The Highways Agency Unit - Level Evidence and Research Strategy

The Highways Agency Unit – level
Evidence and Research Strategy
June 2007
CHAPTER 1 - INTRODUCTION..................................................................................................2
CHAPTER 2 – OBJECTIVES........................................................................................................3
CHAPTER 3 - EVIDENCE NEEDS...............................................................................................4
CHAPTER 4 - COMMUNICATION..............................................................................................6
CHAPTER 5 – COLLABORATION..............................................................................................8
CHAPTER 6 - SKILLS..................................................................................................................10
CHAPTER 7 - RESEARCH MANAGEMENT...........................................................................11
CHAPTER 8 - TECHNOLOGY & INNOVATION....................................................................14
CHAPTER 9 - TRANSPORT FUTURES....................................................................................16
APPENDIX A: EXTRACT FROM THE AGENCY’S BUSINESS PLAN 06/07 – AIMS &
OBJECTIVES.................................................................................................................................17
APPENDIX B: THE STRATEGIC PROCESS FOR DEFINING THE PROGRAMME.......19
APPENDIX C: THE PORTFOLIOS COMPRISING THE 07-08 PROGRAMME...............20
APPENDIX D: THE STRATEGIC APPROACH TO RESEARCH – THE CONTEXT........23
APPENDIX E: PROGRESS AGAINST 06/07 ACTION PLAN................................................24
Appendix F: Finance and Organisation............................................................................................26
Highways Agency Page 1 of 26

Unit-level Evidence & Research Strategy Version 1-0
2007-08
Chapter 1 - Introduction
The Highways Agency (“The Agency”) is an Executive Agency of the Department for
Transport. The Agency will continue to play a central role in delivering the Department for
Transport’s aims of “transport that works for everyone” by delivering safe roads, reliable
journeys and informed travellers. We will do so against a background of continued growth
in traffic, increasing demand for our services and rising customer expectations. Our main
objective is to deliver a high quality service to all our customers.
The budget for research is £14m, of which £5m has been reserved for new starts. The
budget for new starts has increased by £2m, enabling the Agency to align the research
programme more rapidly to current operational imperatives. The research programme is
managed by the Safety, Standards and Research (SSR) directorate within the Agency.
The Research Strategy is organised in line with the DfT’s Board-level Evidence and
Research Strategy, with emphasis on what the Unit’s key evidence and research needs are
and the strategy for filling these gaps. Building on the first ERS (March 06) which was
developed in wide consultation with SSR staff, this ERS reflects the considerable amount of
improvement activity that has taken place arising from implementation of key actions from
the 06/07 action plan. It also addresses the comments supplied by DfT on the March 06
ERS. Further improvement actions, derived from the Quality Framework, are documented
in Appendix E.
The Strategy provides Ministers, other DfT research teams, DfT Agencies, other
Government Departments, the wider research community and potential and existing
contractors with information about the Agency’s evidence needs and research methods. It
will also be useful for project sponsors within the Agency (who commission the research),
their managers and Divisional Managers.
The Strategy is revised annually, focussing on updating the evidence needs (to reflect
changing priorities or new areas of interest), revising any procedures and addressing any
feedback received. Key input to further development of the strategy will include that from
the research supply chain community which supports the national research framework
contract which is now in its second year of operation.

2007-08
Chapter 2 – Objectives
This chapter defines the remit and strategic aims of the ‘unit’.
The work of the Agency is guided by aspects of the10 year transport plan, PSA targets,
safety, environmental and other strategies together with the Corporate Plan “Customers
First”. The aim “safe roads, reliable journeys, informed travellers” is expanded upon in the
06/07 business plan (see Appendix A). There is a clear cascade of high-level objectives
down to working level:
Our prime Objective – what we are here to do

To deliver a high quality service to all our customers by:
 Reducing congestion and improving reliability
 Improving road safety
 Respecting the environment
 Seeking and responding to feedback from our customers
Our enabling objectives – how we deliver

 To ensure more effective delivery though better working relationships
 To implement best practice and innovative solutions to improve service now and in
the future
 To be a good employer
 To be an efficient Agency with effective business processes and resource
management systems
Appendix A also includes relevant DfT objectives and comparison of these with Agency
objectives shows the Agency has a clear purpose and aims and supports the wider DfT
aims.
During 06/07 there was a transformation in the way the future research programme was
developed. The transformation brings a strategic view on how evidence needs can be met
through the Highways Agency research programme. It clearly focuses the Agency’s
research activity on the Agency’s objectives, both long and short term.

2007-08
Chapter 3 - Evidence Needs
This chapter provides a description of the evidence needs – the what and why.
To deliver the 30 year strategy described in The Future of Transport and related white
papers, the Highways Agency must work with DfT, delivery partners and other stakeholders
to provide the evidence base on which to implement policies and programmes and set
standards.
Formal research is one of the key ways in which the Agency informs operational policy and
sets standards. There is well-founded research programme addressing main themes that
concern the Agency. An overview of the 07/08 programme is presented at Appendix C.
The transformation of the process for compiling the research programme to bring about a
strategic, top down, outcome focussed approach is described in Chapter 7. Involvement of
the operational directorates at a strategic level produced an outcome that sharpens the
focus of the research programme on the strategic agendas of the agency. Evidence for this
is the wealth of research activity that has been identified to support the transformation to
network operator. Examples of portfolios that address this include:
 Methods for increasing capacity (SSN2)

 Expanding the traffic Officer Service to All Purpose Trunk Roads (SSN 3)
 Effectiveness of winter maintenance policy (SSN 5)
 Influencing driver behaviour (MT1)
 Balancing throughput with safety (MT2)
 Data & information to support the network operator role (MT3)
 Who is using our network? (IT1)
 New technology & information services (IT2)
 Spatial planning issues (BRO 4)
Examples of strategic initiatives driving developments to the evidence base are the
Performance Management Agenda, the Roads Information Programme and the Roles and
Responsibility Programme, all of which interrelate. Provision of Traffic Officers on the
network and the PSA targets relating to journey time reliability have resulted in significant
developments in the collection, analysis and reporting of traffic flow data, the emergence of
the HATRIS1 programme and the development of Traffic Officer deployment models. The
National and Regional Intelligence Units (RIU) have been created to analyse this (and
other) newly available data and advise on strategies for addressing roadworks, incidents,
events and Traffic Officer deployment to deliver optimal network performance. These
teams of operational researchers and data analysts represent a significant enhancement to
the Agency’s operational analysis capability and are key to supporting the traffic manager
role. The RIUs make a strong contribution to the Agency’s evidence base and this is
developed into intelligence reports. In this work, a wide range of operational evidence is
gathered and processed, including from road sensors (MIDAS), a range of traffic data
suppliers, weather and events data and other sources, together with operational evidence
from the Regional Control Centres and the National Traffic Control Centre (NTCC). Much
of this work is aimed at optimising operational performance, in particular in relation to the
1
HATRIS Programme – uses the Midas data from loops in the road, and other data sources, to inform on journey time
2007-08
congestion targets. This new area of work runs in parallel to the traditional modelling and
analysis of traffic undertaken by the Agency.
The Road Users' Satisfaction Surveys (RUSS) are an important source of information about
what customers think about the services provided by the Agency. The National RUSS, is a
continuous survey reporting annually, provides us with information about our services in
general and includes the key performance indicator results for road user satisfaction. The
Area RUSS, also a continuous survey reporting biannually, is a bespoke survey in each of
the Agency's 14 areas. The questions relate to road conditions and experiences within that
area. The Area RUSS supplements customer feedback from other sources, such as
Highways Agency Information Line (HAIL), complaints and enquiries. Examples of where
we have used the results to improve our services include:-
 In Area 5 using feedback from both HAIL and Area RUSS, the team are working with
the Regional Control Centres and Managing Agents to put in place a process for
displaying slip road closures on VMS. This would give road users two junctions
warning of any closures.
 Using the results from ARUSS to support a change in policy to allow junction
numbering on the trunk road network: Road users asked why we do not number
trunk road junctions in a similar way to motorway junctions. We have carried out
trials on A12 and A14 and asked road users through the ARUSS what they think
about the signs. The results from this research is being used to review policy.
 Using the results from NRUSS to inform the communication plan for car share lanes
on the M1 and M606: Questions have been included in NRUSS asking respondents
if they would use car share lanes and why they would or would not. This research is
being used to influence the communication planning for telling road users about
HOV lanes.
At a project level within some specialist fields, there is some good practice in addressing
evidence needs, but this may not be systematically applied. Specialists within the Agency
who sponsor research are well connected to leading edge thinking in their fields through
contributing to, or attending national or international conferences, seminars, and keeping
up to date through technical journals etc. In the future, consideration should be given to
establishing links with DfT evidence strategies in a more systematic way (Action 6).
The progress against the Action Plan is at Appendix E.

.

2007-08
Chapter 4 - Communication
This chapter describes the information needs of stakeholders, programme and colleagues
and strategies for meeting them.
There is a website of Highways Agency research reports called the Research

Compendium. The objectives of the Research Compendium are to:
 Raise awareness of research activities

 Increase understanding of HA research, within and outside HA
 Support Freedom of Information and Publication and Assessment Scheme
requirements
 Encourage implementation of research activities
 Develop a commitment to research, development and innovation
 Support best value from research by allowing others to use and build upon
our research knowledge
Essentially the Research Compendium has the following facilities:
 information (1 page summary) on all current and completed research projects

 key word search facility + advanced search
 project research reports + assessments of completed research since Nov
2003 (Currently there is a need to bring the data up to date and establish a
process for maintaining the data)– this will be completed by Q3 of 2007
 the current research programme
 an email enquiry service
 a subscription service for new updates, although we haven't done one for a
while
The Agency conforms to the Publication and Assessment Scheme procedures.

Communication, as a process, is deemed sufficiently important to be identified in the
Agency’s quality management system called the Way we Work 2 (WwW) which provides a
framework for communication. Every quarter, the Agency publishes two articles in the
Innovation and Research Focus magazine distributed with New Civil Engineer.
HA publishes all its standards for Design Manual for Roads and Bridges and Manual of
Contract Documents for Highway Works. These are on the Standards for Highways web
site, accessible through the Highways Agency web site. This is consistent with the
requirement to provide access to Government information, referred to as DirectGov.
Internationally, the Agency chairs the Technical Research Group for the Conference of
European Research Directors (CEDR). Broadly the aim of this group is to maintain, on
behalf of roads administrations, an awareness of the state of the art of roads research and
practice, influence or highlight knowledge sharing events such as conferences and
seminars and identify opportunities to work together on common problems. This
intelligence is communicated annually to the CEDR Governing Board. Additionally, the
Agency is also Co-ordinator for the ERA-NET Project which seeks to achieve collaboration
2
WWW is the Agency information system for providing process maps and guidance for key Agency activities
2007-08
on roads research. This EC funded project involves sharing research programmes,
agreeing on common problem areas and identifying where collaboration opportunities exist.
The Agency supported four European workshops on this subject in 07/08 and many
opportunities were identified.
Currently there is evidence of good practice at project level in established specialisms of

close working with DfT but practice is not consistent. Some newer areas of research are
taking time to establish communication protocols with DfT although, in these areas,
external stakeholders are embracing opportunities for involvement. Communications with
research supply chain stakeholders are considered good with monthly discussion with the
national framework Community. CSAU will be invited to attend these meetings going
forward, enabling them to draw parallels with the running of their own research framework
contracts. The Community are actively engaged in supporting the Agency in developing
the strategic direction of the research programme. Generally, communications with other
external stakeholders and subject experts are considered good at project level, less good
at programme/strategy level. The move towards a strategically based research
programme, integrated with the Strategic Research Group and the Strategic Planning
Group, will provide a sound platform to improve communications at a strategic level with
other parties interested in related research areas. This area will be further developed in Q 3
and 4 of 07/08. Use of project boards and representation at conferences is evidence of
communications with subject experts and peer review.
There is an opportunity to further develop a strategy for communicating the Agency’s use of
evidence and research (Action 7 – Appendix E). One outcome from the transformation to a
top-down, strategic approach to research, in particular the creation of the four Programme
Groups, is that there is much greater discussion of evidence and research at a strategic,
cross business level. This will be reinforced and extended by the creation of the Strategic
Research Group in January 2008 to set the context for formulating the 09-10 programme.
The role of the Strategic Research Group is discussed in Chapter 9. At a tactical level, the
emergence of the portfolios has necessitated communication of research needs and
projects across traditional specialisms. The Agency attends the Research Programme
Managers’ Group, hosted by DfT, which provides an opportunity to share best practice. An
example of this is sharing of U-ERSs and the Agency’s contribution to the discussion on
research framework contracts. There are also many examples of close working
relationships between the Agency, DfT and others, for example in the fields of technology
and safety.

2007-08
Chapter 5 – Collaboration
This chapter describes opportunities and assessment of existing collaborations
Strategically, the Agency is involved in overseas collaborations through the exchange of

ideas and occasionally staff. This yields good awareness of leading edge capability in
other parts of the world in specialist fields where the Agency wishes to develop. Strategic
collaborations exist with Japan and France and an agreement has recently been signed
with the Netherlands. The Agency regularly hosts scanning tours from the USA. The
Agency plays an active role in the Conference of European Road Directors (CEDR) and
last year hosted the conference in London. The Agency is active in the World Roads
Association (WRA), with the Agency’s Chief Highways Engineer undertaking the role of
First Delegate. The WRA is an association of worldwide transport operators which aims to
be a world leader sharing of knowledge on roads and road transport. 109 countries are
involved and the UK has been involved from inception 100 years ago. Our First Delegate is
actively involved on the Executive Committee and chairs the Strategic Commission
responsible for developing the Strategic Plan for 2008-11.
The Agency is Co-ordinator for the EU funded ERA-Net Roads project. This project aims to
set up mechanisms (including legal and financial) for joint funding of collaborative roads
research projects across member states. Ten countries are involved and the project
includes taking forward pilot collaborative projects. The focus of ERA-Net Roads is
operations, not policy. There are proposals being developed for an ERA-NET ROAD II for
EC’s Framework Programme 7 (Call 2) and the Agency is closely involved in this aspect of
the project.
The Agency was on the Programme Committee of the first European Transport Research
Arena conference held in Gothenburg in June 06 and supplied a number of speakers. The
same applies for the European Transport Research Arena conference to be held in
Slovenia in 2008.
Although there are a number of examples of good practice with collaboration at a project
level, undoubtedly more opportunities exist and the Agency should consider the wider
benefits of a more structured approach to collaboration. In particular this should include the
opportunities to exploit other funding sources. Examples of good practice include
collaborations in the field of ITS, in particular Streetwise and Centrico. There are numerous
examples of collaborations that represent good practice, in particular in the technology and
driver behaviour fields. In general terms at project level, the Agency traditionally has
tended not to be proactive in relation to collaboration. However the approach may well
change with successful implementation of the ERA-NET ROAD project enabling a strategic,
structured approach to European collaboration. The Agency contributes to jointly funded
research, sometimes with collaborative funding, but also through providing knowledge and
expertise. Examples, often linked through EPSRC, include a project undertaken by
Cambridge University 'WINES II' investigating the use of wireless technology to monitor
structures. Other current projects include Agency involvement in the DTI funded ACLAIM
project researching advanced composites and a Concrete Society led project to develop
best practice with fibre reinforced concrete, where the project Steering Group was also
chaired by the Highways Agency. There is also involvement in industry led groups such as
the Concrete Society, providing professional guidance reports on, for example, steel fibre
reinforced concrete. The Agency is also active at several levels within CIRIA.

2007-08
Collaboration can be inhibited by the Agency’s unease concerning loss of control over the
content and direction of collaborative projects and attendant compromises, however there
are opportunities for the Agency to make greater use of alternative funding sources.
Currently the Agency is exploring the possibility of a collaborative ERA-NET Plus bid under
Framework Programme 7 which would result in the European Commission contributing
30% towards research costs. Addressing Action 1 by providing a framework for research
will be an enabler for collaborative projects in providing a longer and broader perspective.
Where collaborations are funded externally, for example EU collaborations, there are
formal approaches to risk management and evaluation. Where collaborations are of an ad
hoc nature, where the agency is not in the lead, approaches to risk and evaluation can be
less structured. A particular example of good practice is the introduction by the Agency of
risk based reporting for the ERA-NET Road project. The Agency, in its Project Monitoring
role, has encouraged overseas partners to report specifically against risks identified in the
next quarter’s goals. Our partners have come to recognise the value of this approach and
embrace it to the overall benefit of the project. The ERA-NET Project is described in
Chapter 4.
Examples of The Agency’s collaboration with DfT and OGDs include:
 working with DfT to understand the potential for mobile phones to provide evidence
for journey time reliability performance
 in the technology sector, the CVHS project
 on environment…
o use by industry, local authorities, scheme consultants of the DMRB air
quality screening guidance
o development of WEB TAG (Traffic Appraisal Guidance) – used nationally for
guidance on Carbon Emissions (web based)
 on safety…
o working with HM Revenue and Customs to promote the HGV.com campaign
o working with the Driving Standards Agency (DSA/DfT) on the Driver
Information Programme (DIPS) and the Great Roads/Great Rides package
for motorcyclists
A Research Co-ordination Group has been established involving the Customer Champion
team, the Research Programme Coordinator, the Information Directorate’s Customer
Relationship Group and DfT’s Social Research and Evaluation. The purpose of this group
is to:
 To share best practice

 To be the centre of expertise
 To focus on external customers not projects
 To give visibility of customer research being undertaken across the Agency
 To consider consistency in approaches where applicable
 To avoid duplication in research projects
 To consider synergies between various research projects
The focus is on customer research and future meetings will include DfT’s Head of Strategic
Communications.

2007-08
The RUSS work (described in Chapter 3) involves extensive collaboration with DfT,
particularly with the Social Research and Evaluation group. Additionally, involvement with
the Statistics Branch is sought for advice and agreement on the methodology for the survey
and its analysis.

2007-08
Chapter 6 - Skills
This chapter describes the skills and resources required to deliver the strategy aims
Staff within the Highways Agency sponsoring research projects draw upon a wide range of
skills. These include strategic and analytical expertise, programme and project
management skills, communication skills and specific professional skills. There is a high
level of professional expertise within SSR including, engineers, traffic modellers and safety,
environmental and risk specialists. As intelligent clients, they must be able to draft briefs
and engage contractors, assess and challenge outputs from a knowledgeable standpoint,
understanding both the technical detail and the underlying research methodology. Most of
SSR’s staff are also engaged in supporting HA’s front line activities. This has the
advantage of ensuring that the research is grounded in reality and addresses HA’s
operational needs, but means there is a danger that research is seen as an add-on to their
main roles. Within Traffic Operations, there has been a significant advance in the Agency’s
capability to collect and analyse evidence through the establishment of the National and
Regional Intelligence Units. Recruitment of highly qualified operational researchers is
providing a much better, intelligence based, understanding of how the network operates
and how performance can be optimised.
The type and quantity of skills available has broadly remained aligned with the steady level
of funding available for research. However, with new areas of research becoming
prominent as the operator role is embraced, a fresh look at provision of skills is necessary.
Future planning of resources will need to align with the research framework (derived in
Action 1) and the priorities of the Agency. Without this, key work can be constrained by
lack of resources, justification of resource requirements can become difficult and it can be
difficult to identify where key skills need to be transferred. Lack of capacity can be a further
constraint on taking forward longer term, blue-sky research. Once a strategic framework
for research is in place, the resource implications should be identified (Action 9). Two
recent innovations have had a beneficial effect on the extent of need for skilled research
resources, namely the introduction of the National Framework Contract for Research, and
the Portfolio basis for the research programme. The first reduces the procurement
overhead in awarding research contracts, the second enables research to be packaged into
larger tasks.

2007-08
Chapter 7 - Research Management
This chapter describes governance and arrangements for managing commissioned

research
The Highways Agency’s approach to research may be summarised as follows:
 In general, there is well organised, well targeted research

 In the past, there was a value management process which ensured that research
proposals were aligned to key the Agency objectives. However, in 06-07 this was
superseded by a strategic approach to defining research needs as described in
Chapters 2 (2nd paragraph) and Appendix B. The resulting portfolios have direct
relevance to the current Agency agenda, in particular the transformation to network
operator.
 The research that has been undertaken over previous years has provided huge
benefits in enabling the asset to be managed more effectively
 The research is enabling the continued transition from a network builder and
maintainer to a network operator
The improvements called for in the 06-07 ERS (see below) have been delivered. The
resulting improvements are:
 Getting a clearer strategic direction for our research

 Streamlining the process for evaluating proposals to make it less resource intensive
and integrating this with new approaches for developing research programmes and
projects within a strategic framework
During 06/07 there was a transformation in the way the future research programme was
developed. The transformation brings a strategic view on how evidence needs can be met
through the Highways Agency research programme. It clearly focuses the Agency’s
research activity on the Agency’s objectives, both long and short term. This was a
significant undertaking involving a change programme within the Safety, Standards and
Research directorate. Four cross-business programme groups were established (Safe and
Serviceable Network, Influencing Travellers, Managing Traffic and Being a Responsible
Owner). Workshops were held with these groups to identify high-level, longer term issues
that were likely to require new knowledge to address. Related research needs were
grouped into Portfolios, Portfolio Managers were appointed and objectives and desired
outcomes were defined. The supply chain and SSR staff were invited to submit new ideas
for addressing the portfolios. These were sifted by Portfolio Managers with advice from
relevant technical experts. The new, strategic process that was designed is described
diagrammatically in Appendix B.
To set the context for the four programme groups, there is a need for a horizon-scanning,
Strategic Research Group The first meeting of this group is scheduled for January 08 and
the output from this will inform the four Programme Group discussions in Spring 08 when
considering the 09/10 research programme. It is important that development of the
research programme is co-ordinated with other forward-looking groups in the Agency so
work to align programme development with the work of the Strategic Planning Group (SPG)
continues. The SPG is led by the Board Director for Network Strategy. There has been a
joint foresight event which included the Chief Scientific Adviser, the SPG is now formally
2007-08
reported to as the research programme is developed and their representatives will be
included in the Strategic Research Group. These actions will help to ensure the strategic
vision developed by SPG is supported by the Agency’s research programme.
The Information Directorate were involved in two of the four programme groups – Managing
Traffic and Influencing Travellers. In addition to this, there is an agreement to review
alignment between the research strategy and information strategy in a systematic way.
Work on replacing “The Guide” with “Way We Work” (WWW) is planned in mid 07/08 once
the newly designed processes have been used for developing the 07/08 programme.
The budget level for research has tended to be fairly static over recent years and the
process for relating this to need is dependent on existing capacity to manage research
projects. The wider variety of research that is now being addressed has led to increasing
pressures on research budgets and the staff available to deliver this. In the Agency’s
recent CSR proposal, research spending is set to rise to £11.1m in 2008-09, £15.3m in
2009-10 and £17.2m in 2010-11. Additionally, the procurement frameworks together with
the larger, portfolio-based work packages are expected to increase the capability of SSR to
procure research.
In-year financial management is handled through Cascade 3 resulting in a systematic

approach to reporting of spend profiles, outturn costs, project comparison. This system is
being superseded by an enhanced Oracle system that will enable portfolio management.
Additionally, an investment control framework is being introduced for research. This will
bring a more systematic approach to controlling the investment throughout the lifecycle of
the project, starting with establishing the business case for the portfolio, then the
contributing projects. Financial scrutiny continues at each key stage of the project through
to project closedown. This framework is being integrated with the procurement process for
research using the national frameworks and this approach will provide a sound platform for
delivering the right projects on time and to budget. It will also facilitate cancellation of
projects that no longer meet the need. Throughout the project lifecycle, the strategic
context for each project will be clear. The finance and organisation for research is at
Appendix F.
In specifying research requirements effectively there were examples of good practice

identified in 06-07. These have now been standardised across SSR through the use of
templates which are integrated in the national research framework procurement process.
Action 10 has therefore been completed.
A significant procurement action was completed in January 2006 with the award of national
frameworks for research and technical consultancy. The Highways Agency has extensive
experience of the use of framework contracts and the benefits described by Gershon of
using fewer, expert suppliers within a framework contract are well understood. The
research contract was awarded to five contractors who were judged to have a high degree
of capability and understood what the Agency required both now and going forwards. The
supplier Community has been meeting for over one year and is now well established. The
Community has contributed to the strategic direction of the research programme, providing
key input to the Research Programme Groups in relation to suppliers’ perception of future
knowledge needed by the Agency. They have also contributed at the tactical level in
submitting new ideas for research for the 07-08 programme. Throughout the transitional
3
The Agency’s financial system for reporting on projects
2007-08
year of 06-07 when the transformation of the research process was taking place, the
Community were kept fully informed of the changes, were able to contribute to the shaping
of these, and succeeded in developing and submitting new ideas to a very demanding
timetable. In all respects, the development and contribution of the Community has met
high expectations. The development of a portfolio approach, coupled with the supply
chain’s ongoing involvement at a strategic level, will give it the longer term view necessary
to plan their business effectively.
At an early stage in considering use of frameworks for research prior to award in January
2006, the research market place was consulted on potential arrangements. Resulting from
this exercise, there is a good understanding of the market. Procurement specialists with a
high level of contracts expertise led the frameworks procurement action. Conformance with
existing and emerging legislation and guidelines is high. Over time, we would expect 95%
of research work to be delivered via the national research contract. The following are
specific benefits are emerging from early use of the research framework contract:
 it provides more consistent and efficient management of research

 it is better for the Agency and our contractors in planning forward workload
 it will provide the opportunity for a greater involvement by the supply chain in
promoting ideas
 in setting up the research framework, we encouraged strategic
alliances/partnerships between consultants, research organisations and academia.
This should lead to more rounded and effective research which can be implemented
more easily.
 The research framework is a long-term commitment allowing contractors to plan and
recruit to meet our needs.
The Agency has a target to make the National Research Frameworks available to others
(eg Local Authorities, DfT etc) to release Gershon efficiencies and performance measures
against this are in place.
With the introduction of the Investment Control Framework, risk management is now
addressed in a systematic way. Risks are considered at strategic (ie portfolio) level and at
project/task level and the approach is described in the relevant procedures applying at key
stages in the project lifecycle. Training across SSR in these procedures was completed in
April 2007. This has addressed Action 12. This development provides for greater focus to
project completion and project closure with related improvements to benefits management.

2007-08
Chapter 8 - Technology & Innovation
This chapter provides a statement of where technology could offer solutions and how this is
being taken forward. It also describes strategies for exploiting opportunities for innovation.
Technology and innovation are important to the Agency. They are seen as key to
addressing the environmental, safety and performance challenges ahead and so meet ever
rising customer expectations. The importance of technology and innovation is clearly
evident in the research programme at Appendix C.
A clear focus on this area is established in the Traffic Technology Strategy Traffic
Technology Strategy,4 (Annex A), (Annex B), (Annex C), which identifies short, medium and
long-term strategies. Note that this document is dated January 2006 and therefore is due
to be updated, an event the document itself anticipates. The Technology Strategy
addresses the emerging role of network operator/traffic manager and looks to the long-term
vision of CVHS. The Agency is involved in the Streetwise and Centrico collaborative
European projects. Involvement in this type of work is evidence that the Agency is seen as
a world leading highway authority in the traffic technology field. The Agency’s technology
staff participates actively in key international professional committees and European
collaboration initiatives to keep abreast of cutting edge solutions. Examination of the
portfolios (ref Appendix C), deriving from the work of the Programme Groups for the 07-08
research programme indicates how central the technology strategy is to addressing the
Agency’s needs in transforming to the service provider role.
Introduction of the Traffic Officer Service has provided the HA with the opportunity to
rationalise systems and improve their inter-operability. To facilitate integration of these
systems, a Technology Convergence Team has been formed within Traffic Operations. A
Systems Architecture is also being developed. Underpinning these two, interrelated areas
of work are two innovative technology projects that the Highways Agency contributed to.
These were the specification of a standardised architecture development process for
intelligent transport systems (the KAREN project) and a standardised communication
protocol (the DATEX 2 project). The results of these two collaborative European projects
from which the Agency is now benefiting will ensure, not least, that HA systems can speak
with Scottish and Welsh systems and amongst themselves.
In other specialist areas, at project level, in relation to the potential and actual impact of
technology, there could be more synergy across groups within and beyond the Agency. A
well-documented strategic vision would assist this and the strategic development of the 07-
08 research programme is a good platform for this. Generally the Agency is well engaged
in innovation (e.g. materials networks, wireless technology, Nano technology, bridge
management forums (eg IABMAS) etc) and is well informed on world developments. There
is a perception that the Agency may be slow to implement innovations. In response, a
strategic relationship has been established with the Road Administration in the Netherlands
where there is a track record of rapid trialling and implementation. The Agency must guard
against resource and delivery pressures leading to a weakening of wider awareness of
technology as time available for maintaining leading edge knowledge becomes
constrained.
4
http://jhpn80/portal/server.pt/gateway/PTARGS_0_417741_643671_0_0_18/060608%20SPG0621%20Traffic
%20technology%20-%20the%20way%20forward.pdf Contact for this document is Sean Davies in the Highways
Agency
2007-08
There is no formal system to capture the extent to which the Agency works with other
departments or industries on technology projects. In some specialist areas there is
extensive collaboration. In some areas, the uncertainty over whether the research is too
near market can limit opportunities for collaboration with industry. The research framework
community may create opportunities in this area. Two recent examples where the use of
innovative equipment has been enabled by the Agency is the automatic cone laying
machine and the movable concrete barrier equipment. These have benefited safety and
operational effectiveness.

2007-08
Chapter 9 - Transport Futures
This chapter describes a discussion of longer term evidence needs and how these issues
are being identified and taken forward.
Future Agency research scenarios need to be sustainable in the light of potential changes
in government policy. The Agency is there to deliver the DfT policies and develop
appropriate solutions. The Agency is engaged in some long-term projects (e.g. climate
change scenarios) which are policy-independent but, in the past, long-term thinking has
been constrained by near term business plan drivers. Limited resources have been
focussed on near-term imperatives rather than long-term scenarios. Now, the shift to a
strategic approach to developing the Agency’s research programme highlights the need to
provide a research context connected to transport futures thinking. Initiation of the
Strategic Research Group is planned for January 2008 and will meet annually. It will be
chaired by the Agency’s Chief Engineer and the plan is to involve senior policy staff from
DfT (including the Chief Scientific Adviser), strategic Agency staff, academia, industry etc.
The Agency will engage with DfT’s foresight team to explore possibilities for their
involvement. The Strategic Research Group will be looking in the seven year timeframe
and beyond to set the context for discussions by the four Research Programme Groups.
There is other work going on externally in the futures field and the Agency should take care
to identify where there is scope to make use of others’ work in this field (Action 14). In
particular, there is the Foresight study on Intelligent Transport Systems and there is
Foresight work ongoing within DfT. The Agency should enable this work to contribute to
the context for the Strategic Research Group. Finally, there has been some involvement
with OGDs through the Foresight (Technology) programme, CITB, climate change and road
pricing, and also internationally with CEDR/PIARC.

2007-08
Appendix A: Extract from the Agency’s Business Plan 06/07 – Aims & Objectives
Our Aim: “Safe roads, Reliable journeys, Informed travellers”
Our prime Objective – what we are here to do

To deliver a high quality service to all our customers by:
 Reducing congestion and improving reliability
 Improving road safety
 Respecting the environment
 Seeking and responding to feedback from our customers
Our enabling objectives – how we deliver

 To ensure more effective delivery though better working relationships
 To implement best practice and innovative solutions to improve service now and in
the future
 To be a good employer
 To be an efficient Agency with effective business processes and resource
management systems
Our values – how we behave in fulfilling our objectives
> Customer service We put our customers first

> Teamwork We work together in dynamic teams and partnerships
> Improvement We encourage learning, innovation and flexibility
> Diversity We value people for their diversity and contribution
> Best value We deliver effective services that provide value for money
> Integrity We build trust by acting with honesty and fairness
Related DfT Aims

 to sustain economic growth and improved productivity through reliable and efficient
transport networks
 to improve the environmental performance of transport
 to strengthen the safety and security of transport
 to enhance access to jobs, services and social networks, including for the most disadvantaged
…achieved through ….
 improving the current operation and capacity of transport networks and services, and
providing better information for travellers
 shaping the future pattern of demand for transport, including through land-use planning and
appropriate pricing
 tackling the environmental impacts of transport through pricing, regulation, technology,
consumer information and promoting efficient use of resources
 planning and managing investment programmes for the long-term
 managing information and delivering services to support wider Government objectives

2007-08
Appendix B: The Strategic Process for Defining the Programme
The following chart describes the new process for assembling the Agency’s research
programme in a strategic way. This has replaced the bottom-up, value managed approach
of previous years. This transformation was initiated and completed in 06-07 and the
outcome of the new approach is reflected in the portfolios identified for the 07-08
programme.
The broad context for this process is illustrated at Appendix D.
Strategic Research R&I Team Programme Directors Research Portfolio Managers Technical Advisor/
Timeline
GroupName>
<Process Programme Groups Project Sponsors
Conduct horizon Translate into brief for Use brief to inform
Feb/Mar scanning workshop to PDs research implications,
set context for RP agree boundaries, plan
Arrange then facilitate workshop, inform PG
<Function>
RPG planning members & build PfM

meetings, produce draft Hold Spring planning
team
portfolio descriptions & meeting & conduct gap
send titles to SPG analysis to define new
Apr/May Agree approximate areas of interest
budget allocation and
number of portfolios
Develop portfolio
description, objectives Advise on portfolio
Use portfolio & outcomes, identify scope, objectives &
descriptions to appoint suitable specialists & outcomes
PfMs assemble matrix team
Collate portfolios,
package & send
(proposal forms) to FC
Sign-off completed Validate with PD &
& HA staff for ideas to
portfolio template seek formal sign-off
enhance/fill gaps
Register responses Submit template to R&I

from FC onto primary
log & circulate to Receive FC proposal
relevant PfMs, Conduct Autumn review Advise on sifting of
forms, select ideas &
October resolving any of current programme new ideas
define portfolio content
discrepancies
PD meet to agree Seek PD approval &
Collate completed content, finalise budget update budget
forms into definitive list & appoint PS allocation Advise as & when
of portfolios with
necessary on
defined proposals On approval, submit
proposals
completed forms to
Present list to SPG & R&I, responding as &
invite comment & notify when to feedback
FS Attend project initiation
Oversee performance Conduct project & start planning
Finalise programme & of RP Routing initiation to plan the
Jan/Feb ERS to HAB Programme Reporting portfolios/projects & Initiate task
build the matrix team preparation
Award tasks Manage tasks
Investigate future
years, plan inline with Manage & report on
Complete Project
current status report & performance of
Update compendium Completion form
provide brief for SPG portfolios

2007-08
Appendix C: The Portfolios Comprising the 07-08 Programme
Ref Portfolio Title Outcomes Objectives

Efficient and
1) Research to support the HA asset management
effective
strategy and gaining a better understanding of the asset
management of the
Support to the (2) Development of a risk based approach to asset
network with the
asset management
SSN1 aim of optimising
management (3) Strategies for maintenance of shorter design life
whole life costs and
strategy assets
reducing
(4) Implications for safety of changing asset condition
interventions on the
(5) Inform e-delivery of as-built and other asset data
network.
Support for the
Establish an evidence base, methodology and
development of
supporting design advice for methods to increase
innovative methods
capacity (e.g. hard shoulder running, HOV lanes, tidal
Supporting for increasing
flow etc) by
methods for capacity of the
SSN2 (1) Developing new technology and design standards,
increasing existing road space
including operation as a consideration
capacity that are
(2) Measuring effectiveness and advising on
appropriately
appropriate deployment through better models
designed and
(3) Evaluating cost, safety and sustainability issues
effectively employed
Appropriate
The HA Traffic Officer service is to be rolled out on the
infrastructure and
Safe & Serviceable Network
APTR network
Expanding the technology provided
(1) New knowledge to support the infrastructure and
SSN3 Traffic Officer for TOs operating
technology needs
Service on the All Purpose
(2) Examine technology solutions to support the wider
Trunk Road
TOS
Network
Improve road worker safety by
A safer environment (1) developing innovative ways of separating road
Safety of
SSN4 for workers on live workers from live carriageways
workforce
carriageways (2) develop methods for night time working in unlit
sections
Roads are kept
Effectiveness of open and in a safe
Draw together existing winter maintenance research to
winter condition during
SSN5 inform the Winter Maintenance Policy and the
maintenance winter, with minimal
specification of the new winter maintenance fleet
policy impact on the
environment
(1) Better commercial management of major projects
Construction and (2) Understand world best practice techniques
Best value from
maintenance offers (3) Develop 'blue sky' thinking for new approaches to
SSN6 construction &
excellent value for speeding up delivery
maintenance
money (4) Examine barriers to supply chain embracing
innovation
(1) To gain new knowledge in support of the current
target and also future (post 2010) safety targets; in
HA meets its PSA particular to understand why the number of fatal
Reducing safety target and accidents is not falling in line with serious injuries on the
SSN7 motorway reduces the number high speed network and how to influence this category
fatalities of fatalities on the of accidents
motorway network (2) To develop a co-ordinated approach to engineering
and human factors solutions directed at reducing
fatalities

2007-08
(1) Pull together previous work to establish a starting
point
(2) Evaluate what contribution influencing drivers could
HA effectively
have on HA targets for safety and journey time reliability
influences drivers
Influencing (3) Methods for influencing drivers including an
with a view to
MT1 driver understanding of psychological factors, customer
improving journey
behaviour perception and customer profile (see IT1)
time reliability and
(4) Assessment frameworks for making and evaluating
safety
investment decisions on influencing journeys and
information services
(5) Technical support for implementation
HA operates the Explore the potential opportunities, benefits and risks
Managing Traffic
network with the on the network for clarifying the use of the GALE
Balancing
optimum balance principle within the legal definition of ALARP, so that a
MT2 throughput with
between throughput balance between JTR, user safety and worker safety is
safety
of traffic and safety properly is demonstrable.
(1) Provide a definition of 'network performance'

(2) Examine the information currently held and whether
Data &
HA has the it is adequate
information to
information it needs (3) Determine what new data is needed
MT3 support the
to be an effective (4) Find improved ways of collecting data, including
network
network operator safety and journey time data
operator role
(5) Establish how data could be used to inform future
targets
Technology is used (1) Identify why schemes do not achieve benefits
Optimising is used effectively to anticipated from pilots and trials
MT4 existing deliver maximum 2) Identify improvements, e.g. to operating and
technology benefits to Journey maintenance procedures, refinement of control
Time Reliability algorithms/parameters and better training for operatives
An understanding of
our customer profile
1) Understanding of HA's customer profile: who is using
that enables us to
the network? When do they use it? What do they use it
Who is using target future
IT1 for? What do they want?
our network? investment
(2) Specifically, what objectives should there be for the
strategies and
new NTCC contract?
communication
activities
HA can
Influencing Travellers
(1) Scope future ITS developments

New appropriately and
(2) Assess potential of developments to HA objectives
technology & effectively influence
IT2 (3) Inform the activities HA should be taking to
information and exploit future
maximise that potential
services technology and
(4) Support development of new products and services
information services
Provision of HA provides
(1) Are HA's information services socially inclusive?
information information services
IT3 (2) How should HA's services complement commercial
services - for a diverse range
services?
diversity issues of customers
Planned events are
Improved
managed in a Measure effectiveness of current methods and propose
IT4 management of
customer-focussed improvements
planned events
way
Support to The HA travel plan (1) Assess effectiveness of Travel Plans
IT5 Travel Plan initiative delivers (2) How could they be made more effective and
initiative planned benefits enforceable?

2007-08
(1) EU Noise directive - development of a toolkit
(2) Effect of congestion measures (e.g. ATM) on noise
(3) EU Water directive - spillage management and
better treatment measures
(4) EU Air Quality directive - effect of congestion
measures (e.g. ATM)
(5) Biodiversity - implementing changes in the UK
Minimising HA meets EC
Biodiversity Action Plan
BRO1 environmental environmental
(6) Cultural heritage:
impact directive targets
(6.1) More accurate estimation of costs and evaluation
of benefits from cultural heritage schemes
Being A Responsible Owner
(6.2) Provision of standard guidance

(6.3) Customer response to aesthetics
(6.4) Investigate causes of additional costs to schemes
arising from ecology/archaeology works and whether
the risks could be better manage to avoid such costs
(1) Generate ideas to mitigate the effects of climate
HA contributes to change - renewable energy pilots, traffic management
the UK reduction in to support reduced CO2 emissions (see also BRO1
CO2 emissions and (4)), HA use of energy, online 'trip CO2 calculator' to
BRO2 Climate change
is prepared for the promote greener travel choices
effects of a (2) Adaptation to a changing climate - operational
changing climate response, risk to assets, effects on economy and
network usage
Sustainable HA constructs,
construction, maintains and (1) EU Landfill directive and waste target
BRO3
maintenance & operates its network (2) sustainable disposal of technology
operation in a sustainable way
(1) Better understanding of HA customer base (see IT1)
HA can effectively will help to understand the need for extra capacity
Spatial
BRO4 influence the (2) Understanding of the impact of new developments,
planning issues
planning process ports and airports, and what control or influence HA
could have

2007-08
Appendix D: The Strategic Approach to Research – The Context
Research Process Context

Progress & Innovation
(The Outside World)
Aspirations Strategy
Knowledge
Feedback
Utilised Performance
Management
Hypothesis Solutions
Perceived & formulated Derived
Real Problems
Improvement Reporting
Evidence
(Data Base)
Information Strategy

2007-08
Appendix E: Progress Against 06/07 Action Plan
Note: No new actions identified during 06/07 to take forward into 07/08 – the focus is on
progressing the actions in the table below.
Chapter
Action Status at 31/3/07 Timing
(Note: Action numbering derives from the 06/07 action plan)
3 6. Align the emerging evidence strategy with DfT’s See note 1

Units, identifying synergies, delivery timescales
and acknowledging short and long-term needs. - 6
4 7. Develop a communication strategy for evidence See note 1
and research and make WwW consistent with the
new approach. - 7
5 8. Following implementation of a new strategic See note 1
approach to research, take forward a review of the
Highways Agency’s approach to collaboration. - 8
6 9. Establish a resource plan for research See note 1
capability derived from the strategic framework for
research. - 9
7 1. Establish a strategic framework for research, In progress - to be Complete
together with a strategic, forward looking forum to completed early 07/08 early 07/08
provide direction to longer term evidence and
research requirements - 1
7 2. Establish cross-business, working level groups Completed 06/07 Completed
to identify specialist and cross-cutting evidence
and research programmes that align with wider
strategies, ensuring consistency of approach
across the business - 2
7 3. Develop processes to integrate research Completed 06/07 in See note 1
planning within the Agency’s strategic planning relation to SPG
and transformation strategies. This will involve
aligning the research strategy with the Agency
Transformation Group and the Strategy and
Planning Group (SPG) - 3
7 4. Construct an evidence model and align with the Commenced in 06/07 See note 1
Agency’s information strategy to achieve a in relation to alignment
systematic approach to identifying and addressing with information
evidence needs - 4 strategy
7 5. Replace “The Guide” by inputting the new 07/08 Q2
research processes in WwW ensuring this
addresses learning/feedback loops and success
criteria. Embed the processes in the business - 5
7 10. Deploy standardised approaches to preparing See note 1
briefs where appropriate.

2007-08
Chapter
Action Status at 31/3/07 Timing
(Note: Action numbering derives from the 06/07 action plan)
7 11. Review national framework processes in 07/08 Q2

WwW and revise as necessary as the new
Investment Control Framework (ICF)processes
bed down.
7 12. Review deployment of risk approaches in Completed 07/08 Completed
research projects.
7 13. Review application of WwW review processes Now tied in with Action 07/08 Q2
comparing research output with original objective 11 through ICF
of the research.
9 14. Explore the possibility of better integrating with This will be partially See note 1
DfT’s work in the futures field. complete with the
setting up of the
Strategic Research
Group in Q1 of 07/08.
Note 1: Timings for delivery of these actions are dependent on:
 Extent to which further change can be absorbed following the strategic transformation in 06/07
 Extent of resource provision for further change initiatives
 Embedding newly recruited staff in the Research & International team.

2007-08
Appendix F: Finance and Organisation
Finance:
The budget for this programme in the 2007/08 financial year is approximately £14.6m. Just over
£9.5m of this sum is committed to ongoing projects, leaving the remaining £5.1m for new work.
Organisation of research within Safety Standards and Research:
SSR Director – Ginny Clarke

Alan Pickett Steve Smith Andrew Jones
Divisional Director Divisional Director Divisional Director
Safety, Appraisal & (Interim) Operational Policy
Technology Asset Performance Division
Division
Safe Roads Operations Group Asset Management Network Operations Policy
 Safety Strategy & Risk Performance Group Group
 Safe Traffic  Asset Management  Network Operational
Management & Ops Performance, Pavements Policy
 Safe Road Design  Asset Management  Network Management
 Traffic Signals & Performance, Structures Policy
Lighting Safety  Incident Management
Policy
Traffic & Environmental Environmental Operations Innovations & Standards

Policy Group Group Group
 Traffic Appraisal,  Environmental  Research &
Modelling & Economics Operations International (See Note 1)
 Environmental Policy  Standards &
Specifications Policy
 Quantity Surveying
 Network Valuation &
Operative Skills
Travel & Traffic systems Asset Assurance Group Business Strategy &
Group  Asset Assurance Development Group
 Traffic Management & Group, Structures  Directorate Support
Compliance Systems  Asset Assurance  Delivery Teams
 Information Directorate Group, Geotechnics
Support
 Information Services
Development
 Technology Solutions
& Standards
Note 1: The Research and International Team owns the process for compiling the Agency’s
research programme and gaining Ministerial approval.

2007-08

The Highways Agency Unit - Level Evidence and Research Strategy

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The Highways Agency Unit – level

Evidence and Research Strategy

CHAPTER 3 - EVIDENCE NEEDS...............................................................................................4

CHAPTER 7 - RESEARCH MANAGEMENT...........................................................................11

CHAPTER 8 - TECHNOLOGY & INNOVATION....................................................................14

CHAPTER 9 - TRANSPORT FUTURES....................................................................................16

APPENDIX B: THE STRATEGIC PROCESS FOR DEFINING THE PROGRAMME.......19

APPENDIX C: THE PORTFOLIOS COMPRISING THE 07-08 PROGRAMME...............20

APPENDIX D: THE STRATEGIC APPROACH TO RESEARCH – THE CONTEXT........23

APPENDIX E: PROGRESS AGAINST 06/07 ACTION PLAN................................................24

Appendix F: Finance and Organisation............................................................................................26

Highways Agency Page 1 of 26

Highways Agency Page 2 of 26

Our prime Objective – what we are here to do

Our enabling objectives – how we deliver

Highways Agency Page 3 of 26

 Methods for increasing capacity (SSN2)

The progress against the Action Plan is at Appendix E.

Highways Agency Page 5 of 26

There is a website of Highways Agency research reports called the Research

 Raise awareness of research activities

Essentially the Research Compendium has the following facilities:

 information (1 page summary) on all current and completed research projects

The Agency conforms to the Publication and Assessment Scheme procedures.

Currently there is evidence of good practice at project level in established specialisms of

The progress against the Action Plan is at Appendix E.

Highways Agency Page 7 of 26

This chapter describes opportunities and assessment of existing collaborations

Strategically, the Agency is involved in overseas collaborations through the exchange of

Highways Agency Page 8 of 26

Examples of The Agency’s collaboration with DfT and OGDs include:

 To share best practice

Highways Agency Page 9 of 26

The progress against the Action Plan is at Appendix E.

Highways Agency Page 10 of 26

The progress against the Action Plan is at Appendix E.

Highways Agency Page 11 of 26

This chapter describes governance and arrangements for managing commissioned

The Highways Agency’s approach to research may be summarised as follows:

 In general, there is well organised, well targeted research

 Getting a clearer strategic direction for our research

In-year financial management is handled through Cascade 3 resulting in a systematic

In specifying research requirements effectively there were examples of good practice

 it provides more consistent and efficient management of research

The progress against the Action Plan is at Appendix E.

Highways Agency Page 14 of 26

Highways Agency Page 16 of 26

The progress against the Action Plan is at Appendix E.

Highways Agency Page 17 of 26

Our Aim: “Safe roads, Reliable journeys, Informed travellers”

Our prime Objective – what we are here to do

Our enabling objectives – how we deliver

Our values – how we behave in fulfilling our objectives

> Customer service We put our customers first

Related DfT Aims

Highways Agency Page 18 of 26

The broad context for this process is illustrated at Appendix D.

RPG planning members & build PfM

Register responses Submit template to R&I

Highways Agency Page 19 of 26

Ref Portfolio Title Outcomes Objectives

Highways Agency Page 20 of 26

(1) Provide a definition of 'network performance'