Consultation on the Draft Guidance on Regional Transport Strategies

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Section 2: Guidance

A: Purpose of the regional transport strategy

9. The broad purpose of regional transport strategies ought to be consistent across the country, though each partnership should have discretion to determine its own regional objectives according to the challenges and circumstances it faces.

10. The Executive expects all regional transport strategies to serve the following purposes:

1. To provide a vision and objectives for transport in the region over a long-term (10-15-year) time perspective and communicate these to stakeholders and the wider community.

2. To provide an analysis of the current situation, transport needs and problems in the region.

3. To set out a programme of activities, projects and interventions by the RTP, its constituent councils and other stakeholders, that is prioritised and costed, and which will contribute to the achievement of regional transport objectives.

4. To inform the RTP's implementation and investment planning, setting out how the strategy will be achieved and its programme of activities delivered using funding at the RTP's disposal, including funding already committed from stakeholders (including the Scottish Executive).

5. To identify any additional measures that would be dependent on further contributions from a range of possible stakeholders and to make the case for any additional contributions from those stakeholders (including the Scottish Executive).

6. To provide a key steer for local transport strategies by setting regional transport objectives, outlining how the exercise of functions is to be shared between the regional and local levels.

7. To complement the National Transport Strategy and provide an important input to the Strategic Projects Review.

11. Strategies will provide the strategic framework for the transport activities of constituent councils and others but not necessarily go into great detail on delivery issues which will remain outwith their direct responsibility. This is equally true of the strategies of those partnerships that have greater operational responsibilities. In these cases, the RTS should remain high-level but other plans and policies will be required to support the RTP's implementation of those parts of the strategy that fall under its direct control.

12. Regional transport strategies should also complement and support the National Transport Strategy. When taken together, the national, regional and local strategies will represent a hierarchy of interventions in transport services, infrastructure and travel behaviour that will set a detailed framework for the improvement of transport across the whole of Scotland.

13. Regional transport strategies need to be aspirational but also realistic. Ambition needs to be tempered by affordability - RTPs are independent statutory bodies and it is for them to set their budgets , to agree their priorities and to take often difficult decisions. However, the RTPs should aim high and seek to deliver real improvements for transport users, including users of freight transport. Where an RTP identifies projects that require additional funding from the Scottish Executive, or the exercise of Ministerial functions, for their implementation, the RTS should be used to make the case for such interventions to the Scottish Ministers.

B: Content

This section gives guidance on the content of the regional transport strategies including guidance on the guiding principles, scope, time horizon and the extent to which strategies should cover individual modes.

(i) Principles

14. Regional transport partnerships will need to focus their strategies on particular outcomes and activities. This should be driven by the vision and objectives of the strategy (see following sections below), and the need to meet the statutory requirements set out in sections 5(1) and (2) of the Transport (Scotland) Act 2005. These provisions are set out in full in paragraph 18.

15. Transport strategy has to balance and integrate many varied and often competing demands. The development of the RTS should inform, be informed by, and integrate with other relevant strategies, policies, plans and activities. The RTS should contribute to the overall vision, aim and objectives set out in the June 2004 White Paper Scotland's Transport Future. These are attached for ease of reference at Annex D. Other Scottish Executive policy documents set objectives and targets that are directly or indirectly relevant to transport. These include:

  • The Scottish Planning Policy 17 ( SPP17) - Planning for Transport - more detail on this is contained in the section later on Inputs;
  • The Executive's overall economic policy direction set out in Framework for Economic Development in Scotland ( FEDS);
  • Economic development targets in Building a Better Scotland;
  • Sustainable development targets in Meeting the Needs and the forthcoming Scottish sustainable development strategy;
  • Social inclusion objectives and targets from Closing the Opportunity Gap;
  • Air quality and climate change targets.

16. More details on these plans and the targets they contain, including where they can be found, is attached at Annex E.

17. A number of guiding principles, based on the national aims and objectives for transport and on the Executive's overall policy goals, should underpin the contents of the regional transport strategies. These include:

  • Promoting economic growth and supporting the needs of business through improvements in physical transport infrastructure - linking people to jobs, businesses to markets, communities to services - and the efficiency of transport systems;
  • Providing and promoting sustainable transport choices for people and goods, including, where appropriate, reducing traffic levels and encouraging fewer journeys by car (particularly single occupancy) and more freight carriage by rail and water;
  • Tackling the costs to business and individuals of the delays and unpredictability caused by congestion, through demand management, traffic management and, where necessary, investment in new infrastructure and services (demand management can include road user charging and bridge/tunnel tolling, traffic management, parking controls, pedestrianisation and the balanced allocation of road space to different modes including walking and cycling);
  • Improving access to public services, education and training, jobs, shopping etc, particularly for people who are currently excluded from enjoying the benefits of such services, by extending transport services (and where necessary infrastructure) to where people need them;
  • Addressing transport inequalities, including provision of and access to transport for disabled people and putting into action the (proposed) statutory duty to promote equal opportunities;
  • Increasing the safety and quality of transport infrastructure and services, including better information on all modes and improved reliability;
  • Ensuring that new initiatives represent value for money, that the value of existing assets and services is maintained, and that limited resources are spent efficiently and effectively.

(ii) Implementing the specific statutory requirements of the Transport Act

18. Section 5 of the Transport (Scotland) Act 2005 sets out some detailed requirements for regional transport strategies:

Transport strategies

5 Formulation and content of regional transport strategies

(1) It is the duty of each Transport Partnership to draw up a strategy for transport within its region (its "transport strategy").

(2) Its transport strategy shall include provision about each of the following matters-

(a) the respects in which transport in the region needs to be provided, developed or improved having regard to, among other things-

(i) future needs including those occasioned by demographic and land use changes; and

(ii) what can be done, taking account of cost, funding and practicability;

(b) meeting the needs of all inhabited places, in particular, those which the Partnership considers different from the remainder of the region by reason of their remoteness or the sparsity of their populations;

(c) meeting the need for efficient transport links between heavily populated places;

(d) how transport in the region will be provided, developed, improved and operated so as-

(i) to enhance social and economic well-being;

(ii) to promote public safety, including road safety and the safety of users of public transport;

(iii) to be consistent with the principle of sustainable development and to conserve and enhance the environment;

(iv) to promote social inclusion;

(v) to encourage equal opportunities and, in particular, the observance of the equal opportunities requirements;

(vi) to facilitate access to hospitals, clinics, surgeries and other places where a health service is provided;

(vii) to integrate with transport elsewhere;

(e) the order of priority in which different elements of the provision, development and improvement of transport should be undertaken;

(f) how the Transport Partnership's functions will be exercised so as to fulfil its transport strategy and, if the Partnership considers that the conferring of further functions is necessary for that purpose, what those functions are;

(g) how the Transport Partnership, so as to enable it to fulfil its transport strategy, will seek to influence its constituent councils or council in the performance of their functions relating to transport;

(h) the measuring and monitoring of the achievement of the strategy.

19. Later sections set out how these requirements might be addressed by RTPs 5:

  • Section 2(a) - see paragraphs 44-48 on scoping and also Annex J
  • Section 2(b) }
  • Section 2(c) } see Annex J
  • Section 2(d) }
  • Section 2(e) - see paragraphs 64-65 on prioritisation
  • Section 2(f) - see paragraph 81 on functions
  • Section 2(g) - see paragraph 88 on the duties of constituent councils, health boards and other specified public bodies
  • Section 2(h) - see paragraph 94 on monitoring

(iii) Scope

20. The RTS is intended to be a long-term document that will also contain strategies, projects and interventions of a short, medium and long-term nature and provide a framework for the transport activities of local authorities and others. It's scope should not therefore be confined to what the RTP can, itself, directly deliver. In the early years, it is expected that most of the partnerships (the exceptions being the West of Scotland Transport Partnership and the single-authority RTPs) will exercise few powers and then only concurrently with their constituent councils.

21. Many transport activities in the region are undertaken by players other than the RTP: e.g. councils, transport operators, infrastructure providers, the Scottish Executive (and, once established, its new national transport agency, Transport Scotland). The RTS should consider how these various players can and should contribute to the achievement of regional objectives and the fulfilment of the regional strategy. Ongoing engagement and close involvement in the drawing up of the strategy will be key to securing this kind of co-operation and commitment.

22. The scope of a regional transport strategy should cover all regional transport. In addition, the RTS should look at how transport within the region connects to and is integrated with transport links and services coming into the region from other regions and could consider links to other parts of the UK and further afield. Neighbouring RTPs will need to work together when drawing up and implementing their strategies to ensure that services are integrated to the benefit of people travelling across regional boundaries. The RTS can also make proposals for improvements to services and infrastructure provided by others, including the Scottish Executive and Transport Scotland, where these have a regional impact. It is likely, perhaps probable, that the full implementation of the RTS will require additional funding or other action to be taken by the Scottish Ministers. RTPs should use the RTS to make the case to the Scottish Ministers for the inclusion of such proposals in forward investment plans.

23. The vehicle for doing so will be the Strategic Projects Review to be carried out for the first time between 2006 and 2008 and repeated in the future. Whilst it is not impossible for national funding to be granted to regional projects not included in the RTS, this would be exceptional and there would need to be good cause - for example if the need for an initiative has emerged since the completion of the strategy but there is a desire to pursue it before the RTS is next refreshed. It is likely such a scheme would only be supported by the Scottish Ministers if it contributed to the overall objectives of the RTS, and to their own national objectives.

24. The RTS should also provide a framework for local services ( i.e. those confined to a council area). So if, for example, an RTP was taking forward regional bus corridors then the RTS would comment on how these would co-ordinate with local bus corridors, local bus services and even, if judged necessary, what might appear to be purely local concerns such as the location of bus stops and bus shelters. Where particular objectives identified by the RTP need purely local activity to achieve them, the RTS need not be heavily prescriptive but would need to make clear (to the council, or whoever else was responsible) that certain activities or outputs were needed in order for certain regional objectives to be achieved. An example could be a regional objective of reducing road accidents outside schools - an RTS could set out a consistent regional approach to this or could leave it to each council, working with its local partners, to determine the best way to contribute effectively to an overall regional target, set in conjunction with others, with the RTP taking on a monitoring role.

25. RTPs will have a strong interest in the national priorities of the Scottish Executive and some issues that are reserved to Westminster. The policies of RTPs should be determined in the light of that national context. RTPs will also wish to seek to influence how such policies develop and are implemented. RTPs may wish to refer to national and UK-wide issues in their strategies where this is relevant to the development or improvement of regional transport services. Provided RTSs are based on an underlying realism they can express aspirations, flag issues and include lobbying as part of the strategy.

(iv) Time horizon and subsidiary plans

26. Regional transport strategies should cover a time horizon of 10-15 years. They should be reviewed and renewed every 4 years or so. The strategy should provide the framework and context for subsidiary plans that each partnership will need to draw up according to the specific challenges of implementing its strategy and exercising its functions. These should be distinct from the RTS which is intended to be a significant 'milestone' document. Those partnerships with stronger operational powers will need more detailed operational and/or investment plans. An example of a hierarchy of plans is below:

  • RTS: 10-15 year strategy reviewed, revised and refreshed every 4 years in line with local government electoral cycle.
  • Investment Plan: 5-10 year investment plan that sets out a coherent programme of capital investment required for the successful implementation of the RTS.
  • Delivery or business plan: 3-year plan for the implementation of the RTS, updated annually to reflect local and central government planning and funding cycles. Includes spending and borrowing commitments needed to support the implementation of the investment plan.
  • Annual report: Yearly update of progress.

(v) Transport modes

27. This guidance is based on the principle of planning for integrated transport networks that take account of the needs of all users (road and rail; passenger and freight etc) and of the contribution that can be made by all modes, including cycling and walking. Preparation of the RTS should follow the STAG process and be objective-led and outcome-driven. Therefore, when preparing different strategy options (this process is described in more detail later), the contribution of all modes and, importantly, their integration should be carefully considered. RTPs should consider a 'hierarchy' of modes appropriate for their region, and give greater weight to more sustainable modes and the more sustainable use of modes ( e.g. occupancy levels of cars, buses, trains etc; use of more efficient engines and sustainable fuels). Options identified should include a range of possible interventions.

28. The issues relevant to each mode are set out in some detail in the Local Transport Strategy Guidance 6 published by the Scottish Executive in February 2005 and those messages remain relevant at the regional level. The RTP may decide it is appropriate for the RTS to include statements and plans for each mode of transport - particularly where statutory responsibility for the provision or regulation of a mode is at the regional level. Clear statements and plans for freight transport should be included alongside those for passengers.

C: Inputs

29. A key input to all RTSs will be local development plans and strategic development (city region) plans. This is an iterative process which both levels of planning and transportation strategies should benefit from. The RTS will be a major input to the structure plan/strategic development plan.

30. The National Planning Framework ( http://www.scotland.gov.uk/library5/planning/npf04-00.asp ) sets out the Executive's strategy for Scotland's long-term spatial development. Scottish Planning Policy 17 Planning for Transport reinforces the Executive's commitment to the development of integrated land use and transport planning. SPP17 promotes an integrated approach to land use, economic development, social justice, transport and the environment. The RTS should support this policy.

31. The development plan system in Scotland consists of structure plans and local plans covering the whole of Scotland. These set out the planning framework for the safeguarding, management and development of the strategic transport network. Each of these plans outlines the key development priorities for that particular area The Structure Plan sets out a vision which looks forward at least 10 years but which requires comprehensive review every 5 years. Local Plans should be reviewed on no more than a 5-year cycle.

32. Proposals for reforming development plans were set out in the white paper, Modernising the Planning System ( http://www.scotland.gov.uk/Publications/2005/06/27113519/35231 ), published in June 2005. The Executive intends to introduce legislation in 2005 which will replace the current requirement for structure plans and local plans to cover all Scotland. In place of this, strategic development plans will be required for the four city regions of Aberdeen, Dundee, Edinburgh and Glasgow. Joint working arrangements will be set up between the local authorities comprising these regions. The exact boundaries to be covered by strategic development plans will be agreed by the local authorities and approved by the Scottish Ministers.

33. Outwith the four city regions a single-tier development plan will replace the current two- tier structure and local plan arrangements. The intention is that each local authority and National Park Authority will be responsible for producing the development plan for its area. This development plan may cover the whole of the Council's area or in the case of the larger councils may comprise a number of Plans.

34. Regional transport strategies should reflect the national spatial priorities identified in the National Planning Framework and be consistent with strategic and single-tier development plans . Joint working should be encouraged to ensure that closer integration between spatial and transport strategic planning is achieved. Non-statutory strategic plans and local development frameworks which contain strategic elements should also be taken into account.

35. Whilst the RTS will act as a framework for local transport strategies, these should also contribute to the RTS. This relationship should benefit both local and regional strategies.

36. In the same way the national transport strategy, once produced, will be a key input to the RTSs. It will provide national policy context and direction on how transport delivery contributes to the achievement of other national objectives e.g. on economic growth, climate change and social inclusion. At the same time, early work undertaken to prepare regional strategies will be an important input into the first national strategy.

37. Public consultation and targeted discussions with key regional stakeholders should have a significant bearing on the overall direction of the RTS. Consultation should also have an influence, balanced by proper appraisal work, in deciding the overall programme. Public acceptability/desirability and the feasibility/deliverability of schemes where these are dependent on other organisations should feature among the criteria used when appraising options and setting priorities. Where already available, user feedback will provide a valuable source of information of the public perception of current transport services and infrastructure. RTPs should consider establishing a consultative forum (where one does not already exist) to provide input to the strategy; such a forum could then provide a valuable source of feedback on the progress of the RTS implementation.

38. Regional transport partnerships will be, from April 2006, required to participate in community planning. The requirements for this are set out in the Local Government in Scotland Act 2003. Where community plans are in place, these should also be taken into account during the drawing up of the regional transport strategy, although as they are likely to be local in their focus their impact at the regional level may be limited. However, it is important that the RTPs engage with their community planning partners during the drawing up of their strategies, and that community plans take account of regional transport strategies once these are in place.

39. The demand and supply of travel and transport services is driven and constrained by a wide range of social, economic, legislative, political and technological factors. These types of trends and changes should be considered in the development of strategies which will be looking forward at least one and perhaps two decades. A list of some of these drivers and constraints is included in Annex F. There will be others which are specific to each region.

D: Process

(i) Stages in the process

40. This section sets out the steps expected for the creation of a regional transport strategy.

41. The RTPs will be supported throughout this process by the Scottish Executive and an appropriate assurance process will be agreed. This will enable the Scottish Executive to give informal feedback to RTPs at key stages of the process. This should give RTPs confidence that their strategies are developing in line with this guidance and that they are on course to achieve Ministerial approval. The details of this process will be agreed in time for the commencement of work on the RTS and will be included as an annex to the final version of this guidance.

42. The process follows that set out in the Scottish Transport Appraisal Guidance ( STAG) and should meet the requirements of Strategic Environmental Assessment ( SEA) legislation. Further information on STAG and SEA can be found at the following websites:

SEA Webpage - www.scotland.gov.uk/Topics/Environment/17108/14587

STAG Webpage - www.scotland.gov.uk/stag

(ii) Timetable

43. Section 6(1)(b) of the Act sets out that the first RTS must be completed by 31 March 2007. An RTP may, any time within 8 months of its creation, apply to Ministers for an extension to this deadline. Such an application can be a simple written request from the Chair of the RTP to the Minister for Transport, following an affirmative decision by the partnership's board, setting out the additional time requested and the reasons for the request. Ministers will consider the case made and respond in writing setting out the length of the extension granted or the reason why it has not been granted. A model timetable is attached at Annex G which also indicates where the RTS process links to the key stages of STAG and SEA.

(iii) Scoping - understanding the problems

44. The first stage of drawing up a regional transport strategy is the initial scoping. This will look at the current situation of transport in the region. In following the STAG process it is imperative to have a detailed and, where practicable, a quantified understanding of the transport problems, constraints and opportunities within the region. In particular it is essential to understand where established policies and objectives are not being achieved as a result of deficiencies within the transport system.

45. In taking stock of the current state of transport in the region, and looking ahead to how trends are likely to develop over the timescale of the strategy, the RTP will need access to a variety of information sources. The guidance will provide some suggestions (see Annex H 7) although the RTP will want to carry out is own identification of data sources and data collection.

46. The output of this stage should be an 'issues report' that can form an early chapter of the strategy detailing the current state of transport in the region, the problems that currently exist, the predicted state under a 'no change/known changes' scenario, and the problems this would create.

47. The issues report will enable the RTP to determine which issues need to be addressed and problems solved and at what point in time - and to set objectives accordingly.

48. This report should also be drafted to meet the requirement for an SEA scoping report. It is clear an RTS is likely to be subject to SEA legislation and therefore given the environmental effects it is unlikely Screening would be required and it is therefore possible to go straight to Scoping.

(iv) Agreeing the vision

49. Agreeing a vision for transport in the region is not a statutory requirement but is recommended by the Executive.

50. This stage can run in parallel with the scoping. Although the vision needs to be informed by an understanding of the current state of transport in the region, it can be developed without the input of the detailed evidence base required for later stages. The vision should be a general and aspirational statement that is focused more on the future than the current situation ( i.e. up to and beyond the timescale of the RTS).

51. To have value, the vision must be owned by the members of the partnership. To be useful - and memorable - the vision should not be too long and should not try to cover every concern, focusing instead on those concerns of most importance to the partnership.

(v) Setting the objectives

52. Whilst the vision will set a high level direction for the strategy and the work of the RTP, a series of more specific objectives will also be required. These objectives will steer the appraisal and prioritisation of projects and initiatives for transport in the region.

53. In line with STAG, objectives should be 'smart': specific, measurable, achievable, relevant and timed. They should also be challenging. They should be written in such a way that it will be clear when they are achieved and that progress can be measured along the way. They may be presented as broad themes supported by the number of more precise objectives. They can be supported by lower-level targets and performance indicators for particular programmes or services - it is likely that any one objective would be achieved by a number of different initiatives (and, equally, that a single initiative will contribute to the achievement of more than one objective). Community planning partners and other stakeholders will be able to make a contribution to the setting of objectives.

54. Objectives should focus on the key ambitions of the RTP. These, in turn, should be informed by the RTP's vision, by the problems identified and prioritised through the work on scoping and by the 5 key objectives and the National Transport Strategy of the Scottish Ministers.

(vi) Generating the options

55. Once the problems, constraints and opportunities are fully understood and a set of 'smart' objectives have been established for the RTS, it is possible to develop a number of different options to achieve the objectives. These are likely to consist of packages of complementary measures and activities covering several transport modes.

56. The generation of strategy options should be an inclusive process and draw in ideas from the wider community as well as transport professionals, community planning partners and other interest groups. However, there is a balance to be struck between inviting suggestions, many of which could fall at the first hurdle of appraisal, and using limited time and resources most effectively.

57. Option generation should also be wide-ranging and bring in ideas for new or improved infrastructure, new or improved services but also new or improved 'smart' measures such as schemes to promote changes in travel behaviour. (Or, indeed, ideas for reductions and closures.) Options should include those covering passenger transport, freight transport and those which apply equally to both.

58. Whilst this systematically follows from the scoping, vision and objective stages, in reality options for projects, services and initiatives will be generated throughout the process and indeed precede it.

59. Although option generation will, by nature, tend to start early, it should also be constrained by or steered towards the RTP's objectives. Where strategy options do not appear to fit with the objectives at this stage they should be discounted at the generation stage unless they can be developed into a strategy that can fit with and contribute towards the objectives.

60. RTSs can and should contribute to and make recommendation for outcomes that are not, strictly speaking, transport outcomes but relate to, for example, planning, service provision, economic development or job creation.

(vii) Appraising the options

61. Each of the strategy options should be appraised against the established objectives and the Executive's five criteria for the environment, economy, safety, integration and accessibility and social inclusion. A Strategic Environmental Assessment will also have to be undertaken to assess the environmental impact each potential strategy would have on the receiving environment. STAG contains advice on the principles of undertaking a SEA and where to find out more specific guidance, information and advice on this subject.

62. An assessment of the options should include the practicality and feasibility of their delivery. This should take account of levels of control and influence and levels of stated commitment.

63. Each option should also be at least provisionally costed and an assessment made of its affordability and of what funds (definite, possible, or targeted) are available to the RTP.

(viii) Decision on options and prioritisation

64. The strategy option or package of measures the RTP proposes to adopt should show a clear pathway towards all their objectives, have at least a reasonable chance of being delivered within known time and cost constraints, and, where possible, reinforce one another. Contradictions or conflicts between different initiatives should be minimised and ideally eliminated. Whilst forming a coherent package, projects will have to be prioritised. Given the long-term nature of the RTS and the number of unknowns, particularly on funding, this is essential.

65. Prioritisation should take into account timing, deliverability and benefits (those with the highest net benefit). For priorities where there are higher than average risks of not going ahead (cost, planning permission, reliance on other parties) it would be prudent to have back-ups that would contribute to the same objective or deliver some similar benefit to the people who would have benefited from the preferred scheme - and ideally both.

66. It is recognised that, at the time of the first strategies being developed, there are a number of projects in each region at various stages of development, including those that have already undergone a full appraisal. The purpose of prioritisation is to decide which of the new and current identified projects should move forward to the next stage of development and which should not. That could mean a fully appraised project, where funding has been identified, moving to a definite commitment to proceed. It could equally mean deciding to take a new and only partly appraised project on to the next stage of appraisal, while ruling out for the time being further work on other projects that have less priority. In order to make these decisions on prioritisation, some further appraisal work on some projects may be needed, but that should be proportionate to the existing state of development of each idea - the time available to draw up this first set of strategies does not allow for all possible projects to be developed to the same extent.

(ix) Public consultation

67. Public consultation is a vital stage in drawing up an RTS and the RTP should give particular attention to views expressed in the consultation exercise and to considering the consultation responses in finalising the strategy.

68. A variety of approaches are available for consultation. For example, key stakeholders can be kept engaged throughout the process through the use of ongoing consultative forums.

69. Only the constituent councils and health boards are statutory consultees but other community planning partners will also be key participants in the consultation process. The draft strategy should be made available for comment to any interested party.

70. The consultation requirements set out in SEA legislation must also be examined and taken into account.

(x) RTP Board sign off and s ubmission to Ministers for approval

71. The RTS has to be submitted to the Scottish Ministers for their approval. For the first strategy, this has to be submitted by 31 March 2007. The strategy should be formally approved by the Partnership board and a record of the decision, including the result of a vote, if taken, should be forwarded to Ministers along with the strategy.

72. If this guidance has been followed, then the RTP should be confident of gaining approval. The assurance process mentioned earlier (paragraph 41) should reinforce this.

(xi) Ministerial approval

73. Section 6(4) of the Act sets out that an RTS has effect when it has been approved by the Scottish Ministers.

74. Section 6(3) of the Act requires that, when considering whether to approve a strategy, the Scottish Ministers consider, amongst other things, how far the RTS will contribute to the Executive's own transport objectives.

75. Ministers will not withhold approval of an RTS on the basis of its detailed contents; rather they will seek assurance that it is a coherent and affordable strategy, based on sound evidence, an inclusive process and objective appraisal, that will tackle the transport issues of the region and improve services for the people of that region.

76. The RTP will have to demonstrate to Ministers that the strategy will contribute towards the regional objectives agreed by the RTP and how it will help towards the achievement of the national objectives set out in the white paper and the National Transport Strategy.

77. Ministerial consideration will cover both process and content:

Process

  • Have all statutory consultees (local authorities, health boards) been properly consulted?
  • Have other interested parties been adequately consulted?
  • Have neighbouring RTPs been involved?
  • Is there evidence that the results of consultation have been taken into account?
  • Has a meaningful analysis of current position, trends and options been carried out?
  • Have the costs of options been estimated?
  • Have options been selected and prioritised on the basis of objective criteria and sound evidence?
  • Are spending plans supported by an identification of the necessary financial and non-financial resources?
  • Have delivery agents been identified for each project/service? Do these agents have capacity?
  • Are robust monitoring, reporting and review mechanisms in place?
  • What outcome evaluation is proposed?
  • In general, has the RTS been drawn up in accordance with this RTS guidance?

Content

  • Does the RTS incorporate and place a high priority on the fulfilment of all statutory obligations including those set out in section 5 of the Transport (Scotland) Act 2005?
  • How far does the RTS contribute to the Executive's 5 key transport objectives?
  • How far will the RTS help towards achievement of specific Executive targets for transport (including those set out in the National Transport Strategy)?
  • What is the balance between the achievable and the aspirational? Does the RTS give priority to projects and service improvements within that the RTP and its constituent councils can themselves deliver?
  • Are there any problematic contradictions between the RTS and those of neighbouring RTPs or the LTSs of constituent councils?

(xii) Publication

78. Section 6(6) and (7) of the Act require that when the RTS is approved, Ministers must inform the RTP and the RTP must inform its constituent councils and send them a copy. The RTP must also publish the strategy. The Executive recommends that the strategy is published in such a way that it is publicly accessible and that this should include at least:

  • publication of the completed RTS on the RTP's website;
  • copies sent to key stakeholders;
  • arrangements for those without access to the internet, such as hard copies to be placed in all public libraries in the region;
  • inclusion within the RTP's publication schedule required by Freedom of Information legislation.

79. Consideration should also be given to other means of disseminating the RTS in either an entire or summarised form. This could include consideration of publication in languages other than English and in other formats.

E: Implementation

(i) Transport functions

80. The RTS should identify leading and supporting delivery agents for each of its component parts.

81. The RTP itself will have powers to perform some transport functions. Section 11 of the Act specifies that any functions the RTP has must be carried out in a way that will contribute to the fulfilment of the RTS.

82. The strategy should also identify any other transport functions that an RTP will itself need in order to ensure that the strategy is delivered. These could be transport functions currently exercised by its constituent councils, by the Scottish Executive and Transport Scotland, or by other public bodies. Sections 10(4) and (5) of the 2005 Act gives an illustrative list of some of the functions that could be conferred upon an RTP. These are:

  • making quality partnership and quality contract schemes;
  • establishing voluntary ticketing arrangements or binding ticketing schemes;
  • providing bus service information;
  • installing bus lanes;
  • providing subsidised bus services;
  • making and implementing road user charging schemes;
  • operating ferry services;
  • managing tolled bridges;
  • operating airports and air services;
  • entering into public service contracts ( e.g. for the provision of ferry and air services).

83. When functions are identified, the RTP should then draw up a request to the Scottish Ministers for an order conferring these functions on the partnership. Functions can be conferred concurrently - so that the RTP can exercise the function without taking it away from whoever currently exercises it - or can be transferred to the RTP. This is clearly an important decision so section 10 of the 2005 Act puts in place a number of steps which must be gone through.

  • The proposal to confer or transfer a function must clearly flow from the regional transport strategy.
  • The RTP must consult specifically on this point with its constituent councils. This is important even if the functions to be conferred are not ones currently exercised by the councils as there could be financial implications. The RTP could also consult with other interested parties.
  • The RTP must agree to making the request to Ministers. Only the councillor members of RTPs will be able to vote on this matter.
  • The Minister, on receiving the request, will consult with the constituent councils of the RTP and with other interested parties.
  • The Executive will submit the draft order to Parliament, who will have the final say on whether or not the conferring or transferring of functions takes place.

(ii) Functions models

84. Scotland's Transport Future stated (paragraph 5.18) that :"We envisage that there will be two or three partnership models with varying degrees of power and responsibility, and we will consult further on these before publishing guidance. Each partnership, once formed, will be expected to agree which of these models they wish to follow."

85. It is envisaged that the first model will only confer a limited number of statutory functions on RTPs that can be exercised concurrently with local authorities. The second model will include some transfers of functions from constituent councils or the Scottish Ministers to RTPs. The third model will require a significant transfer of public transport functions from constituent councils to the RTP. This would be similar to the situation in the West of Scotland where SPT and not the local authorities have the statutory functions relevant to public transport. The new West of Scotland Transport Partnership will be a model 3 RTP as it will have SPT's public transport functions transferred to it. Any RTPs consisting of members from just one local authority (plus other members) will also be model 3 partnerships.

86. Section 14 of the 2005 Act also offers an alternative approach to the exercise of powers in the implementation of the RTS. This provides for an RTP to be able to enter into arrangements with either local authorities or the Scottish Ministers for the exercise of their statutory functions. In this way the statutory function would remain where it is now but the RTP could act as the 'agent'. This would, for example, enable local authorities to achieve economies of scale in the exercise of certain functions through the RTP without losing direct political control (an example could be contracting for the provision of purely local public transport services). It would also allow Ministers to delegate the operation of certain of their functions to one or more RTP, again without losing ultimate control and accountability. Equally, a function transferred from the local authorities to the RTP could subsequently be performed by the local authorities. This would enable policy decisions to be taken at the regional level where this was appropriate, with operational management decisions being taken at the local level, which may be more appropriate (an example could be local road construction or improvements).

(iii) Functions requests: form and content

87. Section 10(4) of the Act requires an RTP when making a request for the conferring on it of transport functions to have regard to any guidance from the Scottish Ministers on the form and content of such requests. Such a request should be in the form of a written submission from the Chair of the RTP. Requests should specify, with detailed reference to the legislation concerned, which statutory functions are to be conferred on the RTP, what exceptions (if any) are required and what consequential amendments (if any) to primary or secondary legislation are required. Copies of the submission should be sent to the all the RTP's constituent councils.

(iv) Duty on councils and others to perform transport functions consistently with the RTS

88. Section 8 of the Act places a duty on the constituent councils to perform its transport functions, and other functions which impact on or are affected by transport, consistently with the RTS.

89. Councils will have to aim to perform, as far as possible, any of their functions that relate to transport, affect transport or are affected by transport in a way which is consistent with the RTS. That means that areas of council responsibility other than transport but which, for example, rely on or generate transport should also take close account of the RTS and feed into its development. It is accepted that there will be times when the RTS cannot, for whatever reason, be strictly adhered to, particularly where other statutory requirements are concerned. However, councils should strive to deliver all their services in line with the RTS and should reflect on this when inputting to the RTS in the first place.

90. In a similar way, there are health boards and other public bodies who provide, generate, demand or otherwise impact on transport in the region and whose actions will help or hinder the achievement of the regional transport strategy. These bodies should be identified and engaged as part of the process of drawing up the strategy and some may be represented on the partnership itself as members or observers. Section 8 of the Act enables Ministers to place an obligation on named health boards and public bodies to adhere to the RTS in the same way as councils are required to. Before bringing forward draft secondary legislation to the Scottish Parliament that sets out the specified health boards and other public bodies that should adhere to each RTS, the Scottish Executive will consult those health boards and public bodies. There is probably scope to develop specific but separate guidance for the interactions between RTPs and health boards.

(v) Funding

91. The RTP will need resources to carry out its functions. Some funding will come from the Scottish Executive to contribute to core staffing and administrative costs. Other funding may come from the Executive and elsewhere to fund particular projects or services - there is already a commitment to provide an additional £35m per year capital funding to be shared between the RTPs. The remainder will have to be provided by the constituent councils. The RTP will decide how much of its remaining funding should be provided by each council. However, this should not be an arbitrary decision and must be informed by the regional transport strategy. Section 3 of the Act provides the mechanism for this which operates in the same way as the provisions applying to Joint Police and Joint Fire Boards.

92. Section 3(7) and schedule 7 paragraph 15(5) of the Act provides that RTPs may borrow money for the purpose of financing their capital expenditure. They will be able to borrow money under CIPFA's Prudential Code for capital finance in the same way that local authorities can and subject to the same objectives and prudential indicators as set out in the Code. It will also be open to any constituent local authority or authorities to use Prudential borrowing to fund capital projects that form part of the regional transport strategy. An RTP with appropriate functions will also be able to engage in revenue generating activities.

(vi) Delivery plans

93. Each RTP will also need delivery or business plans consistent with the overall strategy and geared towards achieving interim targets, milestones and agreed levels of performance. This is covered earlier (paragraph 26).

(vii) Monitoring

94. Section 5(2)(g) of the Act requires that RTPs include in the RTS a plan for measuring and monitoring progress towards its achievement. Section 11(b)(ii) places a duty on the RTP to undertake the measuring and monitoring set out in the RTS. Monitoring should, in particular, track progress against and achievement of objectives, targets and performance indictors adopted by the strategy.

(viii) Review

95. Section 7 of the Act requires RTPs to keep their strategy under review and, as necessary, make modifications or draw up a new strategy from scratch. The RTS should be reviewed and rolled forward around every 4 years, to reflecting the local government election cycle. If Ministers think a strategy is overdue for renewal, they can instruct the RTP to do this (it is not expected that this would happen other than in exceptional circumstances).

96. When modifying or renewing its strategy, the RTP will need to go through most of the same steps as when it drew up its original strategy - in particular it will need to consult with its constituent councils and others and seek approval from Ministers. One difference is that there is no timescale fixed in the legislation for the strategy's production.

(ix) Reporting

97. Schedule 1 paragraph 14(a) of the Act requires each RTP to provide the Scottish Ministers with an annual report. The Executive considers that this report should include a report of performance against the objectives, targets and performance indictors set out in the RTS and should also be sent to constituent councils and others who have provided funding. RTPs are also required to produce annual accounts and the Statement of Recommended Practice ( SORP) produced by CIPFA/ LASAAC8 and used by local government should be followed.

F: Good practice and information sharing

98. Although each RTS will be different, each RTP will face similar challenges in completing this task. This is also a new task for the Executive officials, who will be advising and assisting RTPs, and the Scottish Ministers, who will be approving the finished strategies. The Executive will look for means to facilitate the exchange of good practice between RTPs and in bringing in good ideas from elsewhere. This will be discussed further with the Partnerships.

99. The Scottish Executive will work together with RTPs, constituent councils, and other interested parties to share successes and discuss means of securing improved progress. We will also facilitate regular meetings of Executive and RTP officials to share information, report progress, identify and address issues arising, and discuss matters of mutual interest. SE officials will make themselves available to attend meetings of the RTPs and liaison meetings at official level. The Minister for Transport will also continue to keep in regular contact with the Chairs of RTPs bilaterally and collectively.

Page updated: Wednesday, November 02, 2005