 The need for Initial Consultation will depend upon the knowledge that the Route Manager has of his/her route. In some cases, particularly where a Road Based Study or Multi-Modal Study has recently been undertaken, it is likely that a good knowledge of the public's perception of problems and issues will have been gained. In such cases there will probably be no need to undertake Initial Consultation.

4.2.18 Public Consultation must be undertaken after the confirmation of the Initial Route Management Strategy and before the Final Route Management Strategy is published. There are three opportunities when it may be convenient to undertake this:

4.2.19 Pre-Seminar Consultation - consultation is undertaken as soon as the Initial RMS is confirmed as being robust with the RMS Seminar following or being undertaken in parallel.

4.2.20 Concurrent With Seminar Consultation - the RMS Seminar is used to launch the Public Consultation thus gaining additional publicity.

4.2.21 Post-Seminar Consultation - consultation only begins once the Draft RMS is prepared. In some cases there may be other local events which require the consultation to be held back some months after a draft of the Final RMS has been prepared e.g. when awaiting Ministers' response to a Road Based or Multi-Modal Study.

4.2.22 Generally, the public consultation for an RMS should be timed to fit in with any other studies or announcements which the HA need to make.

4.2.23 Consideration of the format of the consultation should be given and agreed at this stage. This will have a major influence of the programme, and cost, of the study. For some routes it may be appropriate to deposit the draft document in public areas for comments where as for other routes there may be a desire to have a more extensive consultation exercise with exhibitions.

Programme

4.2.24 An initial programme should be agreed which will vary depending on the length and nature of the route. This should consider the information required for each event and a realistic time for collating, developing and preparing that information.

Route Management Strategy Elements

4.2.25 Through the initiation meeting it should be possible to set out the draft elements which make up the RMS. These may be based on Route Strategies where they exist.

4.2.26 It is essential that the Functions of the route are established. In particular there needs to be some interpretation of the contribution a route makes to the delivery of the HA's Objectives.

4.2.27 The HA should consider the functions that the route should be performing, both now and in the future. This will ensure that the study delivers a strategy which will lead to the route performing all its necessary functions at a satisfactory level. This may include considering the need to giving greater priority to the key functions of the route.

4.2.28 The HA should be able to assist in identifying Policy Objectives which are relevant to the route. This may simply involve directing the Consultant to particular documents which are relevant at the time of commission.

4.2.29 The status, stage of development and details of Development Plans, Local Transport Plans, the Regional Transport Strategies and Multi-Modal Studies should be established by the Highways Agency prior to the commencement of the study and appropriate contacts established. The consultant should then liaise with these as the RMS Study progresses to ensure consistency and compatibility of goals and targets.

4.2.30 Route Problems which are known by the HA should be highlighted at this time. This may include specific problems at a route level or general problems which affect the routes performance at a network level. Issues within the HA's Objectives that are relevant to the route should be identified.

4.2.31 In contributing to the Land Use & Development Control Policy Document, the HA's experience and knowledge of relevant development control issues should be identified at this stage. Typically, this should include current planning applications, previously rejected applications and future aspirations which are known. It may be that there are close links with the Regional Development Agencies in a particular area. This should allow early identification of aspirations within regeneration or Government Priority Growth Areas to which the route might contribute.

4.3 Production of Initial Route Management Strategy

Purpose

4.3.1 At this event, agreement to the Initial Route Management Strategy should be reached. The Initial Route Management Strategy should provide:

• Initial Policy Objectives;
• Initial Route Functions and Performance;
• Initial Route Problems and Issues;
• Initial Land Use and Development Control Statement; and
• Initial Route Outcomes.

4.3.2 These issues may be discussed at a Project Board or a Strategy Group workshop, which will allow the Consultant to report on their progress and receive comments and guidance. This should lead to confirmation of the Initial RMS for which ownership by all parties is of paramount importance.

Things to do

4.3.3 Prior to this event the Consultant will have developed each of the elements through consultation with the Strategy Group where appropriate.

4.3.4 If the event is to take the form of a Workshop then the consultant may be required to make all the necessary arrangements for the meeting. Alternatively, there may simply be a Project Board Meeting to confirm the Initial RMS.

4.3.5 The Policy Objectives will be confirmed together with the Route Functions and Performance.

4.3.6 The Consultant should be able to illustrate the Problems and Issues which exist along the route, and be able to present the causes of these problems in a detailed way. In particular, these should relate back to the functions of the route.

4.3.7 The Land Use & Development Control Statement should also have been developed such that it can be confirmed at this point.

4.3.8 Once confirmed, a decision has to be made on whether the initial RMS is sufficiently developed that it may be issued for the mandatory consultation public consultation before the Route Management Strategy seminar. If such consultation takes place at this stage, the Initial RMS is effectively the Draft RMS (See also section 4.4.12)

4.4 Route Management Strategy Seminar & Consultation

Purpose

4.4.1 The main purpose of the seminar is to present the Initial RMS as work in progress, to give an opportunity to those invited either by attendance or written contribution, to comment on what is proposed. In particular, the Route Problems and Issues which the strategy will aim to address should be agreed.

4.4.2 Public Consultation on the Draft RMS is essential in delivering a Strategy which considers the views of the routes users and those affected by the route. The point in the process at which this happens can vary and should have been determined by the HA in a Consultation Strategy.

Press Notice

4.4.3 The HA will need to make a press announcement setting out the intention to carry out an RMS study. The timing of this should be chosen so as to create interest only when an opportunity for people to become involved is apparent. i.e. Before Public Consultation or the Seminar. The NS Project Owner for the study should liaise with the Central Office of Information (COI) to seek editorial coverage of the announcement.

4.4.4 A draft Press Notice will be prepared by the HA and will describe why the study is being undertaken and the processes being followed (including consultation opportunities) and will contain an invitation to comment and express views about the route. It will advise of the intention to hold a seminar, and invite expressions of interest to attend and/or contribute. The precise wording of the Press Notice requires a local perspective on the potential Consultees and historic public involvement in route issues. The date and venue for the seminar will be supplied only to those who are invited, and not given in the press notice, to assist in a successful outcome from the seminar by providing a controlled environment. Note that other consultees on the Wider Reference Group will be invited to contribute to the seminar by letter.

4.4.5 At this stage the HA should also contact the HA's Website Manager to arrange the establishment of a web page for the RMS and a copy of the press announcement should be posted on the appropriate section.

Route Management Strategy Seminar

4.4.6 The Seminar will be attended by the Strategy Group and senior representatives from the Wider Reference Group and the public. Attendees will be invited to express/ explain their views, which will be recorded. The consultant will propose a list of those to be invited to attend for HA agreement, and draft invitation letters for the HA to send.

4.4.7 The seminar should be one or less working days, held at a suitable central venue and accessible by public transport. In some cases, for example when a route is very long, there may be a need for two or more seminars to give reasonable opportunity for all relevant parties to attend.

4.4.8 Ideally the seminar should be opened and closed by the NS Regional Director or an authoritative person within the HA who is known to the attendees. The purpose of this is to endorse the status of the RMS process. The substantive business of the seminar should be facilitated by an independent consultant or by the RMS Consultant. Where numbers or personal commitments prevent attendance, comments in writing should be invited.

4.4.9 The seminar will typically comprise the following sessions:

1. Explanation of Government policies for transport, the HA Objective, the RMS approach and an explanation of relationships with other transport initiatives and their status
2. Views of key transport operators on the corridor and other contributors would be submitted in advance and circulated to those attending, obviating the need for presentations absorbing the time available
3. The Policy Objectives can be presented to the Seminar, if time allows, however it is considered that there is little benefit in discussing these as they are pre-determined outside the Route Management Strategy process.
4. The Route Functions can be presented to the Seminar. These will have been discussed and agreed prior to the Seminar. The performance of the functions may be discussed to assist in understanding the problems and issues along the route.
5. The Land Use & Development Control Statement could be presented to the seminar. In particular, the effects of future development on the route might be stressed.
6. The Consultant may be asked to present the Problems and Issues which have been identified at this stage. Views on these problems and any additional problems should be sought. It may be beneficial to attempt to prioritise these problems.
7. The Consultant may be asked to present the initial Route Outcomes which have been developed.
8. Views on the usefulness of seminar and other ideas for the RMS should be sought (to be returned within two days). The opportunity for further comment after this should be kept open and all comments should be logged and responded to whenever they are received
9. An explanation of what happens next and closing statement should be provided.

4.4.10 The output from the seminar should be factually reported by the Consultant and should summarise the issues raised, points of discussion, questionnaire returns and conclusions reached.

4.4.11 The seminar calls for good preparation and a strong chair, to ensure that best use is made of the opportunity which the seminar affords to influence the development of the RMS.

Preparation of Draft Route Management Strategy

4.4.12 Following the seminar it is important to take stock and consolidate the Initial RMS into the Draft RMS. Each of the elements of the RMS should be reviewed and the Strategy Impact Statement prepared.

Public Consultation

4.4.13 A general public consultation strategy will have been identified at the start of the study. This should determine the timing of the exercise and the overall format. The study team will be required to develop appropriate material to make best use of the consultation. It is suggested that the consultation focuses on the following:

• Ensuring that all issues relating to the route have been considered;
• Illustrating the Route Outcomes in a way that the public understand them; and
• Getting feedback on priorities.

4.4.14 Public consultation traditionally refers to actual things that the HA are going to be doing on the route. Explaining what the HA would like to achieve along the route in terms of Outcomes is therefore likely to be a difficult concept to explain. The following ideas may assist in this process:

• Provide information on committed schemes in relation to the Route Outcomes
• Identify possible methods of achieving the Route Outcomes, possibly seeking feedback
• Illustrate locations where the Route Outcomes are applicable
• Ensure that all staff attending the surveys are fully briefed and understand the nature of the RMS and specifically the detail of the Route Outcomes
• Involve Route Managers in the consultation

4.4.15 At the end of the consultation, the consultant will review the responses received and recommend any necessary amendments to the strategy. Responses which are relevant to other bodies, such as multi-modal related issues, should be forwarded to the appropriate bodies.

4.4.16 It should be emphasised that Cabinet Office rules require that Public Consultations should allow at least 12 weeks for consultees to submit their responses. Therefore, the Consultant should allow at least 12 weeks for the submission of responses to the Public Consultation for an RMS.

4.4.17 Guidance on involving the public in HA projects is provided in section 11 of the HA's Communications Strategy, which can be found on the HA Portal.

4.5 Publication of Final Route Management Strategy

4.5.1 The consultant will agree final changes to the document and prepare a report which describes the strategy agreed following Public Consultation. It should be prepared on the assumption that it will be a public document.

4.5.2 The format of this report is set out in Section 5.0 together with any other deliverables which may be required.

4.5.3 Public Consultation will have been undertaken prior to this event and so there will be a need to reflect on feedback from this and agree what changes to the RMS are necessary.

4.5.4 It is anticipated that many of the comments received may relate to location specific problems and are therefore likely to influence the subsequent development of the Route Management Plan as much as the RMS. It is more likely that the Key Route Outcomes, identified within the Strategy Impact Assessment, and the associated Actions will be affected by the consultation.

4.5.5 It is expected that an internal HA Meeting may be required to ratify the Final RMS before it is published.

4.5.6 The Final Document should be produced in html format suitable for web publication as well as a hard copy version.

4.6 Route Management Plan

4.6.1 It will be the responsibility of the HA to develop actions which will achieve the Route Outcomes set out in the RMS using advice provided in the Forward Planning Guidance and decisions taken in the bidding process. The HA should consider actions which can realistically be delivered within the 10 years of the RMS. They should then produce a Route Management Plan which includes committed and potential actions with due consideration of the budget and resources available to them.