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Transport Policy 15 (2008) 273282

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Transport Policy
journal homepage: www.elsevier.com/locate/tranpol

A strategic planning methodology

Robert Kolbl , Martin Niegl, Hermann Knoacher
1040 Vienna, Austria

a r t i c l e in fo
Available online 6 September 2008 Keywords: Strategic planning Transport policy Control theory Hierarchical systems Method

abstract
The aim of this paper is to develop a method for strategic transport planning, which can be applied from the local up to the international level. A newly developed strategic transport plan is veried in comparison to four strategic transport plans, i.e. on the national level: Austrias Generalverkehrsplan Osterreich 2002, the German Bundesverkehrswegeplan 2003, and from Switzerland the Sachplan Schiene/oV [BAV, 2002. Sachplan Schiene/oVKonzeptteil (Teile I bis IV and Anhange)Vernehmlas sungsentwurf, September 2002, Bern, Schweiz, Bundesamt fur Verkehr] and the Sachplan Strasse [Astra, 2002. Der Sachplan Strasse, September 2002, Bern, Bundesamt fur Strassen, Bundesamt fur Raumentwicklung]; on the international level, the EU White paper on transport policy [European Commission, 2001. White paperEuropean transport policy for 2010: time to decide. Technical Report, EU]. The methodology is based on a combination of control theory and hierarchical systems theory, which the former provides a stringent-ordered structure of the complexity between objectives, measures and indicators and the latter a consistent hierarchy for the involved topics and issues. The method allows an assessment and comparison with the above mentioned plans, which is required if a consistent transport strategy should be achieved between these levels. & 2008 Elsevier Ltd. All rights reserved.

1. Introduction Strategic planning (SP) is taking up an increasing part of transport planning, which can be seen on all levels of public administration, i.e. from urban, regional up to national and international levels. One main difculty of such plans is that they are not consistent or are interpreted in different ways which may be a reason for the divergence between transport policies and trafc development (May et al., 2005). Another main aspect lies in the complexity of transport with all the technical, socio-economic and environmental facets, which may be seen, for example, when people of the same organisation take different decisions. Furthermore, such decisions may also alter the state of the whole transport system which triggers new situations due to their dynamic effects (Sterman, 2000). Such dynamics may in addition possess a counterintuitive behaviour, which can especially be seen in social systems (Forrester, 1971, p. 52). The question arises, how to deal with such complexity and dynamics, when also different actors have different intensions (Button and Hensher, 2005). The obvious answer lies in the need for integration, an approach for the understanding of the system as whole (May et al., 2006; Knoacher, 2007). A qualitative method is therefore required which attempt to integrate these

different issues consistently in a single schema and which can be followed and monitored stringently over the years. Whereas the urban and regional level have been tackled in different European framework programs (e.g. www.lutr.net), we would like to concentrate on the national and international level, where even strategic appraisal is in its infancy (Short and Kopp, 2005, p. 366). The paper will rstly discuss the preliminaries for a SP methodology. Afterwards, the two concepts of control theory and hierarchical systems are discussed to form the theoretical basis. Thirdly, an exemplary transport plan according to the developed method is described which should show the practicable applicability, an essential requirement of this methodology. Fourthly, three national strategic plans and the EU White paper are summarised and the details can be found in Appendix A.4. The paper closes with an analysis and discussion of the methodology which allows a comparison of the four strategic plans, a further essential property, if a common strategy for several countries such as in the European Union, should be obtained.

2. A SP methodology 2.1. Preliminaries of a strategic method A precondition for this methodology lies in the fact that the transport and land-use system can be inuenced or should be

Corresponding author. Tel.: +43 1 58801 23120; fax: +43 1 58801 23199.

E-mail address: robert.koelbl@ivv.tuwien.ac.at (R. Kolbl). 0967-070X/$ - see front matter & 2008 Elsevier Ltd. All rights reserved. doi:10.1016/j.tranpol.2008.07.001

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controlled by policies and regulations, although it has been suggested that the regulatory inuence may be unelectable (Axhausen, 2000; Hesse, 2001; Hickman and Banister, 2005). However, the argument here is to develop a methodology which can control, steer or govern the transport system, as required principally by a SP approach. SP methodologies in transport are tackled from different perspectives, i.e.

 from a decision making perspective with vision-, plan- and

consensus lead approaches, or

 from a process or denition oriented approach for objectives,

problems, indicators, targets, etc., or

also be traced back to Clerk Maxwells article from 1868 on governors (Wiener, 1965, p. 11). Several forms of transport have emerged which have considerably inuenced and regulated the progress of the socio-economic development and their effects on the environment (Black, 2004). In order to decompose this complexity, a modular structure of building blocks is required to be able to tackle the problems in manageable entities without losing the overall picture. And to extend the usual linear thinking, an understanding on the strategic level is required to think beyond the so-called solution to the problem; or as Saaty (2001, p. 83) put it: Feedback enables us to factor the future into the present to determine what we have to do to attain a desired future. 2.3. The control cycle of SP The above concepts, especially those of the feedback, can be specied in technical terms of a standard control cycle, which provides all the key elements of a SP approach as also set-out in Section 2.1. The standard terms in square brackets (DiStefano et al., 1990) can thus be converted into SP terms, to yield the SP cycle (Fig. 1). The denition of the objective or aim is stated as externally . . . aimed at or sought; a target, goal, or end (Oxford University Press, 2006), which is very similar to those of control theory: The reference input is an external signal . . . in order to command a specic action of the plant. It usually represents ideal (or desired) plant output behaviour (DiStefano et al., 1990, p. 17). The key feature in both denitions is external, and the important consequence is that the objectives or aims should be dened not within the (transport) system but from outside. If the aims would be dened internally, a positive feedback1 cycle may be triggered. An example of such a positive feedback could be seen in the attempts of easing congestion but congestion levels have further increased and this is seen as one major problem (see e.g. European Commission, 2001). The comparison of ideal objectives and realisation or outcome will lead to the adjusted objectives. This step will be required for a revision or correction which will be considered later. Therefore, the objective and adjusted objective are used as uniformly at this stage. Policies (and regulations) are generally dened as a course of action adopted and pursued by a government, party, ruler, statesman . . . (Oxford University Press, 2006). This could be interpreted in more concrete terms as jurisdictional statements within the governmental or legal systems. Their function is clearly of regulatory or controlling nature as in control theory, which should generate the control signal, i.e. the instruments and measures, and their intention is also to achieve the objectives or aims.2 Instruments or measures is a material thing . . . to serve or contribute to the accomplishment of a purpose or end; a means, capacity, or quantity . . . designed or used for the accomplishment of some mechanical or other physical effect (Oxford University
1 Positive loops are self-reinforcing. . . . Of course, no real quantity can grow forever. There must be limits to growth. These limits [are set by boundaries or] can be created by negative feedback. Negative loops are self-correcting. All systems, no matter how complex, consist of networks of positive and negative feedbacks, and all dynamics arise from the interaction of these loops with one another (Sterman, 2000, p. 13). 2 In KonSULT, a combination of policy instruments, as they are applied over time is also dened as a strategy (ITS Leeds, 2006). The difculty of this denition should be seen in regard to that of a closed/positive feedback.

 from a public participation, or  from a package forming of instruments, or  from an implementation or overcoming barriers one (Emberger and Timms, 2003). When all these items are put into an overall scheme (May et al., 2005), such frameworks become quickly very complex and difcult to relate the different stages (Banister, 2000; Button and Hensher, 2005). One basic requirement is thus to keep the underlying method simple (but not simplistic) and straight forward without losing the methodological stringency. A further important aspect will be to provide a general understanding, which makes it necessary to develop the approach from an every-day language viewpoint in order to have the broadest common basis, since various viewpoints and disciplines have to be accommodated. In scientic terms, this aspect can be termed as a requirement of discipline neutrality (Wuketits, 1981) in order to give not rise to philosophical discussions between technical, social and natural sciences. Although the general denitions of SP may be known, the main denitions will be stated due to reasons of completeness and for some derivations: A strategy can be dened as a plan for successful action based on the rationality and interdependence of the moves of the opposing participants or as the art of projecting and directing the larger military movements and operations of a campaign (Oxford University Press, 2006). Although this denition contains the reference to military, the directions and aims are generally applicable. The key element, i.e. a plan for successful action based on the rationality, is related to the notion of methodology and can be dened as following: A methodology can be dened as a systematic classication or procedure with the use of suitable techniques for studying and analysing directions and implications of empirical research (Oxford University Press, 2006). The topical constraint to empirical research does not need to be required and can also be applied to strategies, for yielding successful actions. The key point here is regarding systematic classication and suitable techniques, which will be highlighted in the following section. 2.2. An application of control theory Transport systems from the physical to the communication level provide the multi-dimensional network to the social and economic system and these therefore interact in an open manner (for basic denitions see Appendix A.1). N. Wiener, one of the fathers of control and communication theory, used the Greek word of steersman for the denition of cybernetics, which can

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Fig. 1. Feedback loop of strategic planning and standard terminology.

Press, 2006). This can be understood as the practical implementation of policies and regulations in transport systems, for example, projects, which serve as an input for the plant, i.e. the transport system. It should be noted that instruments are also understood in a legal way, where they would need to be listed under policies and regulations.3 The disturbance affects as an undesired stimulus or input signal . . . the value of the controlled output (DiStefano et al., 1990, p. 21). In SP this could be termed as barriers which is dened similarly as an obstacle which prevents a given policy instrument being implemented, or limits the way in which it can be implemented (May et al., 2005). The distinction made in this report with legal/institutional, political/cultural, resource and nancial, and practical/technological barriers could be related more or less directly to the SP feedback cycle of Fig. 1. Key Performance Indicators are . . . metrics used to quantify objectives to reect the strategic performance . . . which is made up of a direction, . . . benchmark, target and timeframe (wikipedia, 2006). A similar denition, although not so comprehensive, can also be found in transport planning with ways of quantifying objectives (compare ITS Leeds, 2006). The essential aspects for the SP approach are, rstly, the quantication for the key units of the plant, i.e. the transport system, measuring the performance over a period of time and secondly, the quantication for the outcome and, thus, for the objectives, where the linear thinking is extended to one of a feedback. A further function of indicators is in respect to monitoring, which is an essential feature during the implementation phase of a strategic plan (European Environment Agency, 2007).

Fig. 2. Hierarchical system of emergence exemplied in regard to the environment, society and economy (Riedl, 1985).

2.4. Hierarchical systems The second fundament of the methodology is based on the concept of hierarchical systems, which is required to distinguish the involved subjects, for example, regarding the economy, society and the environment in a consistent way and to monitor the related strategies in a transport planning approach. Hierarchical systems can be dened as a concept of a multilevel structure for a decomposition of complex problems, where the dilemma is basically one between the simplicity in description, one of the prerequisites for understanding, and the need to take into account a complex systems numerous behavioural aspects (Mesarovic et al., 1970, p. 37). Hierarchies are used in different ways and for different purposes and therefore can have
3 In transport planning, instruments are sometimes dened in way, combining several aspects: Instrument (or policy instrument)Also known as measures, policy instruments are the specic means by which policies are implemented (e.g. lower bus fares, road pricing) (ITS Leeds, 2006).

different interpretations. For example, the above control cycle can also be interpreted as a hierarchy in regard to goals criteria evaluation factorsalternatives with the aspect to assess the impact of the elements of a higher level on those of lower level or alternatively . . . (Saaty, 2000, p. 94). In order to substantiate the above criteria, we would apply the denition of hierarchy in the meaning of a material-formal sense. In this way, a system hierarchy can be developed simply from the relativity of duality between the parts and the whole, i.e. the parts on the lower level constitute the whole on the next higher level, and so on (Klir, 1991). Such a hierarchical schema, however, is not arbitrary but determines a dened structure and direction in relation to a required level. One consequence, for example, is that bottom-up or top-down approaches describe two opposite directions but have to be complementary. This duality can only be understood with the inclusion of the concept of emergence (see Appendix A.1): A new layer is therefore a making of the below, where it obtains its material parts (or components or elements), and from above, where it obtains its formal structure and thus showing the dependencies of either interactions (Riedl, 1985). Depictions, which usually can be found in the literature, are those of nested or embedded gures or pyramids (e.g. Wilson, 1981). However, the depiction according to this concept contains a double pyramid as in Fig. 2, where the outer layer through the original connections denes also the boundaries for the inner one. An example of this duality can be viewed in the problem of natural resources and emissions, where society produces not only the exploitation on the level of parts but also the impacts on the whole, i.e. the environment, in form of e.g. the greenhouse gases.

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QUALITATIVE
THE CONTROL CYCLE SYSTEM HIERARCHY Objectives Policies OF

QUANTITATIVE

Instruments Measure 1,1

Indicators Indicator 1,1

LEVEL 1

Objective 1,1

Policy 1,1

Objective 1,n LEVEL 2 Objective 2,2

Policy 1,n Policy 2,2

Measure 1,n Measure 2,2

Indicator 1,n Indicator 2,2

Objective 2,n

Policy 2,n

Measure 2,n

Indicator 2,n

envisaged degree of detail for the hierarchical classication (see Table 1). Since the whole process is very much an iterative one, the order of specications is variable, i.e. although the objectives are usually listed rst, they necessarily do not need to be the starting point due to the revolving feedback process. In other terms, the usual objective-led approach becomes secondary to a bi-directional consistency-driven approach, since consistency and compatibility are required in the horizontal direction of a level between objectivespoliciesmeasuresindicators as well as in the vertical direction between the different levels of subjects. An exemplary application is provided in the following section which will then be compared with the four selected transport plans.

MACRO

2.6. The STP matrix In advance, it should be noted that the following plan can only be regarded as exemplary in order to show the application of the above developed methodology. The application can be developed, starting from the hierarchy of Fig. 2 with the environmentsocietyeconomy and the denition of sustainability, where the goal of economic and social development must be dened in term of sustainability (WCED, 1987) with the concept of needs and the idea of limitations; and with respect to complementary property of the relative duality, i.e. not to undermine either its physical or its social system of support (Meadows et al., 2004, p. 254). Sustainability can be understood in terms of the control cycle as stability, which is one of the most desired performance properties. The application to transport and travel can be derived from it most fundamental unit, i.e. a trip or a journey (Becker et al., 1991). A denition, which satises the requirements of control theory and of the hierarchical system, can be stated as following: A trip can be dened as a locomotion of a person [the formal part], who goes with or without the use of one or several means of transport, from an origin over a route to a destination, [i.e. the material parts] with an energy and according to a purpose (Kolbl, 2000; Kolbl and Helbing, 2003). In regard to the elements of the feedback cycle, the trip purpose can be assigned to the reference input, the traveller to the feedforward (control) element and the locomotion with or without the means of transport from an origin to a destination is the process or plant. The output is the level of satisfaction (or utility) through the locomotion, which feeds back to the reference input. The trip purpose is usually associated with work, education, shopping or provision and leisure, which are related to the basic functions of living as dened by Maslow (1943). Additionally, safety or quality of life can also be included to the domain society in order to develop the matrix according to the taxonomic classication (Table 1). Finally, the connection between objectivesinstrumentsindicators and their detailed formulation can now be determined (Table 2). There are numerous measures and indicators available, which should be chosen in order to meet the required demands. In the appendix, exemplary tables related to the environment (Tables 3 and 4) and the economy (Tables 5 and 6) have been described for reasons of completeness. To ll in all cells accordingly, a reiterative process is required to establish the consistency and compatibility of the STP. The emerging stabilisation of the description may therefore be taken as another application of control dynamics. In the four STPs of Appendix A.4, policies and regulations are not separated in a strict way and therefore they are combined here as instruments. The juxtaposition to these documents is analysed in the following section.

LEVEL N

Objective n,n

Policy n,n

Measure n,n

Indicator n,n

MICRO

Objective n,n

Policy n,n

Measure n,n

Indicator n,n

Fig. 3. Combination of system hierarchy and feedback loop.

2.5. Connecting the control and the hierarchical system In the literature, these two items are usually handled separately (e.g. Wilson, 1981). Here, the hierarchical system describes qualitatively the vertical dimension and the control cycle (of Fig. 1) explains the processes horizontally within the hierarchical levels. The complementary connection can be depicted with a matrix (Fig. 3). From this representation, it becomes evident that the matrix goes methodologically beyond the usual listing or the separate treatment. Each row and each column has a dened elementary representation and determines so the methodological stringency. The application comprehends three degrees of specication and an example of the strategic transport plan (STP) is described in the following section. While only three (or ve) levels have been described in Fig. 2, the degree of detail in Fig. 3 can be increased from the macroscopic to the microscopic one accordingly. The levels are simply numbered in one direction although from the hierarchical building schema they should be paired according to their relative duality, emergence and boundaries. Even if only one side of the pyramid is taken, the structure establishes the rst specication of the addressed subjects or domains as in Fig. 2. The control cycle in the horizontal provides through its dened elements the layout from the qualitative of envisaged objectives to the quantitative of the indicators. This association triggers the feedback cycle in regard to the second specication, raising, for example, the question of how a certain objectives, policies and measures can be achieved and assessed. Comparing those again with the hierarchical layers, the description will be enhanced further and the ordering power of the methodology constrains one inevitably towards a repeated revision and clarication and thus give an equal importance to all elements. The third specication goes into the detailed denitions in relation to the matrix cells, for capturing the multi-dimensionality of the actual issues involved. For this specication of the n; nelements, a taxonomic classication needs to be introduced as an auxiliary step. This classication can be described with the notions of domainareaissueobjective, providing eventually the

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Table 1 Taxonomic specication regarding the society for the denition of objectives Domain Society Area Quality of life Issue Fairness, solidarity Health Social (long-term) security Physical (immediate) safety Work, supply, education, leisure Objective Enhance usability and accessibility Foster health and well-being Securing the satisfaction of the human needs Enhancing safety standards for all participants Sustain and develop working, shopping and supply opportunities around the living areas Sustain and develop educational opportunities around the living areas Sustain and develop green and leisure opportunities around the living areas

Security and safety

Basic functions of living

Table 2 Transport plan regarding the society Objective Enhance usability and accessibility Measure/instrument Equal and barrier-free usage of the public space for all Prioritisation of non-motorised mobility structures Reduce trafc pollution Enable non-motorised travel through respective infrastructure and access provision Create green areas Indicator Trip time, length, and frequency of different social groups Casualties per area and year

Foster health and well-being

Population health statistics in regard to pollution Pollution levels of various gases and particles Street temperature Level of humidity Modal split

Securing the satisfaction of the human needs

Create high functional mix and diversity regarding work, education, leisure, shops and green space Efcient and equal use of public space Development of off-road car parking schemes

Density of population, jobs, shops, schools Area and access comparison from home to parks and green areas Distance to cycle lanes, public transport stops and car parks Crime rates Number of fatalities and accidents per year [pers or no./year] Accident locations and type of accidents in relation to speed and trafc volume

Enhancing safety standards for all participants

Reduce speed of trafc Reduce trafc volume Enhance trafc and driver education and trafc control Policing

Sustain and develop working, shopping and supply opportunities around the living areas

Investment, which meets the needs of the local economy Development of local economies with local responsibilities

Number of jobs or companies per area or region

Number of job functions per area or region Number and distance of commuting and shopping trips between internal, incoming, outgoing for an area and region Commuting distance according to modal split Height of regional development investment

Sustain and develop educational opportunities around the living areas

Development of local schools and educational centres Develop and densify the non-motorised infrastructure Develop car-free zones and green areas around living areas Develop barrier-free access to non-motorised and public transport

Modal split and trip length regarding educational trips Length of non-motorised transport network

Sustain and develop green and leisure opportunities around the living areas

Modal split and trip distance for leisure activities Distance to parks and green areas

3. A summary of four strategic plans The STPs of Austria, Germany, Switzerland and the EU White paper are very briey summarised (see Appendix A.4). Only

objectives, instruments and indicators are very concisely described where applicable. Due to these limitations, it must be noted that these summaries cannot be regarded as a critical analysis in any way.

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3.1. AustriaThe General Transport Plan 2002 From the six objectives, two, i.e. (regarding safety and the economy) satisfy the criteria developed above. Sustainability is mentioned without a concrete denition although it contains the only link to the indicator of modal split. It is mentioned that aspects of trafc safety and environmental protection should be considered in further planning processes but without appropriate measures, as, for example, with legal procedures of a strategic environmental assessment or an environmental impact assessment, Financing and the ease of implementation are not independent but derived from the extension of the network. This objective lies within the transport system and therefore bears the preconditions for a positive feedback. In terms of the above denitions, they should actually be measures, especially nancing and thus listed in another column. In terms of measures, the GTPA 2002 does not make the direct connection between the dened aims and proposed measures. This is justied by the argument that a general (or strategic) transport plan should focus less on the completeness of measures but rather on the concentration of forces for the urgent and important projects. Overall, the GTPA 2002 is oriented towards the objectives which are described vaguely without clear measures or indicators. 3.2. The German Bundesverkehrswegeplan 2003 Appendix A.4 shows that the German BVWP 2003 is similar to the Austrian GTP 2002 although more objectives have been formulated. Most aims are dened outside the realm of the transport system, but in such a manner that their achievement cannot be assessed. The issues regarding the infrastructure and nancing are described also on comparable lines; as are measures, which are dened independently of the aims. This leads partly to inconsistencies such as 45% of overall funding for new and extension projects and a reduction of the use and demand on nature, landscape and non-renewable resources. In respect to indicators analogous difculties occur, for example, with a reductions of emissions . . . especially CO2, where two scenarios are listed with 17% and 11% increase but without any crossreferencing. As a general assumption it is mentioned that an exclusion of projects based on currently supposed conicts, . . . is therefore not possible. 3.3. Switzerland In Switzerland, a distinction is made between The factual plan rail and public transport (FP-R/PT) (Der Sachplan Schiene/oV) (BAV, 2002) and The factual plan road (FP-Ro) (Der Sachplan Strae) (ASTRA, 2002) and will be reviewed here combined. Most aims have been dened transport-externally but without a respective implementation. The aims are dened in a general way and distributed over the documents, which makes it difcult to relate aims to the respective measures and their realisation. However, with the shifting bill, Vision Zero and CO2 , there are well-dened connections between the aims, their measures and indicators. Otherwise only few indicators are mentioned which could be used for assessment purposes, although a strategic environmental assessment with an environmental impact assessment is explicitly required for project assessment. 3.4. The EU white paper on transport 2001 Aims are dened, on the one hand, in a general sense, such as a sustainable transport system that will ideally be in place in 30 years time or in a concrete form such as halving of road

casualties between 2000 and 2010 or maintaining the 35% of rail freight share for 2010. The aim of eliminating bottlenecks is actually a measure and, thus, the underlying aim is not dened. There is no clear connection between aims and measures. Indicators are only mentioned in respect to the people killed and rail freight share. In general, it is difcult to identify a clear and comprehensive approach for the achievement of a sustainable transport system in the long run.

4. Analysis and discussion The rst step of the analysis is usually a simple comparison. The grid of the matrix can be used as a framework, where the grey coloured cells of Fig. 4 represent the allocation of issues addressed within the respective STPs. From the taxonomic specication, it can be seen that denitions of objectives such as to foster sustainable mobility (BMVIT, 2002) or to master the globalisation of trafc (European Commission, 2001) are too general and would require additional specication. Thus, only those items with the required level of specication can be used to ll the matrix cells of Fig. 4. From here, the main advantages are:

 Only a certain substantiation of denitions can be taken into   

account and non-tangible descriptions will require to be reformulated accordingly. It can be seen if a plan is comprehensively dened and where are the missing parts. The level of detail can be dened accordingly and the relations are preserved in respect to the overall schema. The schema provides a basis for the connection between the actual subject involved and the decision making process, a problem which is difcult to uphold in political discussions.

In terms of items covered, Fig. 4 shows that the Swiss Factual Plans 2002 address the three domains quite comprehensively although they are oriented towards the objectives and instruments. The issue, which has been addressed in all STPs, is regarding fair pricing on an economic level. Similarly, this juxtaposition of national and international plans shows

Fig. 4. Comparison between strategic transport plans.

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exemplarily how different STPs at different levels of administration can be compared and analysed for a later integration. As already noticed above in regard to the control cycle (see Section 2.3), several elements can be added through additional columns to complement the matrix. These elements are, for example, in relation to policies, laws and regulations, which form the legal basis for an implementation, and the jurisdiction of the administrative bodies, in respect to measures, the envisaged projects and in respect to the previous mentioned elements and system indicators, or barriers which can have a considerable inuence, too (May et al., 2006; Vieira et al., 2007). Similarly, the nancial allocations (as the essential component from the system denition viewpoint) should be added to obtain an overview of funding in relation to different levels and measures. Quantitatively, that would enable the linkage to assessment methods such as a costbenet analysis. A further linkage, which would demand further research, can be made to measurement methods such as the analytical network process, where the dominance of inuence is measured in respect to a criteria or indicator and a prioritisation of measures would be obtained for the optimal achievement of the dened objectives (Saaty, 2001). For further assessment methods, the analysis of the different measures on different levels could provide an indication in regard to the concept of synergies (May et al., 2006). In addition, a connection between measures and indicators could provide a quantitative assessment for estimating trends in the simplest way. Otherwise, a modelling exercise would be required which would open up the eld to systems analysis and optimisation, but which would be of further research.

additional specications and thus sharpen and enhance the expressiveness and signicance of such transport plans and their understanding. The analysis of current strategic plans shows that they are mainly oriented towards objectives. Instruments and measures do have an equivalent weighting for the planning process. The denition process can start at any of the matrix cells because several runs are required in terms of the methodological stringency to obtain the consistency and complementarity between the cells and their neighbouring items.

In this paper, the focus of the SP methodology was on the basic concepts. Further extensions as indicated in various sections can be made in terms of assessment methods, monitoring or modelling. However, more research and implementations of the methodology are required to further verify its validity.

Appendix A A.1. Basic concepts of control theory The following basic concepts are used above (Wuketits, 1981):

 Openclosed system: A system should always be in the

interaction with its environment. Simple linear paths of development are therefore quickly extended to relations of a multi-dimensional network. Self-organisation can be seen as the boundary of the operational closeness of a system with the interaction of the system environment. Also dened as emergence, it includes the property of a systems regulation, steering and self-regulation, i.e. the possibility to develop towards an aim or its purposefulness as a whole or as one of its parts. Modularity, which enables to view the structure of the systems parts in building bock and the whole in a system hierarchy. Thinking in feedback circles: Control theory goes beyond the usual linear thinking pattern and can provide new perspectives for overcoming traditional problems.

5. Conclusions The key items for the above developed strategic planning methodology in transport can be concluded as following:

 

 A jargon-independent denition of the methodology is based

on a general language usage as shown, for example, in the preconditions or key elements of the control cycle, enabling a common understanding between all stakeholders involved. The approach puts equal importance on all elements of the control cycle in comparison to an usual objective-led approach. A minimum set of elements is required containing objectives, instruments and indicators. Further extensions (represented by additional columns) can be made in terms of policies, law, administration or nancing. The hierarchical system provides an understanding of the material vs. formal duality, i.e. combining the source or parts point of view with the effects on the whole for problems such as resources vs. greenhouse gases. It provides also an order in terms of subjects involved and denes the levels and boundaries between the economic, social and environmental realms. The combination of the previous points can be shown in a qualitative matrix framework where the control items are in the horizontal and the hierarchical in the vertical. The structure of the matrix provides a bi-directional consistencydriven approach for the cells depicting the interrelations of the items involved and thus brings forth the feedback process with the increasing stabilisation of the developing strategic transport plan. From the practical application, the denitions of the cells and their items require a tangible detail and content which becomes evident through the previous point. General formulations such as to promote sustainable mobility require

A.2. The environment Tables 3 and 4 present the taxonomic specication and STP for the environment. A.3. The economy Tables 5 and 6 present the taxonomic specication and STP for the economy. A.4. Four selected STPs The following four STPs are analysed in Section 2.6. A.4.1. AustriaThe General Transport Plan 2002 Objectives: The GTPA 2002 lists the following objectives or aims:

 To promote the economic position of Austria through the 

extension of the road network to balancing out of the regional differences and accessibility gradients between federal states. To extend the network efciently and demand-oriented towards the global environmental aims and to minimise the consumption of resources with a better use of trafc technology.

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 To enhance safety, especially in critical areas of the motorway 

network such as tunnel sections. To promote sustainable mobility towards environmentalfriendly travel behaviour and to improve the modal split noticeably towards rail.

 To secure nancing of transport infrastructure through funding 

by the user and interested parties and to disburden the national budget. To make the implementation easier without restricting the public participation.

Table 3 Taxonomic specication for the environment Domain Environment Area Resources Issue Biological resources Objective Minimise land-use Secure bio-diversity Reduce habitat separation and barrier effects Extending the life cycle of commodities Recycling Reduction of fuel usage Increasing the share of renewable fuel Reduction of greenhouse gas emissions Reduction of particulate matter and exhaust emissions

Raw material

Fuel

Last sinks

Atmosphere (Ground-level) dumps

Table 4 Transport plan for the environment Objective Extending the life cycle of commodities Measure/instrument Enhance the durability of tracks and rolling stock Reduction of axel load Tax incentives for the extension of vehicle usage Recycling Usage of materials with low energy expense Indicator Durability (years) Allowed axel load (tons) Average yearly heavy vehicle trafc (vehicle/year) Percentage of recyclable products in the vehicles Non-recyclable and recycled material (tons) Transportation distances (km) Energy consumption (kJ/Pers km), (kJ/t km) Increasing the share of renewable fuel Development of alternative fuels and engine Electricity from renewable fuel Minimise land-use Reduce land-use consumption of transport infrastructure More efcient use of transport infrastructure Reduce speed Reduce the trafc volume Adjust track alignment Create sufcient possibilities for level-free crossing Absolute and relative (ha) Land consumption in relation to the overall land (%) Trafc volume Share of alternative fuel in relation to the total energy usage (%)

Reduction of fuel usage for transportation

Pricing to reduce fuel consumption

Secure bio-diversity

Reduce habitat separation and barrier effects

Relation of direct alignment to deviation (%) Size (ha) and distances (km) of compensation areas

Table 5 Taxonomic specication for the economy Domain Economy Area Competition Issue Fair pricing Research and Development Public nances Objective Implement the polluter-pays principle Provide sufcient funding for basic research Enhance efciency of public nances regarding building and operation of transport infrastructure Enhance the production of ecological and social compatible products and services Enhance the product information regarding transport patterns

Production and Consumption

Manufacturers and service providers Consumers

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Table 6 Transport plan for the economy Objective Implement the polluter-pays principle Measure/instrument Include external costs in cost calculations Vehicle travelled pricing and tolling Enhance efciency of public nances regarding building and operation of transport infrastructure Optimise operation of existing infrastructure Indicator Costs regarding pollution, noise, accidents in relation to mode of transport Amount of toll rate regarding vehicle travelled Costs for new or extensions and operation of infrastructure (regarding different modes of transport) Investment cost comparison of infrastructure maintenance to extension Number of certied production and service units per area or region Number of production and service units with the mobility management Kilometre travelled per product unit Number of products resp. services with a high ranking in the evaluation scheme Number of tourist areas with a high ranking according to the eco-standard scheme

Introduce PPP-models

Enhance the production of ecological and social compatible products and services

Certication for environmental-friendly products and services with the inclusion of the transport aspects Transport and mobility management Evaluation of product transport costs

Enhance the product information regarding transport patterns

Develop networks between producers, services and consumers and create a standard scheme of evaluation for better comparison Implement transport information in the products description Set up eco-standards for tourist areas

Instruments are listed projects, which are ranked according to main corridor and connections to neighbouring states, project aim and description and other transport effects:

Table 7 Objectives of the Swiss transport plans 2002 (ASTRA, 2002; BAV, 2002) Aim/objective Rail/ PT Road

 Regional Integration: through attractive and capacity or  

iented connections. Capacity and Capability of unwanted bottlenecks should be reduced. Network effectiveness should establish a continuous quality of supply. Efciency between revenues of the network usage, e.g. tolling of lorries, and investments of planned infrastructure and their packaging.
To strengthen Switzerlands location and its competitiveness Access for all people and regions to mobility Regional areas should be sustained as living and economic areas Regional transport should provide an area-wide access function with an one-hour timed sequence, and denser depending on demand To steer mobility towards sustainability To relieve the roads from motorised individual transport To secure an area-wide basic-needs care To secure and develop a framework for the competitiveness of rail over road For freight transport, a harmonisation with the EU guideline 2001/12-14/EG and a maximum of 650 000 lorries crossing the alps per year To co-ordinate a inter-modal infrastructure planning To enable a macro-economic most efcient satisfaction of mobility needs, internalisation of external costs To reduce considerable emission and noise to 2010 To enhance the modal split for slow modes To follow a vision zero (300 death per year by 2010) To lower the fuel consumption (by 8% or from 8.41 in 2000 and 6.41 in 2008) and the CO2 emission to 10% lower than 1990

A.4.2. GermanyBundesverkehrswegeplan 2003 (BMVBW, 2003) Objectives:

 To ensure an enduring environment-friendly mobility.  To promote the economic position of Germany for establishing      
and securing employment. To foster sustainable land-use and urban structures. To create fair and comparable conditions for a competition between all modes of transport. To improve trafc safety for all traveller and for the general public. To reduce the use and demand on nature, landscape and nonrenewable resources. To reduce the emissions on noise, pollution and greenhouse gases (especially on CO2 ). To promote the European integration.

 To strengthen the infrastructure in East-Germany.  To increase the investment of the current network.  To support and promote modern transport technologies
(Transrapid, Galileo). Instruments mentioned: regarding special forms of nancing are

Further aims up to 2010 have been listed in the Future Program Mobility (Federal Government Act from the 6/3/2002):

 To remove transport bottle necks.  To relieve the urban area of trafc with the building of 300 bypass and enhance so the quality of life.

 To strengthen to maritime locations through a connection

extension of the hinterland.

   

Toll for lorry (on average 12.4 Cent/km). Private advance nancing. Private operator models for motorways. Financing through the EU (TEN-T, EU fond for regional development).

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A.4.3. Swiss transport plans 2002 Objectives: Table 7 present the objectives of the Swiss transport plans, i.e. The factual plan rail and public transport (FP-R/PT) (Sachplan Schiene/OV) (BAV, 2002) and The factual plan road (FP-Ro) (Sachplan Strasse) (ASTRA, 2002). Instruments from FP-R/PT: The nancing of the basic network follows a performance agreement with the carriers and hauliers on the principle of program nancing, i.e. a list of actual projects is not dened on purpose but a program, which combines the aims of the federal government and the status of expansion. From a global budget the cantons receive their share for nancing for the complementary network. Major projects are nanced over special funds, i.e. the FinoV-Fonds. Terminals and connecting lines are nanced from specially allocated funds of the fuel tax. A track price is calculated for the direct costs of infrastructure usage by the carrier and haulier (mainly the SBBThe Swiss Railway). Instruments of FP-Ro: The road network is also divided into a basic and a complementary network. The FP-Ro denes only the framework in which projects can be realised. Related projects are derived from a development plan and a problem analysis of the road trafc according to safety, capacity and the environment. The essential criterion for a project implementation is the fullment of function within the network and not the current state. The nancing of the road network comes from the net-income of the fuel taxes $90% and the motorway tolls $10%. As future sources are considered CO2 taxes and road pricing. A.4.4. The EU White paper on transport (European Commission, 2001) The aims are captured in four sections:

 Shifting the balance between modes of transport with

regulating competition and linking up the modes of transport.

 Eliminating bottlenecks with unblocking major routes and

tackling the problem of funding in order to priorities multimodal corridors for freight and high-speed networks for passengers and limit public budgets and reassure private investors. Placing users at the heart of transport policy with safer roads, halving the number of deaths and gradually charging the community costs of infrastructure in order to achieve a human face of transport and rationalising urban transport. Managing the globalisation of transport according to the enlargement and infrastructure challenges and through a more assertive and single voice on the world stage.

Measures and nancing includes public funds, publicprivate partnerships (PPPs) and alternative concepts:

 Infrastructure projects should generally be nanced from  

public funds of the national member states and with a contribution of EU. The interest for PPP models should be encouraged in order to generate an involvement of the private sector and capital as early as possible of an project. An innovative approach: pooling of funds is proposed for tolling or charging an area, where competing routes can generate income or nancial reserves before the usual operating revenues of infrastructure projects.

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