NORTHAMPTONSHIRE LOCAL TRANSPORT BODY GOVERNANCE AND ASSURANCE ARRANGEMENTS Northamptonshire County Council (NCC) and Northamptonshire Enterprise Partnership (NEP) have agreed to form a voluntary partnership called the Northamptonshire Local Transport Body (NLTB) in response to the Department for Transport’s decision to devolve funding for local major transport schemes to such bodies from 2015, and in line with their guidance. The devolution of local major transport schemes, as well as allowing decisions on which schemes should be funded to be made at local level, also permits major efficiencies by giving greater confidence to scheme promoters locally about the level of funding that will be available, and through the preparation of prioritised programme of schemes as set out in this document, confidence that their schemes will be funded provided they meet the criteria set out, and that scheme preparation costs are less likely to be abortive and local ambitions frustrated. The primary role of the NLTB will be to decide which local transport investments should be prioritised, to review and approve individual business cases for those investments, and to ensure effective delivery of the programme. This document describes the governance and assurance arrangements for NLTB, and is split into three parts: 1. The purpose of NLTB, the composition and meeting arrangements for its Board, arrangements for providing officer support, how public awareness and input to its activities will be created, arrangements for audit and house-keeping arrangements; 2. The process for prioritising a short-listed programme of schemes to be funded from NLTB; and 3. The process for preparation and quality assurance of individual scheme business cases to ensure that they are undertaken correctly; ensuring value for money when NLTB makes investment decisions; and for releasing funds for schemes as they are constructed. PART ONE: PURPOSE, STRUCTURE AND OPERATING PRINCIPLES Name 1. The Local Transport Body for Northamptonshire shall be known as the Northamptonshire Local Transport Body (NLTB). Geography 2. The geographical coverage of NLTB shall be Northamptonshire, coterminus with the geographic coverage of Northamptonshire County Council and Northamptonshire Enterprise Partnership. NLTB shares boundaries with six other Local Transport Bodies and will work with these bodies, as required, on cross-boundary issues.

Membership 3. The membership of NLTB will be based on that of the Board of the Northamptonshire Enterprise Partnership (the primary LEP). All members of the NEP Board will therefore be members of NLTB. The composition of the NEP Board, is determined in accordance with the NEP articles of association (see Annex 1), but is defined as comprising:  Three representatives of Northamptonshire County Council (including the Leader and Transport portfolio holder)  Two representatives of the Borough and District Councils in Northamptonshire  Up to two representatives of local delivery vehicles  One representative of the University of Northampton  Nine representatives of the private enterprise sector  One representative of the voluntary and community sector.  Other executives who serve or are employed by the company and are appointed directors. The Director for Environment, Development and Transport, Northamptonshire County Council The current composition of the NEP Board is detailed in Annex 2. In addition, the Chair of the South East Midlands Local Enterprise Partnership (SEMLEP) will be a full member of NTLB, as SEMLEP have significant coverage within the NLTB area. The following organisations will have a standing invitation to attend the NLTB with non-voting observer status: • Highways Agency represented by the Regional Director (or their nominee) • Network Rail represented by the East Midlands or London & North Western Route Managing Director (or their nominee) Transport Operators will be invited to attend NLTB Meetings, as appropriate, to comment on items appropriate to their operational sphere of influence. 4. The NLTB will be chaired by the Leader, or in his absence the Transport portfolio holder, of Northamptonshire County Council. DfT minimum requirement The following organisations have an automatic right to full LTB Membership:  All LTAs falling wholly or partially within the LTB area  ITA whose area (or any part of it) lies within the LTB area

NLTB proposal The following organisations with an automatic right to full membership will sit on the NLTB (para 3):  Northamptonshire County Council as LTA for the whole LTB area.  Northamptonshire Enterprise

Partnership as the primary LEP  The primary LEP (or LEPs) on (the whole NEP Board will sit in whose geography the LTB is the NLTB) based.  The Chair of SEMLEP – the other  Other LEPs with significant LEP with significant coverage coverage within the LTB boundary within the NLTB boundary.  District Councils covering any areas where the relevant LTA is (There are no ITAs in the area and unrepresented. no areas where the LTA is unrepresented.) DfT optional NLTB proposal LTBs could also include any of the The following organisations will also following, either with full or observer sit on the LTB with full status (para status 3):  District Councils (with special  Two representatives of District consideration given to Districts in Councils as per the current NEP overlapping LEP areas) Board  NGOs  The NEP Board also includes the voluntary sector, the university,  Neighbouring LAs and LEPs with the transport sector and a significant interest developers.  Highways Agency, Network Rail  Standing invitation for (non voting) representatives of Highways  Transport operators Agency and Network Rail to attend NLTB as observers.  Transport operators will attend as observers by invitation 5. The membership will be reviewed on an annual basis to ensure that it is still fit for purpose, and shall be amended as necessary. DfT minimum requirement There must be some mechanism in place periodically to review LTB membership and to allow for expansion if necessary.

NLTB proposal NLTB membership will be reviewed annually and expanded or amended as appropriate (para 5)

6. Except as otherwise set out in this document, meetings of NLTB shall be conducted in accordance with the procedures set out in the Articles of Association of NEP (articles 36-42; see Annex 1). However, for the purposes of voting at any meeting of NLTB, it shall be the primary object to make decisions by consensus. However, where consensus cannot be reached or the Chairman otherwise requires a vote to be taken, only the following members of NLTB shall be entitled to vote:  The Chair of NLTB  The Chair of NEP  The Chair of SEMLEP  The two representatives of NCC other than the chair of NLTB

 One representative of district and borough councils In the event of a tied vote, the chairman’s decision will be final.

7. To ensure legal accountability and greater public accountability for NLTB decisions, all decisions of NLTB with regards to the prioritisation or approval of schemes for funding shall be referred to the NCC Cabinet. The NCC Cabinet is a fully accountable and transparent democratically elected body that in effect is the accountable body already for NEP. Reports to the NCC Cabinet require sign off by NCC Legal Services, which will enable identification of any NLTB decision which is considered unlawful or to carry unacceptable legal risks. In such circumstances, the NLTB decision shall not be endorsed by NCC Cabinet, but will be referred back to NLTB for reconsideration. DfT minimum requirement The majority of voting members on an LTB must be democratically elected councillors (or mayors), or an alternative mechanism to ensure that elected members cannot be outvoted.

NLTB proposal Although the majority of NLTB members will not be democratically elected members, para 6 ensures that local authority elected members have more than 50% of votes cast at meeting. Need for NLTB decisions to be referred to NCC Cabinet ensures that elected members cannot be outvoted (para 7).

Conflicts of Interest 8. Conflicts of Interest shall be dealt with in accordance with the existing procedures set out in article 34 of the NEP Articles of Association. 9. A register of the personal interests of NEP Board Members will be maintained in accordance with article 35 of the NEP Articles of Association, and made available to the public upon request. Elected representatives will be expected to abide by their own authority’s code of conduct when conducting NLTB business. 10. In order to remove any conflicts of interests, there shall be clear separation of responsibility between those preparing business cases for the promoting organisation and those carrying out independent assessments on behalf of NLTB (see paragraph 52). In addition, NEP officers shall act as independent verifiers of funding claims to ensure transparency where NCC is acting as both scheme promoter and Accountable Body.

DfT minimum requirement LTBs must have a statement to say how conflicts of interest are managed.

NLTB proposal Conflicts of interest shall be dealt with in accordance with existing procedures relating to the NEP Board and contained in the formal rules of operation.

LTBs must maintain, or enable access to, publicly available registers A publicly available register of of member interests. member interests will be maintained in accordance with procedures relating to the NEP Board; and for elected members with the procedures of the council which they represent.

Gifts and Hospitality 11. The existing procedures of the NEP Board relating to the acceptance and declaration of gifts and hospitality shall apply to the NLTB. Local authorities are already covered by robust procedures. Status and Role of Accountable Body 12. NLTB is a voluntary partnership between NCC and NEP in line with paragraph 13 of the DfT guidance note. This has been agreed by NEP and NCC. 13. NCC shall act as Accountable Body for NLTB. 14. The primary role of the accountable body will be to hold the devolved major scheme funding and make payments to delivery bodies such as Local Authorities. It will account for these funds in such a way that they are separately identifiable from NCC’s own funds, and provide financial statements to NLTB as required. The funds held by NCC on behalf of NLTB shall only be used in accordance with NLTB decisions. 15. The responsibilities of NCC as accountable body will include the following:    

Ensuring that the decisions and activities of NLTB conform with legal requirements with regard to equalities, environmental, EU issues, etc. Ensuring (through their Section 151 officer) that the funds are used appropriately Ensuring that this NLTB assurance framework as approved by DfT is adhered to. Maintaining the official record of NLTB proceedings and holding all NLTB documents.

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Responsibility for the decisions of the NLTB in approving schemes (for example if subjected to legal challenge).

DfT minimum requirement The accountable body should be identified and its role clearly set out, ensuring that the issues set out in the above paragraphs are adequately addressed, The responsibilities set out in para 16 [of the guidance] are clearly allocated.

NLTB proposal Northamptonshire County Council will be the Accountable Body, and will address the issues set out in para 15 above (repeated from the guidance). NCC has procedures and practices in place already to act as Accountable Body from its previous experience. The responsibilities set out in para 16 [of the guidance] are repeated in para 15 above as responsibilities of NCC as accountable body.

Audit and Scrutiny 16. NLTB will arrange for independent local audits to be carried out by a qualified auditor, and must submit the reports of these audits to DfT. The aim of each audit will be to verify that NLTB is operating effectively within the terms of its agreed assurance framework. NLTB will be responsible for taking the necessary action to remedy any shortcomings identified within the audit. NLTB recognises that DfT will reserve the right to withhold or recover funding from any LTB where there is an adverse audit finding, or where there has been a failure to take remedial action. 17. One audit shall be undertaken before the start of devolution, with the report sent to DfT no later than December 2014, and on an annual basis from 2015 once funding has been devolved. DfT minimum requirement Confirmation than an independent local audit will be carried out in line with the above requirements and submitted to DfT.

NLTB proposal Paras 15 and 16 confirm that an independent local audit will be carried out in line with the requirements set out in the guidance and submitted to DfT.

Strategic Objectives and Purpose 18. NLTB shall be responsible for making decisions on devolved LA major funding, and in relation to this decision-making shall perform the following roles:  Responsibility for ensuring value for money is achieved.  Identifying a prioritised list of investments within the available budget.

  

Making decisions on individual scheme approvals, investment decision making and release of funding, including scrutiny of individual scheme business cases. Monitoring progress of scheme delivery and spend. Actively managing the devolved budget and programme to respond to changed circumstances (scheme slippage, scheme alteration, cost increases, etc).

DfT minimum requirement All LTBs must perform, as a minimum, the following role in relation to devolved LA major scheme funding:  Responsibility for ensuring value for money is achieved  Identifying a prioritised list of investments within the available budget  Making decisions on individual scheme approvals, investment decision making and release of funding, including scrutiny of individual scheme business cases.  Monitoring progress of scheme delivery and spend.  Actively managing the devolved budget and programme to respond to changed circumstances [scheme slippage, scheme alteration, cost increases etc) DfT optional LTBs may perform additional roles at local discretion, including the following: The LTB could also act as a decision making body for other funding streams such as Growing Places Fund, or locally pooled resources.  The LTB could also act as a forum for the expression of views on other transport matters, eg bilateral discussions with Network Rail, responding to wider consultations etc.

NLTB proposal NLTB will perform the minimum requirements set out in the guidance, which are repeated in section 17 above. It will receive regular monitoring and progress reports and identify any necessary interventions to ensure programmes are kept on track and within budget. Appropriate resources and skills will be put in place to manage the programme and to provide the necessary oversight and budget management.

NLTB proposal It is not proposed that NLTB act as decision making body for any other funding streams, at this stage. However, decisions will be joined up because the NEP Board will effectively become the NLTB when required and will benefit from a wider knowledge of economic activities, the growth agenda and other funding opportunities. Bilateral discussions already take place with the membership of the NEP Board, so there is no need for duplication.

Although not specifically tasked with responding to wider consultations, NLTB would be able to do so should this seem appropriate.

Support and Administration Arrangements 19. NLTB will rely on staff resources from NEP and NCC to undertake its functions, although staff resources from other partner organisations may be used where these are available. As part of their agreement to enter into the NLTB as a voluntary partnership, NEP and NCC have committed accepted that some commitment of staff resource from both organisations will be required. 20. NEP shall be responsible for resourcing the administration of NLTB meetings; and shall be responsible for verifying claim forms before passing them to NCC for payment (see para 83). 21. NCC shall have primary responsibility for providing professional advice to NLTB, shall act as Accountable Body (see paras 13-15) and shall process claims for payment once they have been verified by NEP (see para 83). 22. NLTB may form working or technical groups as required to assist with the work of the body on either a standing or ad-hoc basis. These groups may comprise NLTB members or officers of any NLTB Partner organisation, including any borough or district council in Northamptonshire. Other organisations, such as the Highways Agency or Network Rail, may be invited to participate in these groups. Such working or technical groups shall not have decision making powers, but shall make recommendations to the main NLTB Meetings. DfT minimum requirement LTBs must set out what resources they will have at their disposal and how these can be guaranteed.

NLTB proposal The proposals for resourcing the work of NLTB are set out in para 1921 above. These form part of the agreement between NEP and NCC to form NLTB, and will be joined up with other partner organisation resources in order to give added value.

Working Arrangements and Meeting Frequency 23. Meetings of NLTB shall be held as often as is required to transact necessary business. It is anticipated that meeting frequency will be held more frequently while schemes are being prioritised and as necessary when making individual scheme investment decisions.

However, as a minimum there must be at least two meetings each year. 24. There must be a meeting of NLTB when  

Determining the initial decision on the composition of the scheme programme; and When making individual scheme assessment decisions

25. However, meetings shall be held at not less than six monthly intervals in order that financial reports can be considered, and appropriate arrangements for commissioning and receiving audit reports made. At least 28 days notice of meetings shall be given (see para 29). 26. NLTB Meetings will be open to the public, and members of the public may request an opportunity to speak on any item on the agenda. However members of the public may be excluded from the meeting when it is likely in view of the nature of the business to be transacted or the nature of the proceedings that confidential information or exempt information would be disclosed. (For these purposes the meanings of the terms confidential information and exempt information shall be the same as those contained in the current County Council Constitution at the date of the meeting). 27. These requirements will not apply to working or technical groups. DfT minimum requirement NLTB proposal There must be a meeting of the LTB As set out in paras 24-26, there will when: be a meeting of NLTB when: (a) Determining the initial (a) Determining the initial decision on the composition of decision on the composition of the scheme programme the scheme programme (b) When making individual (b) Making individual scheme scheme investment decisions. investment decisions. However, meetings will be held at Such meetings must be open to the least every six months. public and subject to a minimum notice period. Meetings be subject to a minimum notice period of 28 days and will be open to the public, except where confidential or exempt information is to be discussed. (These are the same rules as would apply to a County Council meeting). (paras 2526) Transparency and Local Engagement 28. A dedicated web page(s) for NLTB will be created on the NCC or NEP Website. Links will be made to district and borough council websites.

29. A programme of future NLTB meetings shall be published on this webpage. At least 28 days before the date of any meeting, a list of the key topics to be considered at that meeting shall be published on this webpage, together with details of how stakeholders can make their views on the proposals known. Key topics to be published shall include:   

Any agreement to establish or change a prioritisation methodology; Any agreement of a prioritised programme of schemes; Any funding approval decisions.

30. The agenda and papers for each NLTB meeting shall be published on this web page(s) at least five working days before the meeting takes place. Comments received from stakeholders on any topic (in accordance with paragraph 29) will be reported to the meeting either in writing or verbally. 31. The minutes of the meeting shall be published on the webpage as soon as possible after the meeting has taken place. 32. The papers to be published shall include scheme business cases, if appropriate, and evaluation reports (or links to them on the promoter’s own website) and programme updates on delivery and spend against budget. As part of the independent assessment of each scheme business case, a non-technical summary of the modelling and appraisal information shall be prepared, where this is not already available from the information provided by scheme promoters. Funding decision letters with funding levels and conditions indicated shall also be published on the website at the earliest opportunity. 33. NLTB will adhere to the Local Government Transparency Code. This will include publication of:      

Expenditure over £500 (including costs, supplier and transaction information) Prioritisation of schemes and funding approval decisions. Copies of contracts and tenders to business and to the voluntary community and social enterprise sector. Grants to the voluntary community and social enterprise sector should be clearly itemised and listed Policies, performance, external audits and key inspections and key indicators on NLTB’s fiscal and financial position Records of NLTB’s constitution, minutes, decision-making processes and records of decisions.

34. Before making major investment decisions, NLTB will publish a clear statement of the approach which they will follow.

35. NLTB as a non-statutory body may not itself be subject to the Freedom of Information Act 2005 or the Environmental Impact Regulations 2004 (The Information Commissioner is ultimately responsible for determining this). NCC as Accountable Body will be responsible for ensuring that all FOI and EIR requests relating to the work of NLTB are dealt with in accordance with the relevant legislation. Details of how such requests may be made shall be published on the NLTB webpage. DfT minimum requirement All LTBs must routinely publish meeting papers and minutes, scheme business cases and evaluation reports (or link to them on LAs own websites), funding decision letters with funding levels and conditions indicated, and regular programme updates on delivery and spend against budget.

NLTB proposal NLTB will routinely publish meeting papers and minutes, scheme business cases and evaluation reports (or link to them on NCC’s own website), funding decision letters with funding levels and conditions indicated, and regular programme updates on delivery and spend against budget (paras 29-31)

LTBs must have a defined process to provide public and stakeholders with meaningful input before decisions are made.

Para 29 describes how NLTB will publish a forward programme of meetings (including topics to be considered) together with how stakeholders can input before decisions are made. Promoters will be expected to undertake public consultation on individual schemes in accordance with normal practice.

LTBs must adhere to Local Government Transparency Code.

NLTB will adhere to Local Government Transparency Code (para 33). Key information to be published has been listed. Staff information is not included on the basis that NLTB will not employ any staff or pay allowances to members of the board, beyond anything they receive as members of NEP or local authority members.

All LTBs must publish a clear statement of the approach that will be followed by the LTB when making major investment decisions.

NLTB will publish a clear statement of the approach that will be followed by NLTB when making major investment decisions (para 34).

All LTBs must ensure that FOI and EIR requests are dealt with in accordance with the relevant legislation.

NCC as Accountable Body will ensure that FOI and EIR requests are dealt with in accordance with the relevant legislation. (para 35)

DfT recommended LTBs should have a dedicated web page.

NLTB proposal NLTB will have a dedicated web page on the NCC and/or NEP website with links to district and borough council websites. (para 28)

LTB should set out what they will do to make published material accessible to the general public to help inform debate (particularly technical material such as modelling and appraisal)

Scheme promoters will be expected to publish non-technical summaries of information of their scheme, including consultation literature and a non-technical summary of the Strategic Environmental Assessment. A non-technical summary of modelling and appraisal information shall be prepared as part of the independent assessment of business cases, where this has not already been prepared by the scheme promoter.

Complaints and whistleblowing 36. Complaints from stakeholders or members of the public in cases where it is alleged that NLTB is acting in breach of the law, failing to adhere to its framework or failing to safeguard public funds shall be dealt with in accordance with the NCC complaints procedure (see Annex 3). Similar complaints from internal whistleblowers shall be dealt with according to the NCC or NEP whistleblowing policies (see Annex 4 and Annex 5 respectively), as appropriate. 37. Where such issues cannot be resolved locally to the complainants’ satisfaction they may be escalated to DfT, who will consider appropriate action if it considers NLTB to be in breach of its framework. Ultimately this may include the withholding or recovery of funds or referral to the appropriate authorities, for example if a breach of law has occurred. PART 2: PRIORITISATION 38. This section deals with the basis upon which NLTB will prioritise and develop a programme of scheme to be delivered using developed major scheme funding, within the available funding envelope, as required initially by DfT for July 2013, and subsequently. The appraisal of individual scheme bids is dealt with in Part 3. 39. This distinction is important. The identification of a prioritised and affordable list of schemes to be delivered when they are still in the development stage will normally be conducted on the basis of a limited set of criteria. At an early stage of development most schemes are

unlikely to have a fully developed business case or a WebTAG appraisal completed. 40. Subsequently, NLTB will need to consider funding for each prioritised scheme when a business case is completed and it is brought forward for approval. 41. NLTB will be responsible for determining the most appropriate criteria to use for the shortlisting and prioritisation of a programme of schemes, and their relative weighting. The criteria (and in particular their relative weighting) are likely to change over time, as they will reflect the priorities of NLTB at any particular time. However, as a minimum, value for money, deliverability, environmental and social/distributional impacts should always be among the factors taken into consideration. The draft methodology is included at Annex 6. Consultation with all district/borough councils in Northamptonshire, the Highways Agency and Network Rail will be carried out before the criteria are considered by NLTB. 42. NEP and NCC have already developed a mature strategic investment programme to support the economic well-being of Northamptonshire through the Northamptonshire Arc. This programme, which covers a wide range of schemes – not just transport, has already been extensively consulted on, and reduced from a long-list to a short-list of priority schemes. 43. It is the intention of NEP and NCC to use this mature programme as the short-list from which a prioritised delivery programme of schemes for devolved local major transport scheme funding can be developed. NLTB will be responsible for setting (and publishing on the website) a prioritisation methodology and selection criteria that include value for money, deliverability, environmental and social and distributional impacts. 44. However, the deliverability and affordability of the schemes are likely to be major factors in determining which schemes should be prioritised for delivery in the initial timeframe. As many of the schemes are needed to support development, their necessity in terms of bringing forward development will also be an important consideration, together with funding contributions from other sources. 45. When the strategic investment programme and prioritised delivery programme are updated in future similar methodologies will be used. DfT minimum requirement Prioritisation (ie sifting long list of scheme down to a programme) must be evidence based, robust and based on clear objectives.

NLTB proposal Prioritisation of a programme of scheme delivery will start from the adopted Northamptonshire Arc investment programme, which has itself been subject to an evidence-

The prioritisation methodology must be published. The selection criteria must consider value for money, deliverability, environmental and social and distributional impacts.

DfT recommended Use of the Department’s Early Assessment and Sifting Tool (EAST)

based prioritisation (para 42). The prioritisation methodology will be published. Prioritisation methodology will be set by NLTB based on the principles set out in paras 43-44 which include value for money, deliverability, environmental and social and distributional impacts. Affordability and necessity to support development will also be important criteria. NLTB proposal NLTB will use a similar approach to EAST, but does not wish to be tied to a particular methodology at this stage.

Scheme eligibility 46. NLTB will consider funding only for schemes that have a defined scope. These need not be ‘traditional’ majors and may include packages of measures. However, the important thing is that the scope and composition of the scheme must be sufficiently well defined as to enable a meaningful appraisal to be conducted. Funding should not be passed on to scheme promoters for loosely defined or unspecified uses. It should be remembered, when considering ‘package’ schemes, that devolved major scheme funding can be used only for capital expenditure. 47. The minimum cost threshold for schemes to be considered for devolved major scheme funding through NLTB will be £1 million. While NLTB may wish to maximise the use of its funding for larger (eg greater than £5 million) schemes, the flexibility to fund schemes between £1 million and £5 million is likely to increase effectiveness of spending within a defined (but relatively small) funding envelope. However, because of the composition of the NLTB added value will be gained by making best use of existing resources and by securing funding from other sources if necessary. DfT minimum requirement Arrangements that ensure funding is considered only for specified major transport schemes and not passed on to Local Transport Authorities for unspecified or loosely define uses. DfT recommended A minimum cost threshold

NLTB proposal Para 46 confirms that NLTB should only fund schemes with a specified scope, which will be subject to a robust evaluation. NLTB proposal Minim cost threshold of £1million

appropriate to the area and budget of (para 47). the LTB. 48. NLTB will not place restrictions on the types of schemes that can be considered for funding, but will rely on their prioritisation methodology to deliver on their strategic objectives. 49. NLTB will require scheme promoters to provide or secure a local contribution or match funding from another source equivalent to at least 20% of the cost of the scheme. Higher levels of local contribution/match funding may be viewed advantageously in scheme prioritisation and funding approval decisions. DfT recommended LTB should not provide 100% funding for schemes.

NLTB proposal NLTB will provide no more than 80% of funding for schemes (para 49). Other sources of funding will include local authorities and private sector developers.

PART 3: PROGRAMME MANAGEMENT AND INVESTMENT DECISIONS Scheme Assessment and Approval 50. Promoters will be responsible for developing scheme proposals and producing business cases. NLTB will be responsible for assessing the business case and deciding whether or not to provide funding for the scheme, and on what conditions. 51. Good governance in funding decisions will depend, amongst other things, on there being a clear distinction between the scheme promoters and the decision makers, so that the LTB can be assured that it is receiving impartial advice on the merits of (potentially competing) business cases. 52. Every individual scheme approval decision made by NLTB must be supported by an audit of the scheme, carried out independently of the promoting organisation, and signed off by a named individual. Such assessments can be carried out either:  

By an authority other than the promoting organisation; By members of staff of the promoting organisation not involved in the preparation of the business case; or  By a consultancy firm or office other than those who have worked on the business case for the promoting organisation. Any organisation undertaking the assessment will be asked to nominate the key member(s) of staff who will undertake the assessment, and NLTB will not appoint the organisation to undertake the assessment unless it can be demonstrated that the member(s) of staff have sufficient experience in the preparation of major scheme

business cases (and ideally in reviewing such business cases) – and in particular the value for money and modelling sections of the business case. 53. Although NCC as Accountable Body may be the employing organisation for consultants undertaking independent assessments, where NCC is also scheme promoter, the brief for undertaking the assessment shall be issued by NEP on behalf of the NLTB, and the consultant shall report to NEP in the first instance. Because of the costs involved in assessing business cases, NLTB may charge the promoting organisation for the costs of reviewing the business case. Such costs shall be no more than the costs charged by the consultant or other staff for undertaking the work. DfT minimum requirement Every individual scheme approval decision made by the LTB, must be supported by an assessment of the scheme, carried out independently of the promoting authority and signed off by a named individual. (Where this is difficult to achieve, eg in single county LTBs, the LTB must provide detail of how any potential conflicts can be managed). DfT recommendation There must be a defined process for reviewing aspects of business case, indicating the level of resource/expertise to be employed.

NLTB proposal Arrangements for ensuring an independent assessment of scheme are set out in para 52. (This provides a basis for ensuring that it is carried out independently of those promoting the scheme following advice from DfT to clarify their thoughts for single county LTBs)

NLTB proposal There will be a defined scope for the independent assessment of the business case, which will be derived in due course once the NLTB is established.

54. To support this technical assessment, a further assessment of business cases will be undertaken by a Panel already in place for NEP assessments before being reported to NLTB. 55. In reviewing business cases, NLTB needs to:  Provide the necessary expectation of funding at an early stage to enable promoters to embark on statutory processes (the initial prioritisation in the LTB programme may be sufficient for this purpose).  Ensure that funding is not committed irreversibly before delivery of the scheme is guaranteed (legal powers in place) or costs are firmed up (eg contracted prices) 56. NLTB will therefore offer promoters a two-stage approval process. 57. Stage 1, which is not mandatory, provides scheme promoters with greater certainty than the initial prioritisation. It can be undertaken only

for schemes that have already been prioritised. The Strategic and Economic elements of the business case will be scrutinised most heavily at this stage, although details of the delivery case may not have been firmed up at this stage. 58. Stage 2, which is mandatory, provides a final approval once legal powers have been obtained, third party contributions are in place and costs have been contracted. If a Stage 1 approval has been obtained, the Strategic and Economic cases will only be reviewed if there have been major changes to the cost and scope, although a revised value for money statement must be produced taking into account any factors that are known to have changed. 59. When approval is given to a scheme at either Stage 1 or 2, NLTB will confirm in writing to the scheme promoter the exact nature of that approval, and:  

For a Stage 1 approval, the timescales on which a stage 2 submission is expected and what additional information and approvals are to be expected at Stage 2. For a Stage 2 approval, confirm the exact nature of NLTB’s funding agreement, the expected timescales for construction, the process for claims and progress reporting (see paras 81-83) and any other conditions attached to the funding. Funding of the scheme will be subject to the scheme promoter agreeing to these conditions.

DfT minimum requirement An approval regime that protects the financial interests of the LTB and enables it to fulfil its responsibility to deliver value for money.

NLTB proposal The approval regime set out in paras 56-59 protects the financial interests and enables it to deliver value for money by essentially replicating the current DfT approval process.

There needs to be a formal agreement between the LTB and the LA when funding is approved for a scheme setting out respective responsibilities, including reporting and audit requirements. DfT recommendation An approval regime based on the DfT system (PE, (CA), FA)

Para 59 sets out how there will be a formal agreement between NLTB and the scheme promoter to which funding will be subject. Paras 74, 81-82 and 86 give further detail on some of these conditions. NLTB proposal Approval stages set out in paras 5658 are effectively the same as PE and CA, but reflect the greater likelihood that lower-cost schemes might proceed straight to Stage 2.

60. NLTB needs to ensure delivery of an effective programme. Therefore, where there have been major scheme changes during the approval

process, approval at Stage 1 may not guarantee continued approval at Stage 2. The Transport Business Case 61. NLTB will ensure that all scheme proposals submitted by promoters follow the key principles of the Transport Business Case guidance available on DfT’s website. This ensures that the information and assessment of a scheme is set out according to five cases:  The strategic case  The economic case  The commercial case  The financial case  The management case 62. The Transport Business Case guidance sets out the minimum requirements for the development of a major scheme for submission to NLTB, which may require additional information that is not required by DfT guidance. NLTB will therefore ensure that individual promoters are clear about the specific information that they need to include in their scheme business cases, to enable funding decisions to be made, and will in turn be clear as to how they will assess the information and take it into account when making decisions. 63. At the core of every funding bid should be a clear statement of objectives and the specific outcomes that the scheme is intended to achieve. This will enable the public and stakeholders to reach a clear judgement on the success or otherwise of the scheme when it is evaluated (see paras 72-75). DfT minimum requirement Individual scheme business case must meet the requirements of the Department’s Transport Business Case guidance.

NLTB proposal Para 61-63 confirm that individual scheme business cases must meet the requirements of the Department’s Transport Business Case guidance. Business cases will be independently audited (para 52) to ensure this is the case.

64. The core of the economic case is the value for money assessment and this is discussed in more detail below. Value for money 65. NLTB will need to demonstrate how the proposed schemes will achieve value for money. While at the initial stage of prioritising a scheme delivery programme this may be a fairly broad-brush process, as business cases are submitted for approval, care will need to be taken to ensure that the business cases are robust and that schemes being approved represent value for money.

66. A key part of the business case is the modelling and appraisal, which to ensure a robust assessment must be developed in accordance with the guidance published in WebTAG at the time the business case is submitted to NLTB for approval. 67. Central case assessments must be based on forecasts which are consistent with the definitive version of NTEM (DfT’s planning dataset). This requirement doesn’t stop NLTB (and scheme promoters) considering alternative planning assumptions as sensitivity tests and considering the results of these in coming to a decision about whether to approve a scheme. This may be particularly appropriate where a scheme is being promoted to support a particular local development proposal. 68. The use of WebTAG, which will be mandatory for all schemes submitted to NLTB for devolved local major scheme funding, does not preclude additional assessments being employed to prioritise and assess the overall business case for a scheme. Neither does it dictate the weighting or importance that decision makers should attach to any aspect of the WebTAG assessment or any additional assessment. DfT minimum requirement The modelling and appraisal of schemes contained in business cases must be developed in accordance with the guidance published in WebTAG at the time the business case is submitted to the LTB for approval.

NLTB proposal Para 66 confirms that NLTB will require the modelling and appraisal of schemes in business cases to be developed in accordance with the guidance published in WebTAG at the time the business case is submitted for approval.

Central case assessments must be based on forecasts which are consistent with the definitive version of NTEM (DfT’s planning dataset). This requirement doesn’t stop LTBs considering alternative planning assumptions as sensitivity tests and considering the results of these in coming to a decision about whether to approve a scheme.

Para 67 confirms that central case assessments must be based on forecasts which are consistent with the definitive version of NTEM.

The appraisal and modelling will be scrutinised by the LTB and this will be undertaken independent of the promoting authority. The assurance framework will set out how this will be done.

An independent audit of appraisal and modelling will form part of the independent audit of the business case as set out in paras 52-53.

The assurance framework must set

Assessment of business cases will

out how the assessment and scrutiny be undertaken by a Panel already in of business cases will be quality place for NEP assessments before assured. being reported to NLTB. The existing scrutiny arrangements and scheme approval process in NCC will also be used to vet and approve capital projects in line with formal priorities and procedures already in place. NLTB will also take advice from DfT on how best this shall be done. DfT Recommended NLTB Proposal Set out mechanisms for providing We will consider what is necessary in early advice to scheme promoters on this regard when the prioritised whether the study approach is fit-for programme has been developed, –purpose, particularly in relation to and the nature of the initial business modelling and Social & Distributional cases which are likely to come impacts (which can both have forward is more apparent. However, significant lead times). a process of evaluation by an elected panel supported by consultants will sift out schemes not fit for purpose and provide feedback to promoters. DfT optional NLTB proposal A description of how the LTB will We will consider what is necessary in ensure that WebTAG will be applied this regard when the prioritised by scheme promoters in a programme has been developed, proportionate and robust way. and the nature of the initial business cases which are likely to come A description of the circumstances forward is more apparent. under which external scrutiny or audit of the appraisal or modelling of However, significant schemes would schemes would be commissioned, automatically be submitted to NCC eg controversial or particularly costly for formal scrutiny and technical schemes. audit. 69. Scheme promoters will need to produce a Value for Money statement (in line with published DfT WebTAG guidance) for all schemes put forward for approval summarising the overall economic case for the scheme. This will need to be prepared or updated at each approval stage. 70. Each Value for Money statement will be independently reviewed and signed off by a named individual on behalf of NLTB as part of the independent assessment of the business case; and the Value for Money statement on which NLTB bases its funding decision will be published alongside their funding decision letter. DfT minimum requirement A value for money statement for each scheme in line with published

NLTB proposal Para 69 confirms that NLTB will require scheme promoters to present

DfT WebTAG guidance must be presented for consideration to the LTB at each approval stage.

a Value for Money statement to NLTB at both Stage 1 and Stage 2 approval.

The VfM assessment must be signed off as true and accurate by a named officer with responsibility for Value for Money assessments within the LTB.

Para 70 confirms that the Value for Money statement will need to be reviewed and signed off by a named individual as part of the independent assessment of the business case. (It is understood that this is what is meant by o a ‘named officer’ in the guidance LTBs are not expected to directly employ staff). DfT recommended NLTB proposal Set out what processes will be put in We will adopt common practices place to ensure that all impacts of a already in place in NCC for scheme (monetised and noninfrastructure projects including monetised) will be assessed by Equalities Impact Assessments and officers on a consistent basis and are Environmental Assessments in based on reasonable assumptions. accordance with Statements of Required Practice. 71. NLTB will only approve schemes that offer “high” value for money, as assessed under DfT guidance. (It is understood that currently this represents schemes with a Benefit: Cost Ratio of 2:1 or higher.) Approval will not be given to schemes at either Stage 1 or Stage 2 that do not offer “high” value for money. DfT minimum requirement The LTB must either; only approve schemes that offer at least “high” value for money, as assessed under DfT guidance, or; set out the limited circumstances under which schemes offering lower than “high” value for money would be considered. Schemes must be assessed against the relevant thresholds at each approval stage.

NLTB proposal Para 71 confirms that NLTB will only approve scheme with “high” value for money.

Para 71 confirms that the value for money of schemes will be checked at each approval stage, and that approval will not be given for schemes that do not meet the threshold.

72. The funding of major schemes by NLTB represents a substantial investment. Evaluating the investment in this funding stream can deliver the following objectives:  Provide accountability for the investment;  Justify future spending allocations;  Enhance the operational effectiveness of existing schemes or future scheme extensions; and



Improve future initiatives based on learning

73. All schemes funded by NLTB must be monitored in line with DfT guidance on the evaluation of local major schemes. Before awarding final funding NLTB will require scheme promoters to submit an evaluation plan (including timescales) as part of their Stage 2 Business Case submission, which will be independently reviewed as part of the business case to ensure that it meets the requirements of DfT guidance. 74. It will be a requirement of funding approval that the scheme promoter implements the evaluation plan in accordance with the agreed timescales. Scheme promoters will be expected to fund this monitoring and evaluation as part of their scheme costs; including the costs of NLTB commissioning an independent review once it has been submitted to them. 75. Once the independent review has taken place, the evaluation and monitoring report and independent review will be published on the NLTB web page, or a link provided to them on the scheme promoters’ website. DfT minimum requirement The LTB must put in place mechanisms to ensure that schemes are monitored and evaluated in line with DfT guidance on the evaluation of local major schemes.

NLTB proposal Para 73-74 sets out that NLTB will make it a condition of funding that a monitoring and evaluation of schemes takes place in accordance with DfT guidance. NCC, as Accountable Body, will use its formal practices and procedures to ensure compliance.

The LTB will put in place processes to ensure that the results of evaluation and monitoring are published and to have these reviewed independently of the promoter and LTB.

Para 75 explains that NLTB will have the evaluation and monitoring reports independently reviewed, and both report and review published. The use of existing networks such as the Northamptonshire Leadership Group (including all districts, Police, NHS, etc) will be used for this purpose. NLTB Proposal Para 73-74 set out the requirement for an evaluation plan to be prepared and agreed as part of the Stage 2 business case approval. Evaluation and monitoring will be funded by scheme promoters.

DfT Recommended Set out how evaluation and monitoring requirements will be set for individual schemes including funding.

The LTB to ensure that an agreed evaluation plan is in place by the time the scheme is awarded final

As set out in para 73, NLTB will require an agreed evaluation plan to

funding approval. DfT optional Set out responsibility for undertaking evaluation, how minimum standards will be met and timescales for completion and decisions. Set out how they will share best practice obtained from evaluation and monitoring reports.

be in place before agreeing funding. NLTB proposal Para 74 confirms that the scheme promoter will be responsible for undertaking evaluation, that it will be independently audited and a timescale set in the funding approval letter. Evaluation and monitoring reports will be published on the NLTB website so the information is freely available (para 75).

76. NLTB has demonstrated separately (in other sections of the assurance framework) that it will be transparent and open when reporting the results of modelling and appraisal, and that it has plans in place to obtain the necessary resources to fulfil the requirement to secure Value for Money. External views on business cases 77. In order for NLTB to invite and consider any external comment and /or scrutiny of business cases prior to approval, NLTB will require business cases to be published on its web page (or on the scheme promoters website with a link from the NLTB web page) for a minimum period of 3 months before an approval decision is made. 78. Opinions expressed by the public and stakeholders will be made available to NLTB members when decisions are being taken, either directly or in a summary report form. DfT minimum requirement Business cases must be published (and publicised) before funding approval decision is made so that external comment is possible. Opinions expressed by the public and stakeholders must be available to LTB members when decisions are being taken.

NLTB proposal Para 77 confirms that business cases will be published for at least 3 months before an approval decision is made. There will also be a formal consultation in accordance with NCC procedures. Para 78 confirms that opinions expressed by the public and stakeholders will be made available to NLTB Members when decisions are made, either directly or in summary form. They will also be made available to the Northamptonshire Leadership Group and NCC Cabinet.

DfT Recommended The above period should be at least 3 months.

NLTB Proposal Para 77 confirms that business cases will be published for at least 3 months before an approval decision is made.

LTBs should make public how they have taken external comments into account.

Details of any changes made following public and stakeholder comments will be included in the information made available to NLTB members with relevant explanations.

Release of funding, cost control and approval conditions 79. NLTB scheme contributions will be capped, and the promoting organisation will be responsible for all cost increases beyond the agreed NLTB contribution. DfT Recommended A capped contribution from the LTB with the promoting LA responsible for all cost increases.

NLTB Proposal Para 79 confirms that NLTB scheme contributions will be capped, with the promoting organisation responsible for all cost increases beyond the agreed contribution.

80. NLTB will need to assure itself that promoters can deliver their schemes and fund any local contribution specified. In the case of schemes promoted by local authorities, their s151 officer will be required to write to NLTB, as part of the Stage 2 business case submission, confirming that this is the case. For schemes promoted by other agencies, a director of that agency will be expected to make a similar written confirmation. DfT Recommended Promoting LAs s151 officer must sign off as per current system.

NLTB Proposal Para 80 confirms that for scheme promoted by a local authority their s151 officer must sign off as per current system. For other agencies, a director of that agency will be expected to make a similar written confirmation. All local authority sign-offs will be in accordance with standard local authority procedures and practices.

81. Cash will be released to individual scheme promoters quarterly in arrears upon submission of a completed claim form in a format specified by NLTB at the time of funding approval. The claim form shall be supported by appropriate evidence (such as invoices or

extracts from the promoter’s financial systems) demonstrating that the amount claimed has been expended on the project being funded. 82. NLTB will require all scheme promoters in receipt of NLTB funding to provide regular financial and delivery information to NLTB alongside their quarterly funding claims. The format for these reports will be specified in the funding approval letter. 83. To ensure appropriate transparency, and that NCC (as Accountable Body) is not in a more favourable position than other scheme promoters when receiving funding, all claim forms will be submitted in the first instance to a named officer of NEP, who will verify the claim form on behalf of NLTB before passing it to NCC for payment. 84. Progress reports will similarly be submitted in the first instance to a named officer of NEP, who will be responsible for preparing reports advising the NEP Board of reports summarising financial and scheme delivery situation. (See also paragraph 88). 85. As part of its local audit arrangements, NLTB will need to be satisfied that funding is being spent solely for its intended purpose, ie on the specified schemes approved by NLTB; that scheme promoters maintain robust records and audit trails, and have mechanism in place to undertake fair and effective procurement and to safeguard funds against error, fraud or bribery. 86. It will be a condition of funding approval that where any incorrect use of funds, misuse of funds or fruitless payment is made by the scheme promoters, NLTB will have the right to recover such funds. Any such instances will be included in the annual audit report to DfT (see paras 16-17) together with an explanation of any remedial action taken. DfT minimum requirement There must be a mechanism to ensure funding can only be spent on the specified scheme and only on capital and that there are arrangements in place to avoid payment in advance of need so that funds are not tied up in the event of subsequent delay in a scheme’s implementation.

NLTB proposal This mechanism is set out in paras 81-86. Cash will only be released in arrears, and on the basis of a verified claim performed by NEP, independently of any scheme promoter. NCC, as Accountable Body, will use its exiting robust practices and procedures to ensure this.

Adequate mechanisms are in place for local audit, detection of misuse of funds and recovery of funds by the LTB.

The local audit arrangements (see also paras 16-17) will be put in place to detect any misuse of funds, and actioned by the Accountable Body. Para 86 confirms that in the event of misuse of funds NLTB will have a

DfT Recommended Funding is only released when construction is ready to begin and only in quarterly instalments (which can be suspended if spend is not keeping pace). DfT optional Payment for actual in arrears as per current DfT system.

right to recover. NLTB Proposal Para 81 confirms that payment will be quarterly in arrears.

NLTB proposal Para 81 conforms that payment will be quarterly in arrears.

Programme and Risk Management 87. NLTB need to minimise programme risk in its working arrangements and on an ongoing basis. All cost over-runs will be the responsibility of the promoting organisation (see para 79). The impact of project delays will be minimised by ensuring funding is not released until after it has been spent (see para 81). 88. Where quarterly claim reports demonstrate significant (risk of) project slippage, the named official at NEP in receipt of the reports shall report such slippage to the next NLTB meeting, or where this is not expected within a period of one month, report the slippage directly to the NLTB Chair. DfT minimum requirement Statement or policy on management of programme risk

NLTB proposal Paras 87-88 confirm the process for management of programme risk, and that a named officer of NEP will be responsible for notifying the NLTB Chair of issues between meetings. Regular assessment reports will be a standing agenda item of the NLTB in line with standard good practice and procedure.

ANNEX 1 – NEP ARTICLES OF ASSOCIATION

ANNEX 2 – CURRENT COMPOSITION OF NEP BOARD

ANNEX 3 – NCC COMPLAINTS PROCEDURE

ANNEX 4 – NCC WHISTLEBOWING PROCEDURE

ANNEX 5 – NEP WHISTLEBLOWING PROCEDURE

ANNEX 6 – DRAFT PRIORITISATION METHODOLOGY In accordance with requirements of the NLTB assurance framework and DfT guidance, the decision on the Prioritisation Methodology is for the NLTB. This draft, plus any comments received from DfT by that date, will therefore be submitted to NLTB at its first meeting on 17 April, in order that the prioritisation can be undertaken and reported to the second meeting on 19 June before submission to DfT at the end of July. 1. The initial candidate schemes for prioritisation will be drawn from the Northamptonshire Arc, NEP and NCC’s over-arching spatial plan for the county, which includes plans for Highway Agency roads and the rail network. 2. Candidate schemes for the 2015-9 devolved local major transport scheme funding will be identified from within this long list. Criteria for candidate schemes shall include:   

That it is a capital scheme (at least to the extent that local major transport scheme funding is sought) That at least 20% of funding will be sought from other sources. That it is deliverable before March 2019, or that there is sufficient funding from other sources for any costs after March 2019.

3. The prioritisation methodology shall be based on a number of policy tests and a number of programming tests. The policy tests reflect the strategic objectives of the Northamptonshire Arc (plus environmental issues) and the programming tests reflect wider factors including value for money. The methodology is based on that previously used for the East Midlands RFA prioritisation process. 4. Each test shall be allocated a weighting and the sum of the weighted scores shall equal the scheme’s score for prioritisation purposes. The proposed tests and weightings are detailed overleaf. 5. For each candidate scheme, promoters (including the Highways Agency or Rail industry partners where appropriate) will be asked to complete a pro-forma of the information required. Completed proformas will be reviewed and scored by an officer panel which has been selected so it will be able to bring both local and expert knowledge to both the scoring of the schemes and critically assess the statements made by scheme promoters. The panel will comprise:  

A representative of Northamptonshire Enterprise Partnership – able to bring expertise to the economic development scoring of schemes A representative of North Northamptonshire Joint Planning Unit – able to bring expertise to the development-related scoring of schemes in their part of the county.

  

A representative of West Northamptonshire Joint Planning Unit – able to bring expertise to the development-related scoring of schemes in their part of the county. A representative of Northamptonshire County Council, involved in modelling of transport impacts across the county and able to bring an expert knowledge of the transport impacts of schemes A representative of Northamptonshire County Council able to bring an expert knowledge of the deliverability of schemes.

6. The first output from the scoring panel will therefore be a completed matrix providing scores for every scheme subject to the prioritisation process. This work will be reported to the NLTB. 7. The second task will be to match the schemes in the scoring matrix to the indicative level of funding available for the period 2015-9. As not only the total funding required for the scored schemes, but also the funding required for some individual schemes, is likely to significantly exceed the level of available funding, there will be a considerable challenge in matching the scored schemes to the available funding. 8. The scoring panel will therefore be asked to make a recommendation to NLTB on which schemes it believes should be prioritised within the available funding envelope. In line with DfT guidance a prioritised programme for each of three funding levels will be developed:   

Funding one-third above the indicative level (ie £23.2m) Funding at the indicative level (ie £17.4m) Funding one-third below the indicative level (ie £11.6m)

9. To guide panel in this task, the following guidance is offered by NLTB: 





A presumption in favour of requests for funding which allow schemes to be delivered within the 2015-9 period, compared to schemes of broadly similar scoring which would not be delivered until after 2019. A presumption in favour of schemes with a high level of matchfunding, but which are otherwise unlikely to be fully funded within the 2015-9 period, so as to maximise the benefits which the devolved local major transport scheme funding can bring. A presumption against funding schemes where there is a high likelihood that they could be delivered before 2019 without devolved LMTS funding.

10. The scoring panel will make its recommendations to NLTB as to which schemes it recommends should be funded within each funding level, including a clear rationale for the decisions made. This information will be submitted along with the full scoring matrix. 11. It will be for NLTB, having regard to the wider viewpoints of the private sector, elected members and other interests represented within its

membership to decide whether to accept the recommendation or select an alternative prioritised programme for submission to DfT. The rationale for any alternative decision taken should be made clear. Requirements of guidance – Proposed methodology section 41 How will an initial list of candidate An initial list of schemes will be drawn schemes be identified? from the Northamptonshire Arc (para 1). What methodology will be used to The methodology is described in generate a prioritised list of projects? paras 3-4, and is based on the process used for East Midlands RFA. How will the LTB ensure the full range of options is considered for addressing problems or meeting strategic objectives? How will evidence be used to inform Promoters will be asked to complete decisions and how will the LTB a proforma containing the information ensure rigour and data quality? to be used. Proformas will be scored and reviewed by an expert panel able to critically assess statements made by promoters. (Para 5). To what extent will decisions be Proformas will be scored and dependent on data supplied by reviewed by an expert panel able to scheme promoters and how will that critically assess statements made by be verified? promoters. (Para 5). How will likely value for money be In addition to a criterion about value assessed, given that most schemes for money, policy tests include issues will not have a completed WebTAG such as current congestion and assessment at this stage? development traffic which would be expected to generate a high value for money score when a WebTAG assessment is undertaken. How will the selection criteria be The proposed criteria are attached. agreed, and matched to strategic They match the strategic objectives of objectives? the Northamptonshire Arc, and will be presented to the first meeting of NLTB in April for approval. How will the LTB ensure criteria are The criteria will be agreed by NLTB in not retro-fitted? advance of the scoring panel being established. How does the LTB intend to balance As the programming tests are given a deliverability against other criteria? high weighting compared to the policy tests, a much higher score would be obtained by a more deliverable scheme.

Notes on proposed weightings Policy tests The policy tests reflect the fact that connectivity, economy and growth are currently seen as the key priorities to address in Northamptonshire, and therefore these areas are given the higher weightings. Strategic Fit

10% one question

Connectivity

30% divided between two questions

Modal Choice

10% divided between three questions

Economy

20% one question

Growth

20% one question

Environment

10% divided between three questions

Total

100%

Programming tests Deliverability, Acceptability and Funding/vfm are seen as being of equal importance in programming schemes, and therefore each category is given an equal weighting. Deliverability

33.3% divided between four questions

Acceptability

33.3% divided between four questions

Funding and vfm

33.3% divided between four questions

ANNEX 7 – LETTERS OF SUPPORT a) Northamptonshire Enterprise Partnership b) South East Midlands Local Enterprise Partnership c) Northamptonshire County Council – Cabinet Decision Note (extract)