TRANSPORT FOR LANCASHIRE ASSURANCE FRAMEWORK Part 1: Purpose, Structure and Operating Principles Name Transport for Lancashire Geography The geographical area covered by Transport for Lancashire will be coterminous with the boundaries of the three local transport authorities (Lancashire County Council, Blackpool Borough Council and Blackburn with Darwen Borough Council) and the Lancashire Enterprise Partnership. Membership Transport for Lancashire will be a dedicated committee of the Lancashire Enterprise Partnership. This committee will have full, delegated authority to discharge all Local Transport Body functions, and the Lancashire Enterprise Partnership constitution will be amended to reflect this provision. Full (voting) members of Transport for Lancashire comprise: • • • •

Lancashire County Council (Leader or nominee) Blackburn with Darwen Borough Council (Leader or nominee) Blackpool Borough Council (Leader or nominee) Chair and Vice Chair of the Lancashire Enterprise Partnership (or nominees)

Participating observers (non-voting): • • •

Department for Transport Highways Agency Network Rail

Given Lancashire County Council's status as the largest local transport authority, the Leader of Lancashire County Council (or their nominee) shall act as Chair of the Committee. The Chair will not have a casting vote. The structure of the membership ensures that elected Members cannot be outvoted and avoids the risk of any perceived bias towards an individual member's host organisation. As and when necessary, Transport for Lancashire will seek evidence from other organisations, including district councils within Lancashire, representatives of neighbouring local authorities, integrated transport authorities and local enterprise partnerships, transport operators including airports and ports, the business and community sectors and NGOs. Transport for Lancashire will review its membership annually to reflect any changes in national or local policy circumstances and/or requirements, including allowing for Transport for Lancashire Draft Assurance Framework v5.2 September 2013

expansion if necessary. Transport for Lancashire may invite the Leader (or nominee) of a District Council to attend relevant meetings as a participating observer where that authority is contributing funding through the Community Infrastructure Levy to a major transport scheme prioritised by Transport for Lancashire. Conflicts of Interest As the Accountable Body, Lancashire County Council will ensure that Transport for Lancashire manages conflicts of interest in accordance with existing County Council protocols and codes of conduct that apply to local councillors. The terms of reference of Transport for Lancashire require it to act in the interests of the whole of its geographical area and not according to the interests of individual member organisations. There will also be arrangements in place to ensure that there is adequate separation between scheme promoters and Transport for Lancashire decision-making processes. Transport for Lancashire will maintain and enable access to a register of its members' interests, which will be available to the public via the Transport for Lancashire website. The register will include any interests outside members' respective local authority area but within the geographical boundary of Transport for Lancashire. Gifts and Hospitality Members and officers of the three constituent local authorities are already covered by standards and codes of conduct relating to the acceptance and declaration of gifts and hospitality. Transport for Lancashire will adopt the code of conduct for Lancashire County Council as Transport for Lancashire's Accountable Body. Status and Role of Accountable Body As the Accountable Body for the Lancashire Enterprise Partnership, Lancashire County Council will act as Accountable Body for Transport for Lancashire. The Accountable Body will ensure that Transport for Lancashire fulfils the requirements of this Assurance Framework as approved by the Department for Transport and maintains accountability through effective governance and public scrutiny. It will also provide the administrative, financial and legal support necessary to enable Transport for Lancashire to carry out its functions in the most effective and efficient way. The County Council as Accountable Body will also ensure that: • • • • •

the decisions and activities of Transport for Lancashire conform with legal requirements with regard to equalities, environmental and EU issues; the funds are used appropriately through its Section 151 Officer; an official record of Transport for Lancashire proceedings and a library of all Transport for Lancashire documents are maintained; it takes responsibility for the decisions of Transport for Lancashire in approving schemes (for example, if subjected to legal challenge); and this assurance framework is adhered to.

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

The Accountable Body will hold the devolved local major scheme funding and make payments to partner delivery agencies in accordance with the decisions of Transport for Lancashire. It will ensure that these funds remain separate and identifiable from the Accountable Body's own funds, and provide financial statements to Transport for Lancashire as required. Transport for Lancashire will employ no staff, hold no assets, nor enter into any contractual arrangements. All delivery and operational matters will continue to rest with the respective local transport authorities. Local Audit and Scrutiny As the Accountable Body, Lancashire County Council will put in place arrangements for independent local audits carried out in line with DfT requirements as set out in the Assurance Framework guidance and which will be submitted to the DfT. Review Transport for Lancashire will review and update this Assurance Framework on a periodic basis to reflect any changes to national or local circumstances and/or requirements. Strategic Objectives and Purpose Transport for Lancashire will have the prime responsibility of agreeing a strategic framework and priorities for local major transport scheme investment within its geographical area. In addition, Transport for Lancashire will: • • • • • •

identify a prioritised list of major transport schemes for funding within the available budget; make decisions on individual scheme approvals and investment decision making in line with the approvals process set out in Part 3 of this framework; scrutinise individual scheme business cases; ensure value for money is achieved; monitor progress of scheme delivery and spend and release funding as appropriate; and actively manage the devolved budget and programme including with regard to changed circumstances (cost changes, scheme alterations and changes to delivery timescales).

Support and Administration Arrangements Establishment of Transport for Lancashire within the Lancashire Enterprise Partnership framework will enable use of the partnership's dedicated resources to support core activities and co-funding of costs associated with resourcing independent scrutiny of major scheme business cases. When and where appropriate, Transport for Lancashire will commission independent consultants to provide specialist support. As a minimum, this will include scheme

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

prioritisation together with independent and impartial scrutiny of emerging business cases and the subsequent provision of advice to Transport for Lancashire. On behalf of the Accountable Body, the Director of Economic Development and the Executive Director for the Environment at Lancashire County Council will ensure that Transport for Lancashire receives the technical support and professional advice necessary for it to carry out its functions. An Advisory Group chaired by the Executive Director for the Environment at Lancashire County Council and comprising senior officers from the three local transport authorities and the Board Director for Strategic Transport from the Lancashire Enterprise Partnership will be established. Lancashire County Council guarantees to provide administrative support to Transport for Lancashire. Working Arrangements and Meeting Frequency Transport for Lancashire will meet on a quarterly basis or more frequently if circumstances dictate. Meetings will be cancelled if there are no substantive items for discussion and/or decision. The first meeting will take place in late May 2013 to formally adopt this Assurance Framework and to initiate the work necessary to deliver an agreed investment programme for 2015/16 onward to the Department for Transport by the end of July 2013. A second meeting will be held in early July to confirm the investment programme. Subsequent meetings will cover programme management, funding decisions and addressing any issues such as cost increases, scheme slippage etc. Meetings of Transport for Lancashire will be open to the public and formally advertised by the Accountable Body a minimum of 7 days in advance. In exceptional circumstances, meetings may be advertised at less than 7 days notice provided that unanimous consent is received from the Committee's members. All meetings will take place at County Hall in Preston. The quorum for meetings shall be at least 2 Local Authority Members (or their nominees) and at least one Private Sector member (or their nominee(s)). Transparency and Local Engagement In line with the formal requirements and expectations placed on local authorities to provide transparency and openness (as set out in the Local Government Transparency Code), the public will have access to all necessary Transport for Lancashire business. Transport for Lancashire will have a dedicated web page hosted by the Lancashire Enterprise Partnership. This will be used to publish agendas, minutes, scheme business cases, evaluation and appraisal reports and supporting technical material except where the information is exempt from disclosure in accordance with the Freedom of Information Act 2000, funding decision letters setting out funding levels and any conditions, and regular programme updates on delivery and spend against budget.

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

All information will be made available on request in other formats in line with existing Lancashire County Council policies and practices. Lancashire County Council as the Accountable Body will hold all formal Transport for Lancashire records and will be the focal point for statutory information requests, including ensuring that requests under the Freedom of Information Act 2000 and the Environmental Information Regulations 2004 are dealt with in accordance with the relevant legislation. Transport for Lancashire will ensure that key stakeholders and the public have the opportunity to contribute to and comment on Local Transport Body business. The degree of involvement will depend on the specific activity, for example, scheme prioritisation and programme development, and could comprise formal consultation, public engagement, representative working groups, ongoing market research and questionnaires. The list of statutory and suggested consultees set out in current Local Transport Plan guidance will form the basis of a Transport for Lancashire database for future engagement activities. This is attached as Appendix A. Transport for Lancashire will adhere to the existing procedures of Lancashire County Council in its role as Accountable Body with regard to responding to complaints from stakeholders or members of the public and internal whistleblowers where there are allegations that Transport for Lancashire is acting in breach of the law or failing to safeguard public funds.

Part 2: Prioritisation A strategic framework and methodology will be developed for scheme prioritisation, reflecting current best practice including the Department for Transport's Early Assessment and Sifting Tool (EAST) and the approach used for the North West's Regional Funding Advice major transport scheme prioritisation. The framework will reflect local circumstances and the strategic problems and challenges faced within the Transport for Lancashire geographical area. Transport for Lancashire will appoint independent consultants to apply the strategic framework and prioritisation methodology to eligible schemes. The strategic framework will be evidence-based and reflect the economic priorities of the Lancashire Enterprise Partnership and the wider policy objectives of Lancashire County Council, Blackburn with Darwen Borough Council and Blackpool Borough Council, including the goals and priorities of the three local transport plans. The prioritisation methodology will comprise a two stage assessment process: • •

Stage 1:- Policy Fit; comprising a series of criteria reflecting economic, environmental and social/distributional objectives; and Stage 2:- Value for Money and Deliverability criteria.

The value for money assessment will consider the benefit to cost ratio where available and a qualitative assessment of other factors – important where a BCR is not available. The deliverability criteria will reflect both the ability and commitment of

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

the scheme promoter to develop the scheme, its affordability within Transport for Lancashire's programme and whether the scheme promoter has secured any necessary third party contributions. Schemes that have little prospect of being ready for construction during this period will be relegated for consideration in future funding rounds. A six point scoring system will be used to score schemes, and the possibility of applying weightings to certain criteria will be explored, for example, within the policy criteria and between the policy and value for money / deliverability criteria. A series of sensitivity checks will be utilised to test for consistency in the scoring, thereby ensuring that the process is robust. Results will be open to external scrutiny and challenge. The strategic framework and prioritisation methodology are attached as Appendices B and C respectively. Transport for Lancashire will require the consultant appointed to undertake the scoring to produce a comprehensive report setting out how they have reached their conclusions and their recommendations in terms of the proposed transport investment programme. Major Scheme Eligibility Criteria To maintain the integrity of the local major transport schemes programme, a minimum scheme cost threshold of £2m will apply. Funding will only contribute towards the capital cost of a scheme, including construction costs, land acquisition costs and Part 1 Claims under the Land and Compensation Act 1973. Transport for Lancashire will not fund scheme development and preparation costs and any post scheme monitoring and evaluation. Transport for Lancashire will only consider funding clearly defined schemes to enable effective prioritisation and subsequent appraisal to be undertaken. Such schemes could include packages of measures aimed at solving a specific problem/issue that when combined align with the strategic framework for local major transport scheme investment, but subject to the funding only being available for capital expenditure. Transport for Lancashire will consider funding exceptional structural maintenance schemes including bridges, tunnels, retaining walls and culverts with a minimum cost threshold of £2m. Decisions will be based on the importance of the structure to the local economy and the adverse effects failure to maintain would have on the local economy. Local highway authorities will need to provide supporting information including the importance of the route, existing or likelihood of imminent weight restrictions, existing or potential diversionary routes and details of the work that they will need to undertake if restrictions are not to be imposed. Local highway authorities will also need to demonstrate why a scheme is not deliverable from other funding sources. Transport for Lancashire will consider schemes on the networks of the Highways Agency and Network Rail, including in adjacent Local Transport Body areas, where it

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

can be demonstrated that such schemes contribute towards the strategic framework and that funding is unlikely to be available through standard Highways Agency and Network Rail programmes. Where such schemes are identified, Transport for Lancashire will instruct the consultants appointed to undertake the scheme prioritisation work to hold early discussions with the Highways Agency and Network Rail, and where appropriate, adjacent Local Transport Bodies, to enable their views to be taken into account. Where any rail schemes affect train services, Transport for Lancashire will also consult the relevant Train Operating Company and DfT rail. Transport for Lancashire will require scheme promoters to provide an absolute minimum 10% contribution towards total scheme construction cost and 100% of any increase in cost once Transport for Lancashire has granted a scheme Provisional Approval. Local transport authorities will therefore need to explore all potential sources of funding, including European, developer / private sector and third party, in line with Department for Transport expectations. The scheme promoter's Section 151 officer must underwrite the promoter's ability to fund the local contribution and any subsequent cost increases post the granting of Provisional Approval. Initial List of Candidate Schemes Transport for Lancashire will invite the three local transport authorities to identify and submit appropriate schemes for consideration. Independent consultants will then assess candidate schemes against the strategic framework. Transport for Lancashire will expect local transport authorities to have considered a wide range of potential options across all modes of transport in arriving at a potential solution, and to demonstrate how a scheme contributes towards the achievement of the wider strategic policy objectives of the authority and how it links with economic development, regeneration and spatial planning priorities. In summary, to be eligible for consideration by Transport for Lancashire, a proposal must: • • • • • • • •

have a defined scope that can be subject to meaningful appraisal; have a minimum capital cost of £2m; be supported by a minimum 10% local contribution towards scheme construction cost; be consistent with Transport for Lancashire's strategic framework; support the promoting authority's strategic policy objectives; link to economic development, regeneration and spatial planning priorities have clearly defined outcomes; and be deliverable by Financial Year 2020/21.

For each candidate scheme, Transport for Lancashire will require the promoting authority to complete a proforma to facilitate the collation of available information in a consistent way. Of particular interest will be a clear articulation of the problems and challenges the scheme will address and the strategic case for the proposed solution. The promoting authority will need to submit a convincing narrative describing scheme objectives and the specific outcomes sought. A standardised approach will

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

be developed to ensure consistent treatment of variables such as construction inflation, the application of optimism bias and allowance for risk in the derivation of outturn costs. Once submitted, the independent consultants commissioned to undertake the prioritisation will review the proforma and if necessary meet with the promoting authority to establish a full understanding of the scheme and ascertain whether any gaps in the information supplied can be filled before it is assessed for funding. To ensure consistency, particularly with regard to variable such as construction inflation, optimism bias uplift and allowance of risk in the derivation of outturn costs, a standard proforma will be developed. It may be the case that before assessment takes place, information submitted by scheme promoters requires manipulation to ensure consistency. The consultants may also seek to review any available scheme assessment and appraisal documents in confirming eligibility. In addition to agreeing an investment programme, Transport for Lancashire will establish a development pool of schemes for inclusion in the programme as and when resources permit. Transport for Lancashire will review the development pool on an annual basis to take account of changed circumstances and any potential new schemes that emerge for consideration.

Part 3: Programme Management and Investment Decisions Scheme Assessment and Approval The officer with overall responsibility for business case scrutiny and for making recommendations to Transport for Lancashire is Jo Turton, Executive Director for the Environment at Lancashire County Council. This officer will have delegated authority to procure and appoint external consultants to assist with Transport for Lancashire business, including appraisal of Major Scheme Business Cases submitted to the Local Transport Body. In order to secure the required expertise for business case scrutiny without Transport for Lancashire having to develop this capability and capacity in-house at considerable cost, Transport for Lancashire will establish a consultant panel with a minimum of two independent specialist consultants appointed to a Business Case Scrutiny framework for a set period of three years. This should ensure separation between scheme promoters and their own framework consultants and the appraisal team and decision makers. As Accountable Body, Lancashire County Council will ensure that officers from the three local transport authorities with appropriate technical experience of this type of work oversee the selection process. The Lancashire Enterprise Partnership Board Director for Strategic Transport will have an advisory role in supporting scheme assessment and approval arrangements. Consultants appointed to the Business Case Scrutiny framework will provide Transport for Lancashire with a formal report on each submitted local major transport

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

scheme business case specifying the outcome of their assessment against a standard set of key criteria. Transport for Lancashire will procure the framework through the normal public sector competitive procurement route. To guarantee quality assurance, consultants shortlisted for this work will need to have demonstrated significant previous experience in this field, for example, the successful preparation of major scheme business cases, and be fully conversant with Department for Transport appraisal and assessment processes such as WebTAG. Transport for Lancashire will apply a proportionate approach to the development of major scheme business cases. To ensure clarity, Transport for Lancashire will engage consultants from the Business Case Scrutiny framework to advise scheme promoters in relation to the proportional appraisal requirements for any particular scheme. For example, the major scheme business case for a £30m scheme will require significantly more detail than that for a £2m scheme. Transport for Lancashire will adopt a four stage approval process based on modified current practice. Schemes on the networks of either the Highways Agency or Network Rail may undergo a different approval process. Programme Entry: indicates Transport for Lancashire's intention to provide funding to a scheme following the prioritisation process but subject to acceptance of a full major scheme business case that demonstrates high value for money. Programme Entry is not an absolute commitment that Transport for Lancashire will provide funding, but is intended to provide sufficient assurance for the promoting authority to embark on the development of a full major scheme business case. Provisional Approval: indicates Transport for Lancashire's acceptance of the major scheme business case. It is intended to provide the expectation of funding necessary for the promoting authority to apply for any statutory powers that may be required such as Transport and Works Act powers, highways orders, planning consents, compulsory purchase orders etc. Transport for Lancashire will only grant Provisional Approval on the basis that there will be no material changes to the scheme's scope, cost, design, expected benefits and value for money. Conditional Approval: indicates a firm commitment to funding once the necessary powers are in place but before procurement has taken place. Transport for Lancashire will grant Conditional Approval on the basis that there is no change to the expected scheme costs, design or risks after procurement. Full Approval: occurs once procurement has taken place and a preferred bidder and final price obtained and once granted, enables the scheme promoter to commence construction and draw down grant funds. Transport for Lancashire will not accept major scheme business case submissions that fail to meet the Department for Transport's Business case guidance. Scheme promoters must ensure that the modelling and appraisal of schemes complies with the WebTAG at the time they submit the major scheme business case.

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

Value for Money Transport for Lancashire will only approve schemes demonstrating high value for money, with a benefit to cost ratio (BCR) of greater than 2. Only in exceptional cases will Transport for Lancashire consider schemes with a BCR of less than 2. In such circumstances, the scheme promoter would need demonstrate significant additional benefits that are important in relation to stated strategic objectives, for example, schemes necessary to facilitate significant land development for employment or housing, and guarantee a minimum 30% local contribution. Transport for Lancashire will produce a Value for Money statement in line with published DfT WebTAG guidance at each approval stage. The officer with overall responsibility for business case scrutiny and for making recommendations to Transport for Lancashire will sign off Value for Money assessments as true and accurate. Transport for Lancashire acknowledges that at the prioritisation stage, candidate schemes are likely to be at different stages of development and a BCR may not have been calculated. Where a scheme subsequently fails to demonstrate high value for money, Transport for Lancashire reserves the right to remove that scheme from the programme. The Transport Business Case Transport for Lancashire will require major scheme business cases to adhere to the key principles of the Department for Transport's Transport Business Case guidance (2012) and be fully compliant with the approach to appraisal and analysis set out in WebTAG, the Department's web-based guidance on the conduct of transport studies. This will ensure that scheme assessment follows current best practice focused on the following: • • • • •

The strategic case; The economic case; The commercial case; The financial case; and The management case

Each major scheme business case will need to include a clear statement of scheme objectives and the specific outcomes it is intended to deliver. Independent scrutiny of major scheme business cases at PA, CA and FA will require a statement confirming that WebTAG has been followed. An Appraisal Summary Table (AST) will need to accompany submissions and demonstrate that the scheme offers high value for money. External Views on Business Cases Transport for Lancashire will publish major scheme business cases on its website and invite comments from stakeholders and the public. It will expect scheme promoters to do likewise and publicise through the authority's normal

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

communications channels. A minimum period of three months will be available in which to comment. All comments submitted will be available to Transport for Lancashire members prior to consideration of an individual business case. Transport for Lancashire will produce and publish a consultation report setting out its response to individual comments. Release of Funding, Cost Control and Approval Conditions Once Transport for Lancashire has granted a scheme Provisional Approval, a formal contract between Transport for Lancashire and the local transport authority promoting the scheme will be signed. This will set out the respective responsibilities for each organisation, their commitment, timescales for delivery, reporting and monitoring requirements and any sanctions available to Transport for Lancashire in the event of non-delivery. Transport for Lancashire will release funding for an approved scheme quarterly in arrears. Claims must be accompanied by a signed statement of a responsible officer to confirm that costs have been incurred and that delivery is progressing in accordance with the formal contract established between Transport for Lancashire and the local authority promoting the scheme. Transport for Lancashire will only release funding if it is satisfied that the funds are being spent on eligible capital costs for the approved scheme. Where the scheme promoter is also the Accountable Body, a mechanism will be established through which Transport for Lancashire gives approval to Lancashire County Council to draw down funding. This will ensure that the County Council's status as Accountable Body gives it no more favourable a position than the other two local transport authorities within Transport for Lancashire's geographical area. Transport for Lancashire will establish a local audit process to satisfy itself that funding is being spent solely for the purpose for which Transport for Lancashire gave approval. Prior to Final Approval, Transport for Lancashire will require scheme promoters to put in place a process to maintain robust records and audit trails. Scheme promoters will also need to demonstrate that they have mechanisms in place to undertake fair and effective procurement of scheme construction, and to safeguard funds against fraud, bribery or error. As Accountable Body, Lancashire County Council will ensure that the devolved funding is ringfenced, treated as a restricted fund and only used for Transport for Lancashire purposes. It will be monitored by relevant County Council officers in conjunction with finance personnel as part of ongoing reviews of capital schemes, but will not be reported as part of the County Council's capital programme. The County Council will account for the devolved funding and disclose details at year-end as per the IFRS (International Financial Reporting) requirements. Transport for Lancashire will require a council incurring expenditure on an approved scheme to keep all invoices and receipts and accounts and any other relevant documents relating to the expenditure for a period of at least six years following receipt of any funding to which they relate. Transport for Lancashire shall have the

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

right to review the accounts and records that relate to the expenditure of the funding and shall have the right to take copies of such accounts and records. Transport for Lancashire will require a scheme promoter incurring expenditure on an approved scheme to permit any person authorised by Transport for Lancashire such reasonable access to its employees, agents, premises, facilities and records, for the purpose of discussing, monitoring and evaluating the recipient's fulfilment of the conditions of this Assurance Framework. Transport for Lancashire will require a council incurring expenditure on an approved scheme to provide Transport for Lancashire with a final report on completion of a scheme to confirm that the project has been successfully and properly completed. Should a council incurring expenditure on an approved Transport for Lancashire scheme be subject to financial or other difficulties capable of having a material impact on the effective delivery of a scheme, or compliance with the formal contract established between Transport for Lancashire and the local authority promoting the scheme on granting of Provisional Approval, Transport for Lancashire requires that the local authority notify it as soon as possible so that Transport for Lancashire will have the opportunity to provide assistance in resolving the problem or to take action to protect the devolved funding. Any payments made by Lancashire County Council to other authorities as part of a claim shall be repaid if any money is transferred incorrectly. This includes (without limitation) situations where either an incorrect sum of money has been paid or where monies have been paid in error before the recipient has complied with all conditions attached to the funding. Transport for Lancashire requires that each local authority within its geographical area shall adhere to its relevant Finance and procedure rules when incurring expenditure relating to Transport for Lancashire supported schemes. As Accountable Body, Lancashire County Council will present summarised financial reports to Transport for Lancashire on a quarterly basis. Each local authority within the Transport for Lancashire geographical area will need to provide the financial information necessary to facilitate this process. Lancashire County Council's Section 151 Officer will approve each quarterly payment to other local authorities. This approval will be based on confirmation that the expenditure is linked to conditions as set out and agreed by the Transport for Lancashire and that a local authority has provided clear financial information to the satisfaction of Lancashire County Council finance staff. Where there are issues of cost increases and/or delays to delivery, Transport for Lancashire will consider the following when deciding whether to continue to support a scheme: • • •

were the cost increases and/or delays to delivery unforeseen and unavoidable; whether the scheme promoter is willing and/or able to fund any cost increase; whether additional funding be sought from other sources;

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

• • •

whether the scale of the scheme can be reduced to fit the available budget; the impact of any cost increase on a scheme's value for money as reflected by its benefit to cost ratio; and whether any delay in scheme delivery can be accommodated within the programme.

Transport for Lancashire ultimately reserves the right to withdraw its support for a scheme, to cease providing funding and to claw back any monies spent. At Final Approval, Transport for Lancashire will sign a legal agreement with the scheme promoter that will include a mechanism for the recovery of any misused funds. Programme and Risk Management In order to secure effective management of Transport for Lancashire's agreed programme of major schemes, Transport for Lancashire will set up a transparent process for actively managing the devolved budget and responding to changed circumstances including scheme slippage and changes to scheme scope and/or costs. Transport for Lancashire will require scheme promoters to submit a quarterly monitoring report (QMR) setting out progress on scheme preparation and/or delivery. This will include a requirement for a quantified risk assessment. Transport for Lancashire will receive quarterly update reports outlining progress with delivery of the devolved major scheme programme. It will collate the QMR information from scheme promoters, indicate progress against key milestones / deliverables and highlight any risks. A RAG (red/amber/green) rating will identify those schemes that are at risk of not meeting their programme objectives and that need urgent attention. Monitoring and Evaluation Transport for Lancashire will put in place a mechanism to ensure that it monitors and evaluates schemes in accordance with the appropriate Department for Transport guidance. Specialist consultants appointed to the Business Case Scrutiny framework will undertake this work. Transport for Lancashire will publish the results on its website.

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

Appendix A: Suggested List of Stakeholders for Local Transport Authorities to Consult Statutory consultees in the Transport Act 2000 as amended by the Local Transport Act 2008: • • • • •

Bus operators Rail operators (ie Network Rail and Train Operating Companies) Public transport user group In the case of county councils, district councils Highways Agency

The Act also requires local transport authorities to consult any other people they consider appropriate (for example, environmental organisations and disability groups). This might include the following, although this is not an exhaustive list: • • • • • • • • • • • •

Airports and Ports Community and voluntary sector Community Rail Partnerships Crime and Disorder Reduction partnerships County Sport and Physical Activity Partnerships (CPSAPs) Disabled person groups Environmental NGOs Freight Transport Association Integrated Youth Support Services Jobcentre Plus Local Access Forums Local businesses and business groups: ¾ ¾ ¾ ¾

• • • • • • • • • • • • •

Chambers of Commerce Economic partnerships Emergency partnerships Trade Associations (e.g. British Retail Consortium, Road Haulage Association)

Local Education Authority and universities Local and Regional Play Partnerships National Parks and Park Authorities Neighbouring authorities (including across national borders) Parish and Town Councils Planning authorities Primary Care Trusts, as well as including NHS and private hospitals Representatives of older people Representatives of children and young people Representatives of women’s groups Rural Community Councils Statutory environmental bodies – Natural England, Environment Agency and English Heritage Taxi and private hire vehicle companies and organisations

Transport for Lancashire Draft Assurance Framework v5.2 September 2013

• • •

Tourist Board Youth Forums Youth Opportunity Fund panels

Source: Guidance on Local Transport Plans, Department for Transport, July 2009

Transport for Lancashire Draft Assurance Framework v5.2 September 2013