Annex H

GFirst LEP ASSURANCE FRAMEWORK Annex H Gloucestershire Local Transport Board

1.

Introduction

1.1

The Gloucestershire Local Transport Board (GLTB) was formed in 2013 in response to a Department for Transport (DfT) initiative to devolve the control of capital funds for major transport schemes to Local Enterprise Partnership (LEP) areas, in line with the Government's localism agenda. Local Transport Boards (LTBs) were established with a remit to decide on major transport priorities between 2015 and April 2019. In 2014, the £9.8m Government allocation to the GLTB has been subsumed into Gloucestershire’s Growth Deal.

1.2

The GLTB will make recommendations to the LEP with regard to the transport infrastructure funding the GLTB was allocated to oversee. The key processes to ensure accountability, transparency, compliance with legal obligations, value for money are integrated into the GFirst LEP Assurance Framework and will work consistently with and complementary to the overall Growth Fund management process.

1.3

There may, however, be some government arrangements specific to the GLTB which will be set out in this Appendix to the GFirst LEP Assurance Framework.

2

Governance Name

2.1

For administrative purposes, the LTB is known as the “Gloucestershire Local Transport Board” (GLTB) and will be referred to as such for the remainder of this document. GLTB and Scheme Promoters

2.2

The GLTB has been set up as an independent partnership which will m a k e investment recommendations to the LEP, on potential major local transport schemes that are submitted by individual promoters (either single organisations or consortia). The GLTB will not promote any major schemes itself. Status of GLTB

2.3

The GLTB is an informal consortium of three Full member organisations – GCC, the LEP and GEGJC (the latter being an informal partnership rather than a legally constituted organisation). Associate members and Observers are also represented as outlined in section 3. Potential LTB Budget Page 1 of 8

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Annex H 2.4

The DfT has provided the GLTB with a budget allocation of £9.8 million for the period April 2015 to March 2019, now subsumed into a ring fenced allocation within the Gloucestershire’s Growth Deal. Strategic Objectives

2.5

The primary strategic objective of the GLTB is to prioritise and manage the devolved major scheme programme by making investment recommendations to GFirst LEP in high value for money transport schemes, that contribute to GCC, LEP and wider strategic objectives.

2.6

The GLTB will make recommendations to the LEPs taking into account the strategic objectives of Gloucestershire County Council – as set out in the Gloucestershire Local Transport Plan, the GEGJC and the LEP. It will also consider the strategic objectives of the local planning authorities – as set out in the various Local Development Frameworks – and other public sector organisations, for example the Highways Agency and Homes & Communities Agency. Therefore it is vital that transport and the work of the GLTB is making a positive contribution to issues such as reducing social exclusion, boosting the local economy, protecting the environment and promoting health / well being in making recommendations to the LEP. Delivery of Purpose

2.7

2.8

The GLTB will deliver its purpose through: •

Inviting promoters to submit schemes for prioritisation and programming.

•

Making recommendations on investment priorities and the overall programme of major schemes in Gloucestershire, based on contribution to objectives, value for money and deliverability.

•

Providing advice to scheme promoters on the work required to propose, prioritise and undertake business cases for major schemes.

•

Co-ordinating and scrutinising business case work, in partnership with the scheme promoters.

•

Working with partners to co-ordinate major scheme investment with other programmes, where this is beneficial.

In order to support this delivery role, work tasks for the GLTB include: •

Making recommendations on the highest priority schemes, in order to invest the devolved funding in the most effective way.

•

Agreeing scope and timescales for business case work with scheme promoters.

•

Monitoring and reviewing business case work undertaken by the promoters of the priority schemes.

•

Undertaking periodic reviews of the programme, based on the progress of the business case work. Page 2 of 8

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Annex H •

2.9

2.10

Management of the overall GLTB scheme programme in order to ensure that schemes are delivered to the agreed budgets and timescales.

The GLTB will consider assuming wider transport-related roles if stakeholders agree that this would be the most effective means of delivering strategic objectives and value for money. These wider roles could include: •

Co-ordination of investment / funding streams across a number of partner organisations.

•

Lobbying for strategic transport schemes delivered by others (e.g. Highways Agency and Network Rail).

•

Research into key local transport issues that may impact on the work of the GLTB; and

•

Provision of responses to government consultations.

The GLTB will discuss any such possibilities with the LEP and other partners as appropriate. Governance Structure of the GLTB

2.11

The member organisations of the GLTB are Gloucestershire County Council (GCC), the Local Enterprise Partnership, GFirst (LEP) and the Gloucestershire Economic Growth Joint Committee (GEGJC).

2.12

Gloucestershire County Council is the accountable body for the GLTB and it’s role and responsibilities is set out in part 4 of the GFirst LEP Assurance Framework main document.

2.13

The roles of the GLTB Full Member Organisations, including GCC’s role as Accountable Body” are set out in more detail in the GFirst LEP Assurance Framework.

3

Categories of Membership

3.1

The GLTB has three categories of membership: Full member; Associate member; and Observer. Full Members

3.2

The member organisations will nominate the four GLTB full members: 2 GCC members – one of whom will be elected as the chair and will have the casting vote in the event of a deadlocked decision. 1 LEP representative – to be nominated by that organisation. Page 3 of 8

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Annex H 1 GEGJC representative - to be nominated by that organisation. 3.3

Full members are responsible for making decisions at GLTB meetings on the priority programme of GLTB schemes, for implementation within available financial resources and to agreed timescales. This responsibility includes: Making investment recommendations to the LEP on specific schemes and Managing the process of business case approvals.

3.4

GCC and GEGJC Full members of the GLTB will be subject to the results of elections and any subsequent decisions of a new council administration. Membership for GCC members will be based on policy responsibility.

3.5

The GCC, LEP and GEGJC will be responsible for any decisions on changes to their GLTB Full member.

3.6

GLTB Full members were appointed to the Board in March 2013 and April 2015. Terms of office run for two years. There will be no limit on the number of terms that a GLTB Full member can potentially serve.

3.7

All organisations with Full GLTB membership must provide a deputy in the event of un-availability of the nominated representative or where there is a potential conflict of interest. For GCC, this deputy will be another elected member with an appropriate policy responsibility.

3.8

Each of the GLTB Full member organisations will have a senior lead officer, responsible for providing strategic advice and decision making support. Associate Members

3.9

Associate members can formally contribute to the work of the GLTB, based on having a specific interest or responsibility with regard to particular schemes or wider issues. They can contribute to GLTB meetings (including the right to speak when invited) and technical work necessary for the relevant decisions. If it is deemed necessary to form working groups of the GLTB, Associate members can be invited to participate. However, Associate members do not have a vote and cannot therefore make decisions on behalf of the GLTB.

3.10

Associate members can be appointed in three ways: 1. Specific invitation to an organisation / person from GCC, the LEP or GEGJC. 2. Application to the GLTB directly from an organisation / person. 3. By promoting a scheme which is considered to be eligible for GLTB funding.

3.11

The qualification criterion for Associate membership is that the organisation / person should have a key strategic interest or expertise in a particular scheme or wider issue that the GLTB is considering. It is expected that this interest or expertise will primarily relate to one or more specific transport schemes. For example, where a scheme is located on or impacts a motorway / trunk road, the Highways Agency could be an Associate Page 4 of 8

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Annex H member. Or for public transport schemes, local bus operator(s) could be an Associate member(s). 3.12

For categories 1 and 2 above, the GLTB will request that prospective Associate members complete a short application form which will ask for summary details of their key strategic interests. Promoters with eligible schemes will automatically become Associate members and do not need to formally apply. Once appointed, Associate members can remain part of the GLTB as long as the issue being considered is still relevant and the particular scheme is prioritised within the GLTB investment programme. The GLTB reserves the right to decline an application for Associate membership if there is not enough evidence that the organisation will make a positive contribution. Observers

3.13

Observers are able to attend GLTB meetings, but do not have the right to speak. Any person or organisation will be able to make written representations to the GLTB in advance of any meeting, and the GLTB will consider these as part of the decision making process.

4

Decision Making

4.1

The GLTB will make investment recommendations to the LEP on the transport infrastructure funding it was specifically allocated to oversee. Decisions by Full members of the GLTB will be made by an open vote, based on recommendations provided by officers. GLTB members will be bound by the doctrine of “collective responsibility” and would be expected to adhere to the majority decision, once it has been made. If any GLTB member cannot do this, they will have to tender their resignation.

4.2

Recommendations to the LEP will be made on the base of the following decision making powers: •

2 GCC members – one of whom will be elected as the chair and will have the casting vote in the event of a deadlocked decision.

•

1 LEP representative – to be nominated by that organisation.

•

1 GEGJC representative - to be nominated by that organisation.

4.3

The GCC full members can change depending on the results of elections or changes to the organisation of council business. All member organisations are able to change their members based on their own procedures.

4.4

The two GCC cabinet members are publicly elected politicians and will therefore enable the majority GLTB membership to be democratically accountable. The casting vote of the GLTB chair means that non-elected members will not be able to out-vote elected members. Page 5 of 8

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Annex H 5

Conflicts of Interest

5.1

It is essential that recommendations on the prioritisation of investment for major scheme funding are made on an objective basis, using robust business cases to provide evidence on: •

Contribution to GLTB member objectives;

•

Value for money; and

•

Deliverability.

5.2

6.2 Therefore under no circumstances should GLTB decisions be made on the basis of either an organisations’ subjective interests or an individuals’ personal gain.

5.3

The GLTB will be bound by the GFirst LEP Assurance Framework conflict of interest policy.

5.4

All individuals who are Full members of the GLTB are required to disclose any potential conflicts of interest which may prevent them from making an impartial decision on either the prioritised programme or a particular scheme. Depending on the nature of the potential conflict of interest, there may be a need to co-opt a deputy member on to the GLTB for the purpose of making a particular decision.

5.5

All Full members of the GLTB are required to produce and regularly update a register of their interests. All members of the GLTB are required to sign and adhere to the GCC Member Code of Conduct.

5.6

GLTB Full members are not allowed to accept any gift or hospitality from any individual or organisation who has a specific interest in a scheme. GLTB Full members should raise any concerns or questions with GLTB officers. Relationship Between the GLTB and Scheme Promoters

5.7

There is an important distinction between a scheme promoter and the GLTB. The scheme promoter can be any organisation which makes the case for major scheme investment through a series of business cases. The GLTB is a body making recommendation to GFirst LEP to which the major scheme funding is devolved by Government. The GLTB will not promote any major scheme itself, as this would be a clear conflict of interest.

5.8

As the Local Transport Authority (LTA), GCC is an important scheme promoter with a remit for implementing the LTP strategy and delivery plan. GCC also has majority representation on the GLTB. In order to avoid any potential conflict of interest, the cabinet member who is the democratically elected representative of GCC as scheme promoter will not be represented on the GLTB.

5.9

The GLTB is able to provide impartial “without prejudice” advice to individual scheme promoters in advance of any formal recommendation Page 6 of 8

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Annex H made to the LEP. Provision of such advice cannot be taken as any agreement that a proposed scheme will be considered to be eligible for funding or a high priority for implementation.

6

Working Arrangements and Transparency Administration and support

6.1

The work of the GLTB will be supported by a team of GLTB officers. A lead officer, a senior staff member from GCC will, in consultation with the Strategic Director for Finance / Section 151 officer, be responsible for ensuring that the budget required for undertaking the GLTB’s work is secured and adequate for the purpose. The lead officer will also be responsible for commissioning work to support the GLTB and ensuring that the effectiveness of the work is kept under regular review. The lead officer will be able to nominate an officer to undertake work as required. Meetings

6.2

Whilst all GLTB meetings will be open for anyone to attend, there may be a need to exclude the public and press from any parts of the meeting where commercially sensitive matters are being discussed. GLTB Papers and Reports

6.3

The GLTB will conduct its business in an open and transparent way. Papers for GLTB meetings will be published in advance on the web site. Freedom of Information

6.4

As the Accountable Body, GCC will respond to all requests under the Freedom of Information Act 2000 and the Environmental Information Regulations 2004. Complaints

6.5

As the Accountable Body, GCC will deal with all complaints following the GCC complaints process. Funding allocation

6.6

It is currently not anticipated that additional funding for the GLTB will be available. The GLTB will work with the LEP and the GEGJC to establish the best way to re-allocate funding should any of the currently funded schemes be withdrawn or should the GLTB decide to withdraw funding from a scheme. Page 7 of 8

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Annex H

7

Due Diligence, Scheme Appraisal and Value for Money

7.1

All schemes have to adhere to a Due Diligence and business case process, as set out in Annex D of the GFirst LEP Assurance Framework, Scheme promoters will be required to conduct appraisals and value for money assessments in line with the published business case guidance (Appendix J of the GFirst LEP Assurance Framework) and the GFirst LEP Assurance Framework. The promoter will be required to produce a short Appraisal Scoping Report (ASR) which will summarise the proposed modelling and appraisal approach as a means of establishing value for money. Scheme promoters and the GLTB will agree the scope of the appraisal before any substantive work is undertaken.

7.2

As part of the Due Diligence Checks set out in Appendix G of the GFirst LEP Assurance Framework, GLTB officers will assess the business cases submitted by scheme promoters and make recommendations which will need to be addressed by the promoters. Therefore as a result of the scrutiny process, scheme promoters may be asked to undertake further detailed work on the business case before it is recommended for approval to GLTB members. Monitoring and Evaluation

7.3

Scheme monitoring and evaluation will be required in line with the GFirst LEP Assurance Framework requirements.

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