Highways Agency

3. Strategy Elements and Outputs

3.1 Introduction

3.1.1 This section describes the strategy elements and outputs that make up an RMS and sets out the processes by which they are developed. The majority of this work is likely to be undertaken by the Consultant appointed by HA to assist in carrying out a RMS Study.

3.1.2 Figure 3 illustrates the development of these elements as a linear process. As Route Outcomes are developed, it is necessary to re-examine the other elements. This iterative process should assist in developing a robust strategy with appropriate Route Outcomes.

3.1.3 Figures 4 to 8 illustrate the various inputs, relationships and outputs associated with each strategy element. Where necessary, examples have been provided to assist in this process. The overall effect of the Strategy should be assessed and will be summarised within a Strategy Impact Statement (SIS). The SIS and other elements are described in more detail below.

3.2 Policy Objectives

What are they?

3.2.1 Policy Objectives are wider planning, economic and transport objectives which are pertinent to the route. They provide a rationalised collection of other national and regional objectives to which the final RMS would aim to contribute.

How are they identified and developed?

3.2.2 Objectives which are relevant to the route should be identified and listed under the Government's five objectives for transport (Environment, Safety, Economy, Accessibility and Integration). Objectives which are similar should be grouped together with the aim of rationalising the objectives into a manageable number.

3.2.3 Sources for National Objectives have been identified in section 2.0 and include:

• Government Policies and Objectives;
• Planning Policy Guidance;
• Highways Agency Aims, Plans & Initiatives; and
• Other Authorities National Plans, Policies & Initiatives.

3.2.4 Regional and Local Objectives can be found in:

• Regional Planning Guidance (including Regional Transport Strategies);
• Development Plans (Structure Plans, Local Plans and UDP's);
• Local Transport Plans;
• Multi-Modal Studies/Road Based Studies; and
• Mineral and Waste Plans.

3.2.5 An example Policy Objective is "to ensure safe, easy access to facilities for non-motorised users in local and rural centres". This was derived from two sources as illustrated below.

Policy Objective	Source	Quote from Source
'to ensure safe, easy access to facilities for non-motorised users in local and rural centres'	New Deal for Transport	'Encourage healthy lifestyles, reduce reliance on private car, make it easier to walk and cycle more.'
	PPG 13	'Ensure safe, easy access to facilities in local and rural centres.'

3.2.6 Within the individual policies there are likely to be a number of targets which have been set. These can also be identified and considered when developing the Route Outcomes. This analysis will be helpful when considering how the final strategy might contribute to other plans and policies, e.g. 10 Year Plan, Local Transport Plans etc.

3.2.7 These Policy Objectives should be used when identifying the Route Functions and considered when developing the Route Outcomes.

3.3 Route Functions and Performance

What are they?

3.3.1 This element sets out the current roles of the route, those it is intended to serve in the future and assesses how well the route performs these. Functions are based on the nature of journeys that occur on the route and the relationship between the route and other parts of the national and local transport infrastructure and regional land use development.

3.3.2 Consideration of the functions will direct the study towards the problems that it should be seeking to resolve.

How are they identified and developed?

Existing Functions

3.3.3 The HA's view of the existing and future functions of the route will include the general functions that a trunk road would be expected to perform. These should incorporate the objectives of the HA. The following functions are a summary of these:

• providing safe transportation of people and goods
• providing reliable journey times
• informing travellers
• respecting the environment

The HA will also identify other functions which are specific to the route.

3.3.4 Where applicable, the Policy Objectives should be translated into Route Functions. This should ensure that the functions which the route is, or should be, performing in support of a Policy Objective are recognised.

3.3.5 Strategy Group meetings may also generate additional functions based on the views of the Group. The Consultant may also wish to consult with a Wider Reference Group consisting of representative bodies with an interest in transport to gain their understanding of what the route does.

3.3.6 When specifying Route Functions, account should also be taken of any role the route may serve in catering for Heavy, High or Abnormal Loads. The consultant will contact the Abnormal Loads team within Traffic Operations Directorate (TOD) to establish the possible role of the route and appropriate procedures and guidance. However, care should be taken not to overlook informal use by abnormal loads.

3.3.7 Any existing Origin/Destination information should be collated to provide an improved understanding of journey purposes on the route.

Future Functions

3.3.8 Future functions for the route should be developed by agreement, resolving any conflicts through the use of facilitated workshops if necessary. This exercise may result in revisions to existing functions, the removal of existing functions or the provision of new functions. The following should be considered:

• The HA's vision for the future Route Functions
• Potential land use developments
• Consideration of plans & policies. E.g. changes to land use resulting from the Mineral Plans.

3.3.9 It is important that the strategic functions of the route are safeguarded. It should also be noted that any function which the route performs should only be removed after careful consideration of what the consequences might be.

Function Performance

3.3.10 The performance of the functions should be examined. Where poor performance is identified, it should be possible to examine the problems and issues that cause this.

3.3.11 The Functions should also be interrogated to identify conflicts that exist between the functions of the route. Conflict should be acknowledged and considered when developing Route Outcomes.

3.3.12 The effect of future problems on the performance of the functions should also be examined. Future problems are likely to be identified through consideration of the Land Use & Development Control Statement.

3.3.13 Future performance is intrinsically linked to what can be achieved on the route through Route Outcomes.

3.4 Land Use & Development Control Statement

What is it?

3.4.1 The Land Use and Development Control Statement (LU&DCS) sets out:

• The Existing Planning Context
• Land Use Development Pressures
• Development Control Strategy
  • Approach to Development Plan Representations
  • Approach to Individual Plan Applications
  • Potential Route Outcomes

3.4.2 It will have a major influence on the overall RMS as it will affect the future functions of the route, identify problems and issues and may generate Route Outcomes. It is also an important stand alone document that provides the Development Control Strategy for the route which will allow the HA to contribute effectively to the development and formulation of policy documents at all levels of government and allow an open and transparent approach to individual planning applications.

3.4.3 The Development Control Strategy will expand on the advice provided in Circular 4/2001 which sets out the HA's overall Development Control Policy.

What is involved?

3.4.4 In some instances, a Land Use Audit or corridor study may have been undertaken. This should be reviewed and if necessary, made consistent with this LU&DCS. In some cases it may be appropriate for a LU&DCS to be developed by the Development Framework or RMS Consultant outside of the RMS Study.

The Existing Planning Context

3.4.5 The Consultant should examine all relevant planning and policy documents as part of the study. In particular the following documents should be considered which are discussed in more detail in section 2.0.:

• Regional Transport Strategy (contained within the relevant Regional Planning Guidance Note)
• Development Plans (consisting of Unitary Development Plans, Structure Plans and Local Plans)
• Local Transport Plans
• Mineral and Waste Plans
• The Planning Green Paper "Planning: Delivering a Fundamental Change"

3.4.6 The relationships between these should be set out and key findings summarised. Potential impacts for the route should be identified.

Land Use Development Pressure

3.4.7 The HA will provide details of future development and their status. It may be beneficial for the Consultant to meet with the HA's Development Control team(s) and Local Planning Authorities in order to gain a fuller understanding of the issues relating to the route.

3.4.8 Consultation should be undertaken with the Regional Development Agency(ies) (RDA) and Local Planning Authorities so that the future aspirations of the area affecting or affected by the route can be determined. Where appropriate, the status of any growth or regeneration areas etc should be determined. An understanding of possible time scales should be gained.

3.4.9 These discussions should also examine the expectations of the RDAs and Local Planning Authorities regarding the role of the route in enabling development. Key findings should be summarised and potential issues identified, such as those that compromise safety and level of service.

Impact Assessment

3.4.10 The Consultant should provide an initial assessment of the impacts of potential development. How this should be achieved will be agreed with the Project Owner/Sponsor and will depend on the nature of the route and the developments.

3.4.11 Within the RMS Study, a simple approach to impact assessment is likely to be taken. It is only necessary to gain a basic understanding of what is likely to happen to the route within the 10-year period. If more detailed work is required then this should be identified within a Route Outcome to be developed as an Action within the Route Management Plan.

3.4.12 Any method should take account of the following:

• forecast changes in traffic levels;
• committed development (development with planning permission);
• other development in line with adopted development plans;
• committed highway improvements (eg TPIs and LNMSs (including s278 schemes) as set out in the Government's policy statement and other HA plans); and
• programmed outputs from multi-modal or road based studies.

3.4.13 A plan should be provided which identifies anticipated land use along the corridor. This assessment should be used to identify future problems and issues and to assess the impacts on the Functions.

Development Control Strategy

3.4.14 The Development Control Strategy will be developed by the Consultant in conjunction with the HA. This will be used in responding to planning applications and development plan consultation. It will also assist in the future management of the route.

Outputs

3.4.15 It may be helpful to draft the LU&DCS so that it can be issued as a free standing document as well as being an integral part of the RMS document. The expected contents of this document are:

• Introduction
• Existing Planning Context
• Land Use Development Pressures
• Development Control Strategy

3.4.16 The "Existing Planning Context" will identify the relevant planning authorities, planning systems and documents which are applicable to the route. Any policies will have been summarised within the Policy Objective section or the main RMS report.

3.4.17 An understanding of the "Land Use Development Pressures" affecting the route are essential in order to understand the Future Problems and Issues to be addressed along the Route.

3.4.18 The "Development Control Strategy" should consider each of the issues identified above and provide guidance to both the HA and other relevant parties (e.g. developers, LA's, RPB's etc.), on how the route will be managed in the future. Reference must be made to Circular 4/2001 and if necessary a copy appended. Final responsibility for the Development Control Methodology should rest with the HA however it is likely that this will be developed by the Consultant.

3.4.19 The Strategy should provide advice on the following:

• Approach to Development Plan Representations - including Comments on existing Policy Aspirations
• Approach to Individual Plan Applications
• Potential Route Outcomes

3.4.20 "Development Plan Representations" should provide the following information:

• A summary of the RMS (i.e. Route Functions, Relevant Problems & Issues and Route Outcomes)
• Any conflicts/issues with existing development plans or policies
• Locations on the route where development could be encouraged/discouraged
• Other Actions which are not within the HA's remit (e.g. Green Travel Plans, Demand Management)

3.4.21 "Approach to Individual Plan Applications" should provide the following information:

• Locations on the route where development could be encouraged/discouraged
• Problems & Issues which may affect development decisions
• Potential activities that may be required in order to develop in certain locations
• Standard processes which the HA adopt in dealing with planning applications

3.4.22 Should this process indicate a need for interventions on the route a "Route Outcome" should be identified.

3.5 Problems and Issues

What are they?

3.5.1 Route Problems and Issues are matters of concern to the Agency, stakeholders and the public. During the RMS Study it will be necessary to examine the extent to which perceived problems and issues and real problems and issues prevent the Policy Objectives being met or hinder the performance of Route Functions.

3.5.2 Where problems occur there is likely to be a reduction in performance, which can be identified at a network or route level. An understanding of the problems and issues should demonstrate how the route is performing against its functions, how it compares with other routes and illustrate why it might not be performing as desired.

How are they identified and developed?

3.5.3 Route Problems can be identified through a number of methods which are not specific to the Route Management Strategy process. The Consultant should make the most use of existing information before undertaking any detailed investigative measures or data collection.

3.5.4 Route Problems will be identified through a number of methods including:

• Network Comparison
• Current Conditions (including Route characteristics and recorded incidents)
• Strategy and Wider Reference Group Consultation
• Public Consultation

3.5.5 It is important that both existing and future problems are considered. Whilst there is likely to be significant knowledge relating to existing problems, consideration of land use and policy changes will be required to understand future problems. This is likely to be undertaken when developing the LU&DCS.

3.5.6 In developing the Strategy and helping others to understand the issues along the route, a network comparison against other routes should be provided. This could include some comparisons of congestion and safety from data provided to area teams as part of the forward planning process. . Specific issues identified within the Forward Planning Guidance should also be considered.

3.5.7 Consideration of the route's performance against its functions is likely to have identified a number of problems. These problems should also be considered in more detail in this element.

3.5.8 In understanding the current conditions it will be necessary to collate existing information as well as conducting fresh observations or studies. It may also be useful to conduct a Route Tour involving the Strategy Group, and potentially, other selected members of a Wider Reference Group. This will allow more detailed problems to be considered on site.

3.5.9 A Constraints Plan may be developed which will aid in developing potential solutions and understanding other issues relating to the route. As well as environmental and other physical barriers, development sites could also be included.

3.5.10 Consultation with the Wider Reference Group is advisable to gain a wider appreciation of problems experienced by users of the route. For example, the interests of non motorised users may not be fully represented by the Strategy Group and problems which they experience may not be easily identifiable.

3.5.11 Where appropriate, Initial Consultation may have been undertaken which will provided an understanding of the public's views on problems and issues along the route. In other cases the Route Manager or Managing Agent may have sufficient knowledge in this area.

3.5.12 Further work may be necessary to understand the problems in sufficient detail. This may involve, for example, data collection, accident investigations or analysis of vulnerable user facilities. A work programme should be agreed between the Project Sponsor and Consultant.

What do you do with them?

3.5.13 By stating the Problems and Issues at the time of the RMS Study it will be possible to measure the effects of the strategy as time progresses. Identification of problems and issues will assist in understanding the performance of the functions and will assist in the development of Route Outcomes and future interventions along the route.

3.5.14 A suitable method of presenting the problems should be developed, preferably geographical. Representation of performance in a map-based format is likely to be particularly useful during consultation phases of the study.

3.5.15 A Performance Report may be produced for the HA's use. This is likely to contain the bulk of any technical data which is not considered suitable for the main report. This report should be appended separately to the Route Management Strategy and may include the following information:

Economy	Traffic Flow Data
	Congestion Data
	Delay/Queuing information at junctions
Safety	Accident Numbers
	Accident Rates
	Severity Ratios
Accessibility	Non Motorised User Access Studies
	Hansard Sites and other Noise Hotspots
	Status of a Biodiversity Action Plan
	Relevant Air Quality Management Areas
Integration	Qualitative assessment of the facilities for public transport and their usage.

3.6 Route Outcomes

What are they?

3.6.1 Route Outcomes set out what the HA will seek to obtain from the route over the 10 year period of the RMS. They should contribute to Policy Objectives, improve the performance of Route Functions, support the LU&DCS and address Route Problems and Issues.

How do you develop them?

3.6.2 Development of the Route Outcomes requires a complete understanding of the route, its Functions, Policy Objectives, Land Use and Problems. Two stages are suggested which are intended to simplify the process as much as possible:

• Initial Route Outcomes will identify the relation between Policy Objectives, Functions and specific problems. This may result in a large number of initial Route Outcomes.
• These Initial Route Outcomes can then be rationalised to provide the final Route Outcomes by grouping similar Route Outcomes which address different Policy Objectives and Problems.

Initial Route Outcomes - Step 1

3.6.3 Initial development of the RMS will have identified problems which affect the performance of the Functions of the route and prevent Policy Objectives from being achieved. The first step to be undertaken is to identify the Problems that prevent Policy Objectives being achieved or functions performed. This will allow initial Route Outcomes to be developed.

3.6.4 It is likely that a number of problems will be associated with any one Policy Objective or Route Function and thus a number of Initial Route Outcomes will be developed. An example is provided below.

Route Function	Problem	Initial Route Outcome
Forms part of the Trans European Network Route between Felixstowe and Holyhead	Lack of overtaking opportunities	To increase or improve overtaking opportunities
	Unreliable journey times	To improve journey time reliability

3.6.5 Through this exercise it will become clear that each function is affected by a number of problems and that each problem relates to a number of initial Route Outcomes. This may lead to a large number of Initial Route Outcomes.

Initial Route Outcomes - Step 2

3.6.6 The next step requires a rationalisation of the Initial Route Outcomes to develop a cohesive strategy. Similar Initial Route Outcomes should be grouped together to provide a manageable number of Route Outcomes. These are likely to contribute to a number of Route Functions and Problems. It is essential that the Final Route Outcomes address each of these to some degree.

Final Route Outcomes

3.6.7 Route Outcomes should be agreed following the RMS Seminar. This could be undertaken in conjunction with the Strategy Group, possibly in a Value Management Workshop.

Presentation

3.6.8 For each Route Outcome the Consultant should provide as much supporting information as possible. This will allow a greater understanding of what the Route Outcome is intended to do which will help the Route Manager in developing solutions and the Route Management Plan.

3.6.9 Each Route Outcome should contain the following information:

• The full Route Outcome title;
• A short title for the Route Outcome;
• Locations where the Route Outcome is applicable;
• Functions which the Route Outcome is trying to improve;
• Problems which the Route Outcome is trying to address;
• Policy Objectives which the Route Outcome is trying to contribute to;
• Possible Actions (including committed projects or other interventions);
• Targets;
• Timescales;
• Reference to any other relevant Route Outcomes; and
• Any other Issues.

3.6.10 It should be possible to summarise all the relevant information for each Route Outcome in the form of an A4 table.

3.6.11 The Route Outcomes will have been developed to focus on the Functions which the route is performing. An explanation of how the performance of the proposed functions for the route will be changed by the Route Outcome should be provided.

3.6.12 Additional information should be provided to explain the Problems which the Route Outcome is seeking to address. This may require the identification of locations where these have been identified.

3.6.13 A reference to the Policy Objectives which the Route Outcome is trying to achieve should be made.

3.6.14 Possible Actions which may contribute to the Route Outcome should be identified. These may include:

• Potential major road schemes^* (often referred to as 'TPIs') or Local Network Management Schemes (LNMS)
• Committed TPI's & LNMS
• Detailed study such as a safety audit
• Options outside the direct control of the HA, e.g. public transport improvements, or the promotion of travel plans by employers adjacent to the route
• Demand management measures
• Partnerships with other transport providers and interest groups to encourage public transport and healthier transport uses.

^*It is entirely legitimate for an RMS to identify the scope for a major road improvement, but an RMS cannot of itself directly lead to the inclusion of such a scheme in the TPI. However, a recommendation of this nature emanating from an RMS will be progressed by the HA in dialogue with the relevant Regional Planning Body.

3.6.15 Where a LNMS is suggested, it may be possible to give examples of schemes which may be considered. Where TPI schemes have already been identified and funding is committed, more information should be provided. This may be appropriate where a Multi-Modal Study or Road Based Study has been undertaken. Issues and actions which are beyond the scope of the Agency to deliver should be fed back to the appropriate body.

3.6.18 For some Route Outcomes it may be possible to identify targets. These targets may be identified from an examination of specific policies as well as understanding the problems on the route. Where possible, measurable targets should be set, especially for Route Outcomes which are addressing safety and congestion problems. This will depend to some degree on the availability of data.

3.6.19 In addition to, or as part of the targets set, a timescale for achieving the Route Outcome may be considered.

3.7 Strategy Impact Statement

What is it?

3.7.1 A Strategy Impact Statement (SIS) is not an element in itself, but sets out the likely impact of the Route Outcomes. It sets out the Key Route Outcomes to which the HA will give priority, and examines the combined effect of these on the route.

3.7.2 Tables should be provided which illustrate the impact of the Key Route Outcomes on:

• Route Problems;
• Route Functions;
• Development Control and Land Use; and
• Policy Objectives.

3.7.3 Potential Actions may have been identified within the Route Outcomes. These should be considered and the impact of these Actions on the Key Route Outcomes set out. It should be possible to identify priority actions which will address the Key Route Outcomes.

What happens next?

3.7.4 Actions will need to be identified which will contribute to the Key Route Outcomes identified within the SIS. This will be undertaken by the HA and will result in a Route Management Plan.

Route Management Plan

3.7.5 Following the completion of the RMS, a Route Management Plan will be developed by the HA providing the implementation plan for actions which will contribute to the Route Outcomes.

3.7.6 Whilst some potential actions will have been identified during the study, the level of detail to which these can be investigated in the study is limited. The HA will therefore need to consider how to develop them following the study. Forward Planning Guidance documents will contain advice on the development of the Route Management Plan. Further details of the Route Management Plan are provided in Section 4.5.

Feedback to other policies and plans

3.7.7 In many cases the Route Management Strategy will identify issues relating to existing plans and policies, such as Local Transport Plans and Regional Planning Guidance.

3.7.8 It is expected that the RMS will assist the HA in providing an input into the continuing development of Regional Planning Guidance, by articulating the constraints under which the route operates and identifying opportunities for improvement.