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CHAPTER TWO METHODOLOGY
Research Aims and Objectives
2.1 From the outset, it was established that the overarching aim of this research was to identify to what extent SPP17 had been adopted into regular working practices and procedures by Planning Authorities across Scotland. It was proposed that the research should investigate and make recommendations with respect to four broad areas of interest:
- Establishment of an ongoing monitoring framework for SPP17;
- Understanding the extent to which planning authorities have adopted SPP17 principles in the development plan process;
- Understanding the extent to which planning authorities have adopted SPP17 principles as part of the development management process; and
- Understanding the extent to which developers comply with planning conditions intended to implement SPP17, and the extent to which planning authorities monitor and enforce such conditions.
2.2 In this context, a number of specific objectives for this research were set out by the Scottish Government:
- Consider the views and attitudes of planners and transport engineers to SPP17. To what extent do they acknowledge the interaction of land use and transport in terms of capacity of the transport system or the cost-effectiveness of enhancements to meet planning objectives? Assess perceptions of the effectiveness of the policy and consider whether there are opportunities for change and improvement.
- Consider the extent to which practitioners are confident they possess the knowledge and skills required to put SPP17 into practice. To what extent do practitioners feel they have the right appraisal tools to make effective decisions in line with SPP17 objectives.
- Explore the extent to which transport appraisal / modelling outcomes are used to inform decision making, in line with SPP17 objectives.
- Consider the relationship in practice between SPP17 and transport assessment and travel plans in development management; issues to explore here will include the roles and responsibilities of different players in the development process from developer through to end users.
- Explore the attitudes of local planning and transport staff re the tension between SPP17 objectives and the perceived need for differential local approaches, to meet differing economic development goals.
- Explore perceptions and examples of best practice in relation to SPP17.
- Where full implementation of maximum parking standards has not taken place, explore the factors that prevent this. These may include attitudinal issues for planners/transport engineers ( e.g. negative perceptions of the standards) or actual practical problems with implementation.
- Draw conclusions and make recommendations, as necessary, for reinforcing understanding of policy, ensuring good practice, and highlighting any modifications to practice or procedure thought desirable, based on the evidence collected.
Overview of Methodology
2.3 In order to draw out meaningful and useable conclusions in relation to the above objectives, a methodology was employed for this study which aimed to provide a logical progression from inception to conclusions and recommendations. The approach incorporated the following stages:
- Initial scoping of issues across different stakeholder groups;
- Surveying actual practice in Scotland through a document review;
- Initial scoping workshops held with key stakeholder groups at an early stage in the project. Stakeholder views were seen as critical to the research, and ultimately assist in steering conclusions;
- A questionnaire survey of relevant stakeholders to establish current attitudes towards SPP17 and opinions as to progress on its implementation;
- Consultation with the then Scottish Executive Inquiry Reporters' Unit ( SEIRU)
- Analysing this information and drawing conclusions;
- A second stakeholder workshop timed later in the research in order to discuss progress and potential recommendations;
- Setting out clear objectives to address any deficiencies in implementation;
- Developing mechanisms for delivering against these objectives; and
- Appraising these potential mechanisms against the objectives to produce final recommendations.
2.4 A key element of effectively delivering this research commission has been to identify the correct approach to consultation and the appropriate consultees. Given that structures within planning authorities differ from area to area, it is unlikely that the appreciation and operation of SPP17 will be consistent across the country. The methods of engagement and analysis adopted for this research were designed to accommodate this diversity.
2.5 Those areas with higher pressure for development may be expected to have greater experience in the management of planning outcomes to support SPP17. Whilst this may apply generally, the internal management of the development process within local authorities will also, to an extent, be reflected in the planning decisions they make. Those authorities with clearly defined policies supporting sustainable modes of transport or with more clearly defined staff responsibility for travel plans may, for instance, make clearer the need to deliver on the objectives of SPP17 than those authorities where such policies or responsibilities are less well defined.
2.6 The consultation process, as well as being as inclusive as possible also needed to be effectively targeted given resource and timescale constraints. Selected key elements of the methodology are set out in more detail in the following sections.
Inception Meeting
2.7 An Inception Meeting for the study was held on 28th March 2007 at Victoria Quay. This meeting was used not just as a formal commencement of the commission but as an initial workshop session to scope out the following:
- Key issues to be addressed;
- The role of the advisory group;
- Processes for obtaining documents for review; and
- The identification of potential consultees for subsequent workshop stages.
Initial scoping of issues across different stakeholders
2.8 A key aspect of the methodology was the importance that was placed on gathering stakeholder views. The early use of scoping workshops with key stakeholders in order to inform the structure of the research at an early stage typified the approach to stakeholder involvement. This ensured that stakeholder views were central to the research from the outset.
2.9 The possibility that perspectives of different groups of stakeholders could conflict was important to consider within the methodology for the scoping workshops, since it was considered to be important at this stage to enable all stakeholders to make uninhibited comment about SPP17. Therefore it was decided to hold four separate sessions for four distinct groups of stakeholders. The four groups of stakeholders were:
- Local Authority Strategic Planners and Transport Planners
- Local Authority Development Management/Control Officers
- Developers
- Other Agencies: this group included a range of attendees from other stakeholders, for example public transport operators, SCDI (Scottish Council for Development and Industry), Communities Scotland, Scottish Enterprise and the Health sector.
2.10 These carefully facilitated sessions had a number of key outputs linking directly to the aims and objectives of the study. These included:
- Scoping of key strengths relating to implementation of SPP17 - what has worked so far and potential examples of best practice
- Key weaknesses to date and areas for improvement
- The benefits/disbenefits of current modelling and appraisal approaches
- Gaps in knowledge and skills that need to be addressed
- Specific issues in respect of transport assessment and travel plans including roles and responsibilities in the process
- What are the key policy tensions ( e.g. economic development, environmental) and how can these be tackled
- Factors behind the lack of implementation of key recommendations, e.g. maximum parking standards
- Possible recommendations for change
- What are the key questions that we need to ask in a wider survey of stakeholders
2.11 To facilitate open debate from all participants, the workshops were operated under Chatham House Rules with key findings recorded but not attributed to specific attendees.
Review of Key Documents and best practice examples
2.12 Whilst the scoping workshops provided a considerable volume of information to address the aims and objectives of the study, it was vitally important to examine the evidence of implementation, including both good and bad practice. This was informed by both the workshop sessions and through a review of key documents including relevant sections in Local Transport Strategies, local plans and other documents. A representative range of documents produced since the publication of SPP17 were selected in agreement with the advisory group, encompassing rural, sub-urban and major urban authority areas.
Targeted Questionnaire
2.13 The assessment of implementation of SPP17 was further informed by undertaking a targeted questionnaire survey of the range of stakeholders involved in implementation of the policies, e.g. Local Councils, developers, Regional Transport Partnerships and consultants. The design of this questionnaire was informed by the earlier scoping workshops to help ensure that questions were targeted on key relevant issues and thus kept to a modest length, helping improve response rates. Two variants of the questionnaire were issued to try and gain as much information from the key groups as possible, maximising the relevance for each group.
2.14 The questionnaire exercise was central to the overall commission in not only canvassing the views of a diverse range of stakeholders in different parts of the country for whom SPP17 will have different implications but also securing a sense of "buy-in" to the emerging recommendations. The high response to the questionnaire, particularly from local authorities, re-enforced the importance of this approach.
Consultation with Scottish Executive Inquiry Reporters' unit ( SEIRU)
2.15 An opportunity was identified to consult with SEIRU, since it was considered that inquiry reporters were well placed to give a broad overview of the use of SPP17 at the delivery end of the planning process. SEIRU held an internal workshop and provided informal comment on the implementation of SPP17 based on their observations.
Stakeholder Workshop
2.16 Having examined the views of the different groups of stakeholders separately through the scoping workshops and the questionnaire, it was felt to important to bring representatives of these different stakeholder interests together to promote cross sector and cross discipline debate and achieve general if not universal buy-in to key objectives for change and the potential mechanisms for securing these. To achieve this, a carefully facilitated workshop was held on 27th June 2007 at Victoria Quay.
Structure of this report
2.17 The following chapters present our consideration and the individual elements of the methodology in more detail as follows:
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