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Transport for the South East (TfSE)
Shadow Partnership Board
Agenda
Wednesday, 11 December 2019, 10:00 – 13:00
Hilton London Gatwick Airport, Gatwick Airport - South Terminal, Gatwick RH6 0LL
Shadow Partnership Board Members
Cllr Keith Glazier, Leader, East Sussex County Council
Cllr Michael Payne, Cabinet Member for Highways and Transport, Kent County Council
Cllr Tony Page, Deputy Leader, Reading Borough Council (representing Berkshire Local Transport Body)
Cllr Rob Humby, Executive Member for Environment and Transport, Hampshire County Council
Cllr Anne Pissaridou, Chair of the Environment, Transport & Sustainability Committee, Brighton & Hove City Council
Cllr Ian Ward, Cabinet Member for Infrastructure and Transport, Isle of Wight Council
Cllr Jacqui Rayment, Cabinet Member for Environment and Transport and Deputy Leader, Southampton City Council
Cllr Lynne Stagg, Cabinet Member for Traffic & Transportation, Portsmouth City Council
Cllr Colin Kemp, Deputy Leader, Surrey County Council
Cllr Roger Elkins, Cabinet Member for Highways and Infrastructure, West Sussex County Council
Cllr Rupert Turpin, Portfolio Holder for Business Management, Medway Council
Geoff French, Interim Chair, TfSE Transport Forum
Martin Harris, Coast to Capital LEP
Margaret Paren, Chair, South Downs National Park (representing protected landscapes)
Ross McNally, Enterprise M3 LEP
Cllr David Monk, Leader, Folkestone & Hythe District Council
Cllr Daniel Humphreys, Leader of Worthing Council, Adur & Worthing Councils
Liz Garlinge, Network Planning Director, Highways England
Transport for London (Representative TBC)
Apologies
Cllr Alan Jarrett, Leader, Medway Council; John Halsall, Route Managing Director for South East, Network Rail;
Observers
The venue location is: The Hilton Hotel,
Gatwick Airport - South Terminal
Item Who
1 Welcome and Apologies
Cllr Keith Glazier
2 Minutes of previous meeting and Actions Log [pages 5-14]
Cllr Keith Glazier
3 Lead Officer's Report - see Paper 1 [pages 15-18]
Rupert Clubb
4 Developing the Proposal to Government - see Paper 2 [pages 19-46]
Rachel Ford
5 Governance - see Paper 3 [pages 47-136]
Cllr Tony Page
6 Transport Strategy Development - see Paper 4 [pages 137-148]
Rob Dickin
7 MRN and LLM update - see Paper 5 [pages 149-156]
Sarah Valentine
8 Finance - see Paper 6 [pages 157-170]
Rachel Ford
9 Communications and Stakeholder engagement - see Paper 7 [pages 171-178]
Russell Spink / Lucy
Dixon- Thompson
10 Transport Forum update - see Paper 8 [pages 179-190]
Geoff French
11 Responses to Consultations - see Paper 9 [pages 191-196]
Coast to Capital – Local Industrial Strategy Draft Economic Profile
Highways England A27 Arundel Bypass
Rupert Clubb
12 AOB
All
13 Date of Next Meeting
Thursday 23 April 2020, 13:00-16:00 (Venue TBC)
Officers in Attendance
Secretariat
Rupert Clubb Mark Valleley Rachel Ford Rob Dickin Sarah Valentine Benn White Russell Spink Lucy Dixon-Thompson Jasmin Barnicoat
Lead Officer Technical Manager Programme Manager Transport Strategy Manager Transport Strategy Manager Project Officer Communications Manager Stakeholder & Engagement Manager Executive Officer
Transport for the South East Transport for the South East Transport for the South East Transport for the South East Transport for the South East Transport for the South East Transport for the South East Transport for the South East Transport for the South East
Additional Attendees Joseph Ratcliffe Transport Strategy Manager Kent County Council Ruth Du-Lieu Assistant Director Frontline
Services Medway Council
Mark Prior Assistant Director, City Transport Brighton and Hove City Council Matt Davey Director of Highways and
Transport West Sussex County Council
Tristan Samuels Director of Regeneration Portsmouth City Council Wendy Perera Assistant Chief Executive and
Director of Strategy Isle of Wight Council
Keith Willcox Assistant Director – Transport Hampshire County Council Bill Hicks Head of Infrastructure Berkshire Local Transport Body
/ Berkshire Thames Valley LEP Jonathan Sharrock Pete Boustred Ruth Harper
Chief Executive Strategic Transport Manager Deputy Director - London, South, East and Housing, Regions, Cities and Devolution Directorate
Coast to Capital LEP Southampton City Council DfT
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TfSE Shadow Partnership Board 19 September 2019 Minutes
Shadow Partnership Board Members
Cllr Keith Glazier Leader East Sussex County Council
Cllr Michael Payne, Deputy Cabinet Member for Planning, Highways, Transport and Waste, Kent County Council (Representing Cllr Paul Carter CBE)
Cllr Roger Elkins, Cabinet Member for Highways and Infrastructure West Sussex County Council
Cllr Anne Pissaridou Chair of the Environment, Transport & Sustainability Committee Brighton & Hove City Council
Cllr Lynne Stagg Cabinet Member for Environment and Transport Portsmouth City Council
Cllr Tony Page, Deputy Leader Reading Borough Council (representing Berkshire Local Transport Body)
Martin Harris (representing LEPs) Coast 2 Capital LEP
Cllr Jacqui Rayment Cabinet Member for Place and Transport, Deputy Leader Southampton City Council
Geoff French CBE Interim Chair Transport Forum
Cllr Rob Humby, Deputy Leader, Hampshire County Council
Cllr Daniel Humphreys Leader of Worthing Council Adur & Worthing Councils
Cllr David Monk Leader Folkestone & Hythe District Council
Ian Phillips South Downs National Park (Representing protected landscapes)
Apologies: Ross McNally, Enterprise M3 LEP (jointly representing our five LEPs) Cllr Alan Jarrett, Leader, Medway Council Cllr Colin Kemp, Deputy Leader, Surrey County Council Cllr Ian Ward, Cabinet Member for Infrastructure and Transport, Isle of Wight Council Margaret Paren, Chair, South Downs National Park (representing protected landscapes) Observers: Paul Benham, Regional Sponsor, Highways England Peter Duggan, Area Lead for South East, Department for Transport
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Agenda Item 2
Item Action
1. Welcome and Apologies
1.1 Cllr Keith Glazier welcomed Shadow Partnership Board members to the meeting and noted apologies. 1.2 Cllr Glazier also welcomed Cllr David Monk and Cllr Daniel Humphreys to the Shadow Partnership Board meeting. It was agreed by Board members that two representatives should represent the District and Borough authorities. Cllr Monk and Cllr Humphreys will represent the Districts and Boroughs from across the TfSE region.
1.3 As agreed at the June Shadow Partnership Board meeting, invitations to join the Shadow Partnership Board were extended to Highways England, Network Rail and Transport for London. It has been agreed that Liz Garlinge, Interim Network Planning Director, Highways England and John Halsall, Route Managing Director for South East, Network Rail will join as members on the TfSE Shadow Partnership Board.
1.4 TfSE are awaiting confirmation from TfL on their nominated Board member.
2. Notes from Previous Meeting
2.1 The notes of the previous meeting were agreed. 2.2 Cllr Rayment suggested that an action tracker document should be set up in order to effectively follow actions from previous Board meetings. Action to be picked up by the TfSE secretariat.
TfSE
3. Proposal to Government
3.1 Cllr Page introduced this item and guided the Shadow Partnership Board members through the key parts of the paper. 3.2 Cllr Page explained to members that the 12 week consultation period on TfSE’s Proposal to Government has now concluded. A total of 96 consultation responses were received by TfSE from a wide range of stakeholders. Overall there was a positive response to the consultation.
3.3 Following on from the consultation, key changes have now been made to the Proposal document. Bus franchising powers have been removed from the list of powers and responsibilities that TfSE would request. It was acknowledged and agreed by TfSE and Board members that a new focus should be put on building stronger relationships with bus operators.
3.4 In terms of the rail powers that TfSE would consider requesting as part of the Proposal to Government, it was agreed that TfSE should review this once the conclusion from the Williams Rail Review has been published.
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3.5 GF informed members that the general consensus from the last TfSE Transport Forum was that attendees agreed that bus franchising powers should not be requested at this time. Transport Forum members also suggested that they would like to see TfSE submit their Proposal to Government as soon as possible. 3.6 Board members discussed the most suitable plan of action for TfSE to submit the Proposal to Government. It was reiterated by Board members that TfSE need to continue the dialogue with ministers and officials at the Department for Transport about the timing of the submission. 3.7 Ian Phillips stated that he was pleased to see reference to environmental issues and climate change within the Proposal to Government documentation.
3.8 Members agreed that TfSE should await the outcome of meeting between Cllr Glazier and the new Minister of State at the Department for Transport (George Freeman MP). Once this meeting has taken place TfSE should reassess the position on submitting the proposal.
3.9 Cllr Glazier confirmed to members that an email will be sent to the Shadow Partnership Board following his meeting with the Minister.
3.10 The recommendations were agreed by all Shadow Partnership Board members.
RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to: (1) Note the summary of the responses (Appendices 2 and 3) received during the consultation which was conducted from May to July 2019; (2) Agree the revised Proposal to Government, including the powers and responsibilities requested by TfSE and the proposed governance arrangements; and (3) Consider the options for next steps and make a decision based on the evidence from the consultation responses.
4. Transport Strategy Development
4.1 RD introduced this item and guided the Shadow Partnership Board members through the key parts of the paper. 4.2 RD explained to members that, if they agreed the draft Strategy a 12 week consultation period on the TfSE draft Transport Strategy would begin on Monday 7 October. The official launch event for the transport strategy will take place on Thursday 10 October at Farnborough. RD confirmed that all of the relevant transport strategy documentation will be available on the TfSE website from Monday 7 October.
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4.3 As well as the Transport Strategy consultation launch event, TfSE have also organised 5 regional consultation events. These would take place at Reading, Woking, Canterbury, Brighton and Southampton between 16 and 25 October 2019.
4.4 Steven Bishop (Steer) delivered a presentation to members which provided an overview of the content of the draft Transport Strategy. 4.5 RD provided an update to members on the upcoming area studies work that TfSE will be looking to put out to competitive tender before the end of December 2019.
4.6 RD explained that TfSE plan to procure and begin the work on 2 orbital area studies in this financial year. A further 3 radial area studies will be procured and initiated in the next financial year.
4.7 RD informed members that a plan for future work on the 3 thematic studies (Lots B, C and D) will be presented to the Shadow Partnership Board for approval in December 2019.
4.8 Members praised the high quality of the Transport Strategy documentation. 4.9 Cllr Payne highlighted the point that TfSE should be cautious around the promotion of autonomous vehicles as this wouldn’t necessarily decrease the number of trips being made on roads.
4.10 Martin Harris suggested that further information is needed around the work that will be considered within the upcoming area studies. MH also informed members that the evidence base for the Coast to Capital Local Industrial Strategy (LIS) is now out for consultation and it important to ensure alignment between the LIS and the Transport Strategy.
4.11 Cllr Humby highlighted the importance of evidencing how the South East supports other regions within the country as this would further strengthen the case for Transport for the South East.
4.12 Cllr Rayment asked if it would be possible to simplify some of the technical language that is currently in the document. It was noted that the Strategy needs to be a technical document, but there will be accompanying materials to help make it more accessible during the consultation period.
4.13 GF informed members that the TfSE Transport Forum are also very complimentary about the work that has been put into the transport strategy to date.
4.14 The recommendations were agreed by all Shadow Partnership Board members.
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RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to: (1) Note the progress on the tasks associated with the development of the Transport Strategy;
(2) Note the outcomes of the stakeholder consultation workshops held in July 2019; (3) Agree that the draft Transport Strategy and Integrated Sustainability Appraisal (ISA) is approved for a three month consultation period; and (4) Agree that the TfSE Secretariat begins the procurement process to secure a provider/s to undertake the in-depth area studies.
5. Large Local Majors (LLM) Update
5.1 SV explained to members that the key purpose of this report is for the Shadow Partnership Board to agree the priority order for the LLM schemes to be submitted to the DfT. 5.2 SV reminded Board members that STBs have been tasked with providing advice to the Department for Transport on the priority MRN and LLM schemes in their regions. These schemes will be considered for funding in the period 2020 – 2025. 5.3 The process for identifying and prioritising the MRN and LLM schemes in the TfSE area was agreed by the Shadow Partnership Board at the March 2019 meeting. The priority MRN schemes were agreed at the June Board meeting and submitted to DfT in July 2019, however due to the early stages of development of the LLM schemes, further time had been allowed for the LLM scheme promotors to carry out additional work to better inform the prioritisation process.
5.4 The agreed process has now been used by an officer review panel to produce a list of priority LLM schemes for the TfSE area. The list of priority schemes can be found in Appendix 2 – Table 1. It was agreed by the review panel that all schemes were very worthwhile and would be able to reach OBC by 2021.
5.5 SV reiterated the point that deliverability for the schemes is key to the DfT. The schemes would ideally need to spend the funding from DfT by March 2025 although the scheme would not necessarily need to have been completed by that deadline.
5.6 SV informed members that since the report had been written Oxfordshire County Council had passed a motion to formally oppose the New Thames Crossing East of Reading scheme. The review panel did not consider that this recent opposition affected the schemes position as a priority for TfSE. TVBLEP and Wokingham Borough Council had highlighted the potential concerns within their application and are managing this issue
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(including engaging with Oxfordshire CC) as scheme development work is carried out.
5.7 Cllr Page thanked SV for the work that has been pulled together by TfSE in relation to the MRN and LLM scheme submissions. Cllr Page added that the process of assessing the priority schemes has been very rigorous.
5.8 Cllr Page raised the point that all submitted schemes are likely to face a level of opposition and that no schemes will progress with ease. It was agreed by members that TfSE need to ensure that focus is placed on the economic and environment benefits of the submitted schemes. 5.9 Cllr Page informed the Shadow Partnership Board that he fully supported the procedure that was used and also the final rankings of priority schemes. Cllr Page mentioned that KCC’s A229 Blue Bell Hill Junction Upgrades scheme needed to be promoted in parallel with the Lower Thames Crossing scheme that is being planned by Highways England.
5.10 Cllr Rayment also thanked TfSE for the great work in leading this exercise. Cllr Rayment also informed members that she was pleased to see the West Quay Road Realignment scheme in Southampton high on the priority list.
5.11 The recommendations were agreed by all Shadow Partnership Board members. RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to: (1) Note the process that has been followed to identify and prioritise a list of potential Large Local Major (LLM) schemes in the TfSE area; and (2) Agree that the prioritised list of schemes shown in Appendix 3 be submitted to the Department for Transport as the priority.
6. Finance
6.1 RF introduced this item and guided the Shadow Partnership Board members through the key parts of the paper. It was confirmed that the finance paper has been officially signed off by the East Sussex County Council Finance Team.
6.2 As stated in the Transport Strategy Development paper, the scope for the planned area studies has been revised. These changes have been made due to the lower than expected grant allocation from the DfT for the current financial year. It was recognised by TfSE that it would not be possible to undertake the original corridor studies schedule within the revised budget.
6.3 With additional work being carried out to change the methodology and scope for the area studies work, the allocated budget for the Transport
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Strategy Development needed to be increased from £674,483 to £733,603. RF reiterated that it is likely that only a portion of the additional budget will be required in the current financial year, but it does allow for some contingency for the strategy work.
6.4 RF confirmed that current spend position and forecast is on track with the revised budget.
6.5 The recommendations were agreed by all Shadow Partnership Board members. RECOMMENDATIONS: The Shadow Partnership Board is recommended to: (1) Note the current budget positon for 2019/20 to the end of August 2019; and
(2) Agree the proposed changes to the Transport Strategy budget forecast.
7. Communications & Stakeholder Engagement
7.1 LDT introduced this item and guided the Shadow Partnership Board members through the key parts of the paper. 7.2 LDT explained that representation from Districts and Boroughs at the TfSE Transport Forum events has now been confirmed as the following:
- Cllr David Bittleston, Surrey - Cllr David Monk, Kent - Cllr Peter Chowney, East Sussex - Cllr David Humphreys, West Sussex - Cllr Philip North, Hampshire
7.3 In addition to the draft Transport Strategy consultation launch event on Thursday 10 October, TfSE have arranged a number of regional events to support the consultation period. These events are taking place on the following:
- 16 October, Reading - 17 October, Woking - 22 October, Canterbury - 23 October, Brighton - 24 October, Southampton
7.4 LDT reminded Board members that TfSE will be attending Highways UK in November. 7.5 Cllr Humby thanked TfSE for their efforts around ongoing engagement with stakeholders. 7.6 The recommendations were agreed by all Shadow Partnership Board
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members. RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to: (1) Note the diary dates for forthcoming events in section 5;
(2) Share invites to the regional events with wider contacts and networks and encourage colleagues to attend one of the events; and (3) Note the planned communications and engagement activity and inform the TfSE team if attendance or support is required at forthcoming events.
8. Transport Forum Update
8.1 GF introduced this item and guided the Shadow Partnership Board members through the key parts of the paper. 8.2 GF reiterated that the TfSE Transport Forum attendees are content with the TfSE Transport Strategy work and also the Proposal to Government with the amendments that have now been agreed by the members of the Board. .
8.3 As agreed at the SPB meeting in June 2019, the Transport Forum has established a small sub-group to review the operation of the Forum to ensure that it is able to support TfSE with the delivery of the Transport Strategy. Since the last SPB meeting, the sub-group of the Transport Forum has met twice and has reviewed the Forum’s function, role, membership, communications, mechanics and processes.
8.4 The sub-group identified gaps within the members list of Transport Forum attendees. It was agreed that the TfSE secretariat would extend invitations to the following sectors:
- Environment - Youth - Utilities - Health
8.5 LDT explained that TfSE are also trying to establish regular communication with the 12 universities in the TfSE region.
8.6 The next TfSE Transport Forum meeting will be held on Wednesday 20 November in Brighton.
8.7 The recommendations were agreed by all Shadow Partnership Board members.
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RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to: (1) Note the recent meeting of the Transport Forum;
(2) Review the recommendations from the Transport Forum; and (3) Note the future programme of the Transport Forum and the opportunities to engage further with the Forum representatives.
9. Consultation Responses
9.1 RC introduced this item and guided the Shadow Partnership Board members through the key parts of the paper. RC explained to members that TfSE will be responding to two upcoming consultations:
- England’s Economic Heartland Outline Transport Strategy Consultation
- Heathrow Expansion Consultation.
9.2 Members were informed that Cllr Glazier has been invited to sit on the Heathrow Area Transport Forum. The invitation has been accepted. 9.3 Members praised the response to the Heathrow Expansion Consultation stating that the submission is very strong and addresses the relevant points.
9.4 The recommendations were agreed by all Shadow Partnership Board members.
RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to:
(1) Endorse the draft letter of support to England’s Economic Heartland – Outline Transport Strategy; and
(2) Endorse the draft response to the Heathrow Airport Expansion consultation.
10. AOB
10.1 RC thanked members of the Shadow Partnership Board and Senior Officer Group for their invaluable support. 10.2 Cllr Glazier stated that TfSE have taken a major step forward today with agreeing to move forward with the consultation on the on the draft transport strategy consultation.
11. Date of Next Meeting
11.1 The next Shadow Partnership Board meeting will take place on Wednesday 11 December 2019 at the Hilton Hotel, Gatwick Airport.
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Paper 1 Report to: Shadow Partnership Board –Transport for the South East Date of meeting: 11 December 2019 By: Lead Officer, Transport for the South East Title of report: Lead Officer’s Report Purpose of report: To update the Board on the recent activities of Transport for
the South East
RECOMMENDATIONS:
The members of the Shadow Partnership Board are recommended to note the activities of Transport for the South East in September to December 2019.
1. Introduction 1.1 Since Transport for the South East’s inception in June 2017, we have come a long way in a short space of time. September to December has been an especially busy time for Transport for the South East as we reached a major milestone with the publication of the draft Transport Strategy for consultation. This milestone would not have been achieved without the support of all the constituent authorities, board members, LEPs and stakeholders. 1.2 The work of the Senior Officer Group has been instrumental in getting to this point. The development of the Transport Strategy has been a collaborative effort and the TfSE team are grateful to the Board for supporting their officers as part of the Senior Officer Group. 2. Engagement activity 2.1 In October we launched our draft Transport Strategy for consultation at an event in Farnborough supplemented by 5 regional events and a parliamentary reception to engage with our many stakeholders. Members should refer to the detail in the Comms and Engagement Report. We attended the Highways UK conference in Birmingham, supported by Cllr Keith Glazier and Cllr Colin Kemp. These events also triggered a number of articles in trade / technical press and again, outlined in more detail in the Comms and Engagement Report. 2.2 Over the past few months joint and individual meetings have been held with various private sector organisations (including innovators and disruptors) to understand what areas there are for public/private collaboration. More information on this can be found in the Comms and Engagement Report.
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Agenda Item 3
2.3 We have included the region’s universities as part of our stakeholder development, meeting with them to discuss the opportunities for collaboration and future engagement. 3. Joint STB work 3.1 All of the 7 sub-national transport bodies work closely together to bring a unified national voice. The TfSE lead officer chairs the quarterly meeting of the seven STBs covering England. 3.2 The lead officer also regularly meets the lead officers from Transport for the North, Midlands Connect and England’s Economic Heartlands and the 3 emerging STBs to discuss areas of shared interest, develop our joint messages and identify issues for collaborative lobbying. This has involved following a consistent approach to MRN/LLM and discussing a future approach to RIS3. There has also been, and will continue to have a collaborative approach to the Williams Rail Review. 3.3 These lead officers also meet with the DfT, including the Director General for Roads, Places and Environment Group, to continue to press the case for sub-national transport bodies, funding and statutory status. 4. Other 4.1 TfSE along with the other STB’s supported the Women in Transport networking event that took place in the STB Hub at Highways UK in November. This not-for-profit organisation carries out mentoring and campaigning for more women in transport and TfSE is pleased to be able to support them. It is worth noting that we have a 50:50 gender balance in our paid TfSE team workforce.
4.2 We have attended various meetings/conferences over the past few months to promote TfSE and our Transport Strategy. This included the wider South East technical conference (Cllr Humby also attended this event), GATCOM, the London and South East LEPs infrastructure roundtable, a roads sector strategy roundtable, the ADEPT conference (where the lead officer chaired a plenary session on transport connectivity),the Transport Smart Class, London and the South East, a CILT meeting, a Transport Knowledge Hub meeting and Amber Rudd MP and Huw Merriman MP’s Rail Summit where Cllr Glazier spoke about TfSE. 4.3 The team have also presented the Transport Strategy to civil servants and senior representatives from the DfT. The Strategy has been received positively and they are supportive of its content. Alongside this, Cllr Glazier met with the Minister for Transport, George Freeman MP (who also attended and spoke at both our Farnborough launch event and parliamentary reception) to raise his awareness of TfSE and push the case again for statutory status and secure funding. 5. Conclusion and next steps 5.1 2020 will be another important year for TfSE as the draft Transport Strategy consultation closes and our final strategy is launched, along with the possibility of submitting TfSE’s Proposal to Government. Work will also begin on TfSE’s area studies and freight and future mobility strategies. There are already a variety of events we have
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been invited to speak at and we will implement our post-election parliamentary engagement plan. 5.2 The Shadow Partnership Board is recommended to note the activities undertaken by TfSE and the work planned in 2020 will continue to raise the profile of the organisation and provide opportunities for all our constituent authorities and stakeholders. RUPERT CLUBB Lead Officer Transport for the South East
Contact Officer: Jasmin Barnicoat Tel. No. 07749 436080 Email: [email protected]
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Paper 2 Report to: Shadow Partnership Board - Transport for the South East Date of meeting: 11 December 2019 By: Lead Officer, Transport for the South East Title: Developing a Proposal to Government
Purpose: To provide an update on the proposed next steps
RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to: (1) Note recent discussions and feedback from the Department for Transport;
(2) Agree that the draft proposal should be finalised for submission to
Government in April 2020; and
(3) Ask constituent authorities to provide their formal consent to the proposal in advance of the April 2020 meeting of the Shadow Partnership Board.
1. Introduction 1.1 At the Shadow Partnership Board meeting on 19 September 2019 the Board approved a revised version of the Proposal to Government, which reflected the feedback received through the 12 week public consultation. 1.2 It was agreed that further advice should be sought from the ministerial team at the Department for Transport prior to any decision about a formal submission to Government. This paper provides an update on the discussions with the Minister of State and suggests next steps and a potential timeframe for Board consideration.
2. Our proposal to Government 2.1 TfSE published the consultation on 7 May 2019 for a period of 12 weeks. Prior to the formal consultation exercise, there had been extensive discussions with constituent authorities, LEPs, district and borough authorities and other stakeholders to inform the types of powers that TfSE might seek to support the delivery of the Transport Strategy. 2.2 During the twelve week consultation, TfSE was required to engage with all constituent authorities, LEPs, neighbouring authorities and other appropriate stakeholders. In addition to the 16 constituent authorities and five LEPs, there are 16 neighbouring Transport Authorities that TfSE included in the formal consultation
2.3 The consultation resulted in 98 responses from a wide range of stakeholders, including a number of local interest groups and member of the public. The overall findings of the consultation exercise are positive, with 94 respondents offering support
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Agenda Item 4
2
for the principle of establishing a sub-national transport body for the south east. However, some of this support is conditional upon TfSE addressing concerns with the proposal and overall vision for the organisation.
2.4 The revised proposal incorporated a number of changes, which can be summarised:
Strengthening the opening narrative and strategic case to ensure that social inclusion and environmental protection, including reducing emissions, are clearly recognised as a priority for TfSE. This will reflect the recent work on the development of the Transport Strategy, including the revised vision, goals and objectives.
The proposal highlights that the current governance arrangements for co-opted members are considered to work well, and would strongly recommend that the Statutory Body would continue with them.
Clarification is provided around the principle of consent and the concurrent nature of the powers. Additionally, the principle of subsidiarity will be incorporated into the document to demonstrate that any decisions relating to the powers is made at the most relevant level and that, where possible, future aspirations will focus on drawing down powers from central government.
The bus franchising power was removed from the proposal, with the emphasis placed on building stronger relationships with the bus operators and work with local authorities to ensure that services are operating in a way that supports the delivery of the Transport Strategy, e.g. smart and integrated ticketing at a regional (or wider) level.
The powers relating to rail have remained unchanged. However, TfSE is closely monitoring the outcomes of the William’s Rail Review and will consider whether it should include provision to assume a role in contracting for rail services as it matures as an organisation.
2.5 The Board agreed the revised proposal, which is attached as Appendix 1. However, it was agreed that further advice was needed from the Department for Transport prior to submission. 3. Feedback from the Department for Transport 3.1 In June 2019, Chris Grayling, the former Secretary of State for Transport, wrote to all shadow STBs stating that at that current time he was not minded to create any further statutory bodies. The letter confirmed that all shadow STBs would be treated as though they had statutory status and that STBs would be considered in the forthcoming spending review. 3.2 TfSE’s consultation on the draft proposal was already underway when this letter was received. The Shadow Partnership Board considered the contents of the letter at their meeting on 14 June 2019 and agreed to conclude the consultation exercise and to receive an update on the response at the Board meeting on 19 September 2019.
3.3 Subsequently there has been a change of ministerial team at the Department for Transport. The Board agreed at the September 2019 meeting that it was imperative to seek the advice and views of Grant Shapps, Secretary of State for Transport, and George Freeman, Minister of State, prior to making any decision about the submission.
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3.4 There have been a number of discussions with the Minister of State, including his attendance at the ‘Connecting the South East’ event in Farnborough to launch the draft Transport Strategy. 3.5 The Minister has clearly outlined his “3 D” priorities – addressing disconnectivity, decarbonisation and digitalisation. There is also a strong focus on joining up transport and housing. It is recognised that TfSE’s draft Transport Strategy aligns with these emerging priorities and can play an important role in tackling these critical issues.
3.6 The Minister was also interested in work that can be done to improve travel to work corridors and also surface access to the international gateways. He was supportive of the TfSE priorities to have a modern integrated public transport system and future proofing against climate change impacts. 3.7 The Minister was complementary of the way in which TfSE has operated, recognising the importance that has been placed on partnership working, the role we have played in providing a collective single voice on priorities and our lean and efficient structures. 3.8 The important role that STBs can play in helping DfT to deliver their priorities is clearly recognised. The Minister stated at the ‘Connecting the South East’ event that he will be willing to consider formal structures once TfSE has a clear business plan, in effect our Transport Strategy, setting out what it wants to achieve. The powers and responsibilities sought in any proposal should support the delivery of the plan. The Transport Strategy should therefore be submitted at the same time as the proposal, subject to Board approval.
3.9 Since the launch of the Transport Strategy parliament has been dissolved to allow for an election on the 12 December 2019. Clearly, we cannot predict the outcome of the election and we will re-engage with the department following ministerial appointments. This could mean our timetable for submission may change. However, the board will have a further opportunity to consider this issue at their April
meeting prior to any formal submission to government. The board’s agreement will be
sought at the April meeting and to support the board we will bring forward the latest view from the department on any submission. 4. Next steps, Formal Consent and outline Cabinet/Committee reports 4.1 Subject to the outcome of the December General Election, it is proposed that TfSE should seek to submit the proposal to Government upon completion of the Transport Strategy, which will firmly set out the ways in which TfSE and the Department for Transport can work in partnership to implement the bold and ambitious approach included in the Strategy. This will be subject to review upon any change in national government structures and the implications of any changes will be considered by the Shadow Partnership Board. 4.2 This timescale will also allow for TfSE to consider the implications for the forthcoming publication of the Williams Rail Review, which is expected in autumn 2019. A submission in spring 2020 will also ensure that the response to the consultation on the draft proposal remains relevant and timely.
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4.3 The legislation requires that a new sub-national transport body will be promoted by, and have the consent of, its constituent authorities. Formal consent is required before the Shadow Partnership Board approves the final proposal. It is suggested that all constituent authorities should aim to take the draft proposal through their relevant committee and sign off structures by the end of March 2020 to enable the Shadow Partnership Board to make the final decision in April 2020. 4.4 Although other partners, such as LEPs, district and boroughs and national parks will not be required to offer formal consent for the creation of a statutory body, they may wish to submit letters of support for TfSE. 5. Conclusion 5.1 The draft proposal to Government was widely supported during the consultation exercise and there is recognition from stakeholders that the creation of a sub-national transport body would benefit the south east area. Further advice and views have been sought from the new ministerial team at the Department for Transport, which indicate support for STBs and an understanding that the TfSE Transport Strategy can help to deliver departmental priorities. 5.2 It is proposed that the Shadow Partnership Board should seek to submit the proposal to Government in spring 2020, following the conclusion of the consultation on the Transport Strategy. If this timescale is agreed, constituent authorities will be required to offer their formal consent in March 2020, in advance of the next meeting of the Shadow Partnership Board. These timescales would be reviewed if there are any changes in national government structures and the implications of any changes will be discussed with the Shadow Partnership Board in advance of any decision. 5.3 The Shadow Partnership Board is also recommended to agree the proposed timescales and next steps. RUPERT CLUBB Lead Officer Transport for the South East
Contact Officer: Rachel Ford Tel. No. 07763 579818 Email: [email protected]
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Appendix 1
Proposal to Government
September 2019
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Appendix 1
2
1. Executive summary
1.1 Transport for the South East is a sub-national transport body (STB) established to speak with
one voice on the strategic transport priorities for the South East region. 1.2 Our aim is to grow the South East’s economy by delivering a safe, sustainable, and integrated
transport system that makes the South East area more productive and competitive, improves the quality of life for all residents, and protects and enhances its natural and built environment.
1.3 By operating strategically across the South East on transport infrastructure – a role that no
other organisation currently undertakes on this scale – we will directly influence how and where money is invested and drive improvements for the travelling public and for businesses in a region which is the UK’s major international gateway.
1.4 Already we are commanding the attention of government, facilitating greater collaboration
between South East local authorities, local enterprise partnerships (LEPs) and government to shape our region’s future.
1.5 Our proposal has been developed in partnership with TfSE’s members and stakeholders and
represents a broad consensus on the key issues facing the region and the powers required to implement our transport strategy.
1.6 Our members and stakeholders are clear that a statutory sub-national transport body for the
South East is vital if we are to successfully:
● Increase our influence with Government and key stakeholders;
● Invest in pan-regional strategic transport corridors;
● Deliver sustainable economic growth, while protecting and enhancing the
environment, reducing emissions and promoting social inclusion; and
● Enable genuinely long-term planning.
1.7 We have only proposed those powers for TfSE which are proportionate and will be effective in
helping us achieve our strategic aims and objectives, complementing and building on the existing powers of local authorities.
1.8 These powers would enable us to deliver significant additional value at regional level through
efficient and effective operational delivery, better coordination of pan-regional schemes and the ability to directly influence and inform national investment programmes.
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2. The Ambition
“By 2050, the South East will be a leading global region for emission-free, sustainable economic
growth, where integrated transport, digital and energy networks have delivered a step-change in
connectivity and environmental quality.
A high-quality, reliable, safe and accessible transport network will offer seamless door-to-door
journeys enabling our businesses to compete and trade more effectively in the global marketplace,
giving our residents and visitors the highest quality of life in the country.” Transport for the South East 2050 vision statement
2.1 Transport for the South East (TfSE) was established in shadow form in June 2017. In the short
period since, we have emerged as a powerful and effective partnership, bringing together 16
local transport authorities, five local enterprise partnerships and other key stakeholders
including protected landscapes, transport operators, district and borough authorities and
national agencies to speak with one voice on the region’s strategic transport needs.
2.2 Our vision is underpinned by three strategic goals, which align to the three pillars of
sustainable development:
improve productivity and attract investment to grow our economy and better compete in
the global marketplace;
improve health, safety, wellbeing, quality of life, and access to opportunities for everyone;
and
protect and enhance the South East’s unique natural and historic environment.
2.3 Our transport strategy, which covers the period to 2050, will form the basis for achieving that
vision. It will deliver sustainable economic growth across the South East, whilst taking account
of the social and environmental impacts of the proposals outlined in the strategy.
2.4 TfSE has already, in shadow form, added considerable value in bringing together partners and
stakeholders to work with Government on key strategic issues, securing positive outcomes for
the region in the Roads Investment Strategy 2 and Major Road Network, influencing rail
franchising discussions and providing collective views on schemes such as southern and
western rail access to Heathrow.
2.5 The requirements within our proposal seek to provide TfSE with the initial functions and
powers to move to the next stage of our development – to begin delivering the transport
strategy and realising the benefits that a high quality, sustainable and integrated transport
system can unlock for people, businesses and the environment.
2.6 We are clear that we only seek those powers and functions which are necessary to deliver our
strategy and achieve our vision. Our requirements differ from those of other STBs and reflect
the different geographic, economic, political, social and environmental characteristics of our
region and the strategic objectives of TfSE and its partners.
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2.7 We are only seeking powers that are applicable to a sub-national transport body as outlined
by the legislation. There are many other bodies that have environmental and economic remits
beyond those held by an STB and it will be essential that we work with these partners to
deliver sustainable economic growth across the south east.
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3. The Strategic and Economic Case
The Transport for the South East area 3.1 The South East is already a powerful motor for the UK economy, adding more than £200
billion to the economy in 2015 – second only to the contribution made by London and more
than Scotland, Wales and Northern Ireland combined.
3.2 It is home to 7.5m people and 329,000 businesses including some of the world’s biggest
multinationals as well as a large number of thriving, innovative SMEs. It is a world leader in
knowledge intensive, high value industries including advanced engineering, biosciences,
financial services and transport and logistics.
3.3 The South East area includes both of the nation’s busiest airports in Heathrow and Gatwick, a
string of major ports including Southampton, Dover and Portsmouth, many of the country’s
most vital motorways and trunk roads and crucial railway links to London, the rest of Britain
and mainland Europe.
3.4 The South East’s international gateways support the economic wellbeing of the whole of the
UK. As we withdraw from the European Union, they will be integral to supporting a thriving, internationally facing economy.
3.5 Half of all freight passing through Dover going on to other parts of the country. Southampton
sees £71 billion of international trade each year and Portsmouth handles two million passengers a year. More than 120 million air passenger a year use Gatwick, Southampton and Heathrow airports.
3.6 Our people and infrastructure are not our only assets. With two national parks, five areas of
outstanding natural beauty and much of the region allocated as green belt, the South East
draws heavily on its unique and varied natural environment for its success. It offers
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outstanding beaches, historic towns, dynamic cities and unparalleled links to London, the UK,
Europe and the rest of the world. It is, in short, an amazing place to live, work and visit.
The scale of the challenge and why change is needed
3.7 But we face a real challenge. Despite these enviable foundations – and in some cases because
of them – our infrastructure is operating beyond capacity and unable to sustain ongoing
growth.
3.8 Despite the economic importance of the region to the UK economy, contributing almost 15%
of UK GVA (2015), the South East has seen continued underinvestment in transport
infrastructure with a per capita spend that is significantly below the England average and a
third of that in London.
Planned transport infrastructure spending per head
Source: IPPR North analysis of planned central and local public/private transport infrastructure spending per capita
2017/19 onwards (real terms 2016/17 prices)
3.9 So while transport links to and from the capital are broadly good, elsewhere connectivity can
be poor – even between some of our region’s major towns and cities. Train journey times
between Southampton and Brighton (a distance of around 70 miles) are only marginally less
than the fastest train journeys between London and Manchester. The corresponding journey
on the A27 includes some of the most congested parts of the South East’s road network.
3.10 Underinvestment in road and rail infrastructure is making life harder for our residents and
businesses. New housing provision is being hampered by the lack of adequate transport
infrastructure. In our coastal communities, lack of access to areas of employment and further
education and higher education are major contributors to high unemployment and poor
productivity.
3.11 The social geography of the South East is varied. The South East area is home to some of the
most prosperous and productive areas of the country, but also contains significant areas of
deprivation. Improving transport connectivity can help reduce the likelihood of deprivation,
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but this cannot be considered in isolation and needs to work alongside other important
factors, such as improving skills levels.
3.12 The South East has a varied and highly valued natural environment. Significant parts of the
South East area are designated as National Parks, Areas of Outstanding Natural Beauty and
Sites of Special Scientific Interest. The environmental assets of the South East help make the
South East area an attractive place to live, work and visit, as well as providing an important
contribution to the economy. The future development of the South East area and its transport
network will need to be managed to minimise any potential adverse impact and enhance
these natural assets. The principle of biodiversity net gain will be vital in achieving this.
3.13 The South East area faces several significant environmental challenges in the future. There are
a significant number of Air Quality Management Areas in place across the South East area.
These areas have been established to improve air quality and reduce the harmful impact of
Nitrogen Oxides (NOx), Sulphur Oxides (SOx), and particulates on human health and the
natural environment. Transport – particularly road transport – is one of the largest
contributors to poor air quality in the South East area. Transport therefore has a significant
role to play in improving air quality. Noise pollution is also a significant issue, particularly for
communities located close to the Strategic Road Network.
3.14 The South East also has a significant role to play in tackling climate change. The South East
accounts for 12% of the United Kingdom’s greenhouse gas emissions. In 2018, transport
accounted for a third of the United Kingdom’s greenhouse gas emissions.
3.15 These are challenges that extend beyond administrative and political boundaries. They require
TfSE to have the powers to effectively join up transport policy, regulation and investment and provide clear, strategic investment priorities which will improve connectivity into and across the region, boost the economy and improve the lives of millions.
The powers to achieve our vision 3.16 To enable us to achieve our vision through the efficient and effective delivery of the transport
strategy, we propose that a range of functions exercisable by a local transport authority, passenger transport executive or mayoral combined authority are included in the regulations to establish TfSE on a statutory footing.
3.17 We have only sought those powers which we believe are proportionate and will be effective in
helping us achieve our strategic aims and objectives, complementing and building on the existing powers of local authorities. The powers will be sought in a way which means they will operate concurrently with – and only with the consent of – the constituent authorities.
3.18 These powers would enable us to deliver significant additional value at regional level in three
key areas:
● Strategic influence: Speaking with one voice and with the benefit of regional scale and
insight to influence the development of national investment programmes; a trusted
partner for government, Network Rail and Highways England.
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● Coordination: Developing solutions which offer most benefit delivered on a regional
scale; working with partners and the market to shape the development of future
transport technology in line with regional aspirations.
● Operational: Accelerating the delivery of schemes and initiatives which cross local
authority boundaries, ensuring strategic investment happens efficiently and that the
benefits for residents and businesses are realised as soon as possible.
The benefits of establishing TfSE as a statutory body
3.19 One voice for strategic transport in the South East
TfSE will provide a clear, prioritised view of the region’s strategic transport investment needs.
We already offer an effective mechanism for Government to engage with local authorities and
LEPs in the region; statutory status would take that a step further, enabling us to directly
inform and influence critical spending decisions by Government and key stakeholders
including Highways England and Network Rail.
3.20 Facilitating sustainable economic growth
The transport strategy will facilitate the delivery of jobs, housing and growth across the South
East and further build on our contribution to UK GVA. Implementation of strategic, cross-
boundary schemes, particularly investment in the orbital routes, will connect economic
centres and international gateways for the benefit of people and businesses, regionally and
nationally. TfSE also offers a route to engage with other sub-national transport bodies and
Transport for London on wider cross-regional issues.
However, this cannot be growth at any cost. The implementation of the transport strategy
must ensure that the region’s high quality environmental assets are protected and, where
possible, enhanced, as well as improving health, safety, wellbeing, quality of life, and access to
opportunities for everyone.
3.21 Delivering benefits for the travelling public
TfSE can support the efficient delivery of pan-regional programmes that will offer considerable
benefits to the end user – for example, integrated travel solutions combined with smart
ticketing will operate more effectively at a regional scale and can best be facilitated by a
regional body than by individual organisations.
3.22 Local democratic accountability
Our transport strategy will be subject to public consultation and will, in its final form, provide a
clear, prioritised view of investments agreed by all the South East’s local transport authorities
and with input from passengers, businesses and the general public. Delivery of the strategy
will be led by the Partnership Board, comprising elected members and business leaders with a
direct line of accountability to the people and organisations they represent.
3.23 Achieving the longer term vision
Securing statutory status offers TfSE the permanence and security to deliver the transport
strategy to 2050, providing a governance structure that matches the lifecycle of major
infrastructure projects. It will provide confidence to funders, enable us to work with the
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market to ensure the deliverability of priority schemes and support development of the skills
needed to design, build, operate and maintain an improved transport network.
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4. Constitutional arrangements
Requirements from legislation
Name 4.1 The name of the sub-national transport body would be ‘Transport for the South East (“TfSE”)’
and the area would be the effective boundaries of our ‘constituent members’.
Members 4.2 The membership of the STB is listed below:
Bracknell Forest Borough Council Brighton and Hove City Council East Sussex County Council Hampshire County Council Isle of Wight Council Kent County Council Medway Council Portsmouth City Council Reading Borough Council Royal Borough of Windsor and Maidenhead Council Slough Borough Council Southampton City Council Surrey County Council West Berkshire Council West Sussex County Council Wokingham Borough Council
Partnership Board
4.3 The current Shadow Partnership Board is the only place where all ‘constituent members’ are
represented at an elected member level1. Therefore this Board will need to have a more formal role, including in ratifying key decisions. This would effectively become the new ‘Partnership Board’ and meet at least twice per annum. The Partnership Board could agree through Standing Orders if it prefers to meet more regularly.
4.4 Each constituent authority will appoint one of their councillors / members or their elected
mayor as a member of TfSE on the Partnership Board. Each constituent authority will also appoint another one of their councillors / members or their elected mayor as a substitute member (this includes directly elected mayors as under the Local Government Act 2000). The person appointed would be that authority’s elected mayor or leader, provided that, if responsibility for transport has been formally delegated to another member of the authority, that member may be appointed as the member of the Partnership Board, if so desired.
4.5 The Partnership Board may delegate the discharge of agreed functions to its officers or a
committee of its members in accordance with a scheme of delegation or on an ad hoc basis.
1 The six constituent members of the Berkshire Local Transport Body (BLTB) will have one representative
between them on the Partnership Board.
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Further detail of officer groups and a list of delegations will be developed through a full constitution.
Co-opted members
4.6 TfSE proposes that governance arrangements for a statutory STB should maintain the strong
input from our business leadership, including LEPs, district and borough authorities and protected landscapes. The regulations should provide for the appointment of persons who are not elected members of the constituent authorities but provide highly relevant expertise to be co-opted members of the Partnership Board.
4.7 A number of potential co-opted members are also set out in the draft legal proposal. Co-opted
members would not automatically have voting rights but the Partnership Board can resolve to grant voting rights to them on such issues as the Board considers appropriate, for example on matters that directly relate to co-opted members’ areas of interest.
Chair and vice-chair
4.8 The Partnership Board will agree to a chair and vice-chair of the Partnership Board. The
Partnership Board may also appoint a single or multiple vice-chairs from the constituent members. Where the chair or vice-chair is the representative member from a constituent authority they will have a vote.
Proceedings
4.9 It is expected that the Partnership Board will continue to work by consensus but to have an
agreed approach to voting where consensus cannot be reached and for certain specific decisions.
4.10 A number of voting options were considered to find a preferred option that represents a
straightforward mechanism, reflects the characteristics of the partnership and does not provide any single authority with an effective veto. We also considered how the voting metrics provide a balance between county and other authorities, urban and rural areas and is resilient to any future changes in local government structures.
4.11 The steering group considered these options and preferred the population weighted
option based on the population of the constituent authority with the smallest population (the Isle of Wight with 140,000 residents).
4.12 This option requires that the starting point for decisions will be consensus; if that cannot
be achieved then decisions will require a simple majority of those constituent authorities who are present and voting. The decisions below will however require both a super-majority, consisting of three quarters of the weighted vote in favour of the decision, and a simple majority of the constituent authorities appointed present and attending at the meeting:
(i) The approval and revision of TfSE’s transport strategy;
(ii) The approval of the TfSE annual budget;
(iii) Changes to the TfSE constitution.
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The population weighted vote would provide a total of 54 weighted votes, with no single veto. A table showing the distribution of votes across the constituent authorities is set out in Appendix 1. This option reflects the particular circumstances of TfSE, being based on the population of the smallest individually represented constituent member who will have one vote, and only a marginally smaller proportionate vote. It is considered that this option is equitable to all constituent authority members, ensures that the aim of decision making consensus remains and that smaller authorities have a meaningful voice, whilst recognising the size of the larger authorities in relation to certain critical issues.
4.13 The population basis for the weighted vote will be based on ONS statistics from 2016
and reviewed every ten years. 4.14 As outlined in paragraph 4.7, co-opted members would not automatically have voting
rights but the Partnership Board can resolve to grant voting rights to them on such issues as the Board considers appropriate, for example on matters that directly relate to co-opted members’ areas of interest. The current shadow arrangements to allocate votes to co-opted Board members are working well, recognising the important contribution that these members bring on environmental, economic and social issues. It would be strongly recommended that the Statutory Body would continue with these arrangements.
4.15 The Partnership Board is expected to meet twice per year. Where full attendance cannot
be achieved, the Partnership Board will be quorate where 50% of constituent members are present.
Scrutiny committee
4.16 TfSE will appoint a scrutiny committee to review decisions made or actions taken in
connection with the implementation of the proposed powers and responsibilities. The committee could also make reports or recommendations to TfSE with respect to the discharge of its functions or on matters relating to transport to, from or within TfSE’s area.
4.17 Each constituent authority will be entitled to appoint a member to the committee and a
substitute nominee. Such appointees cannot be otherwise members of TfSE including the Partnership Board.
Standing orders
4.18 TfSE will need to be able to make, vary and revoke standing orders for the regulation of
proceedings and business, including that of the scrutiny committee. This will ensure that the governance structures can remain appropriate to the effective running of the organisation.
4.19 In regards to changing boundaries and therefore adding or removing members, TfSE
would have to make a new proposal to Government under Section 102Q of the Local Transport Act 2008 and require formal consents from each constituent authority.
Miscellaneous
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4.20 It may be necessary that certain additional local authority enactments are applied to
TfSE as if TfSE were a local authority, including matters relating to staffing arrangements, pensions, ethical standards and provision of services etc. These are set out in the draft legal proposal.
4.21 TfSE also proposes to seek the functional power of competence as set out in section
102M of the Local Transport Act 2008. 4.22 TfSE will consider options for appointing to the roles of a Head of Paid Service, a
Monitoring Officer and a Chief Finance Officer whilst considering possible interim arrangements.
Funding
4.23 TfSE has raised local contributions from the constituent authorities and has secured
grant funding from the Department for Transport to support the development of the Transport Strategy.
4.24 TfSE will work with partners and the Department for Transport to consider a sustainable
approach to establishing the formal STB and effectively and expeditiously as possible, bearing in mind the considerable support among regional stakeholders for TfSE’s attainment of statutory status.
Governance: Transport Forum and Senior Officer Group
4.23 The Partnership Board will appoint a Transport Forum. This will be an advisory body to
the Senior Officer Group and Partnership Board, comprising a wider group of representatives from user groups, operators, District and Borough Councils as well as Government and National Agency representatives.
4.24 The Transport Forum will meet quarterly and be chaired by an independent person
appointed by the Partnership Board. The Transport Forum may also appoint a vice-chair for the Transport Forum, who will chair the Transport Forum when the chair is not present.
4.25 The Transport Forum’s terms of reference will be agreed by the Partnership Board. It is
envisaged that the Transport Forum will provide technical expertise, intelligence and information to the Senior Officer Group and the Partnership Board.
4.26 The Partnership Board and Transport Forum will be complemented by a Senior Officer
Group representing members at officer level providing expertise and co-ordination to the TfSE programme. The Senior Officer Group will meet monthly.
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5. Functions
TfSE’s proposal is to become a statutory sub-national transport body as set out in section part 5A of the Local Transport Act 2008.
General functions
5.1 Transport for the South East proposes to have the ‘general functions’ as set out in Section
102H (1) including: a. to prepare a transport strategy for the area;
b. to provide advice to the Secretary of State about the exercise of transport functions in
relation to the area (whether exercisable by the Secretary of State or others);
c. to co-ordinate the carrying out of transport functions in relation to the area that are
exercisable by different constituent authorities, with a view to improving the
effectiveness and efficiency in the carrying out of those functions;
d. if the STB considers that a transport function in relation to the area would more
effectively and efficiently be carried out by the STB, to make proposals to the
Secretary of State for the transfer of that function to the STB; and
e. to make other proposals to the Secretary of State about the role and functions of the
STB. (2016, 102H (1))5.
5.2 The general functions are regarded as the core functions of a sub-national transport body and
will build on the initial work of TfSE in its shadow form. To make further proposals to the Secretary of State regarding constitution or functions, Transport for the South East will need formal consents from each ‘constituent member’.
5.3 Transport for the South East recognises that under current proposals the Secretary of State
will remain the final decision-maker on national transport strategies, but critically that the Secretary of State must have regard to a sub-national transport body’s statutory transport strategy. This sets an important expectation of the strong relationship Transport for the South East aims to demonstrate with Government on major programmes like the Major Road Network and Railway Upgrade Plan.
Local transport functions
5.4 Initial work has identified a number of additional powers that Transport for the South East
may require that will support the delivery of the transport strategy. The table below provides an assessment of these functions.
5.5 The powers which are additional to the general functions relating to STBs will be requested
in a way that means they will operate concurrently and with the consent of the constituent authorities.
5.6 To support the principle of consent, TfSE will adopt three further principles:
That future operations of TfSE should, where possible, seek to draw down powers from
central government, rather than seek concurrent powers with the local transport
authorities;
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That decisions on the implementation of the powers are made at the most immediate (or
local) level, i.e. by constituent authorities in the particular area affected; and
Consent from the relevant constituent authorities will be obtained in advance of any
Partnership Board decision on a particular scheme or project.
5.7 This approach will help to ensure that TfSE complements and supports the work of the
constituent authorities and enables TfSE to promote and expedite the delivery of regionally significant cross-boundary schemes
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Table 1: Proposed powers and responsibilities
POWER RATIONALE
General functions
Section 102 H of the Local Transport
Act 2008
Prepare a transport strategy, advise the
Secretary of State, co-ordinate the
carrying out of transport functions,
make proposals for the transfer of
functions, make other proposals about
the role and functions of the STB.
This legislation provides the general powers required for TfSE to
operate as a statutory sub-national transport body, meeting the
requirements of the enabling legislation to facilitate the
development and implementation of a transport strategy to deliver
regional economic growth.
Government at both national and local level recognises that the
solutions required to deliver regional economic growth are best
identified and planned for on a regional scale by those who best
understand the people and businesses who live and work there.
Rail
Right to be consulted about new rail
franchises
Section 13 of the Railways Act 2005 –
Railway Functions of Passenger
Transport Executives
We are seeking the extension of the right of a Passenger Transport
Executive to be consulted before the Secretary of State issues an
invitation to tender for a franchise agreement.
The right of consultation is significant to TfSE as it confirms our role
as a strategic partner, enabling us to influence future rail franchises
to ensure the potential need for changes to the scope of current
services and potential new markets identified by TfSE are
considered.
TfSE is uniquely placed to provide a regional perspective and
consensus on the priorities for rail in its area. This would benefit
central government as a result of the vastly reduced need for
consultation with individual authorities.
We recognise that changes to the current franchising model are
likely following the Williams Review; regardless of these changes,
TfSE is clear that it should have a role in shaping future rail service
provision.
Set High Level Output Specification
TfSE requires a strong, formal role in rail investment decision making
over and above that which is available to individual constituent
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(HLOS) for Rail
Schedule 4A, paragraph 1D, of the
Railways Act 1993
authorities. We act as the collective voice of our constituent
authorities, providing an evidence-based regional perspective and
consensus on the priorities for investment in our rail network.
This power would enable TfSE to act jointly with the Secretary of
State to set and vary the HLOS in our area, ensuring TfSE’s
aspirations for transformational investment in rail infrastructure are
reflected in the HLOS and enabling an integrated approach across
road and rail investment for the first time.
Highways
Set Road Investment Strategy (RIS) for
the Strategic Road Network (SRN)
Section 3 and Schedule 2 of the
Infrastructure Act 2015
TfSE requires a strong, formal role in roads investment decision
making over and above that which is available to individual
constituent authorities. We act as the collective voice of our
constituent authorities, providing an evidence-based regional
perspective and consensus on the priorities for roads investment.
This power would enable TfSE to act jointly with the Secretary of
State to set and vary the RIS in our area, ensuring TfSE’s aspirations
for transformational investment in road infrastructure are reflected
in the RIS and enabling an integrated approach across road and rail
investment for the first time.
Enter into agreements to undertake
certain works on Strategic Road
Network, Major Road Network or local
roads
Section 6(5) of the Highways Act 1980,
(trunk roads) & Section 8 of the
Highways Act 1980 (local roads)
We are seeking the power that local highway authorities currently
have to enter into an agreement with other highway authorities to
construct, reconstruct, alter, improve or maintain roads.
These powers, operated concurrently with the local authorities, will
enable TfSE to promote and expedite the delivery of regionally
significant cross-boundary schemes that otherwise might not be
progressed. They would overcome the need for complex ‘back-to-
back’ legal and funding agreements between neighbouring
authorities and enable us to reduce scheme development time and
overall costs.
Acquire land to enable construction,
improvement, or mitigate adverse
effects of highway construction
Sections 239,240,246 and 250 of the
This power, exercisable concurrently and only with the consent of
the relevant highway authority, would allow preparations for the
construction of a highways scheme to be expedited where highway
authorities are not in a position to acquire land.
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Highways Act 1980 Land acquisition by TfSE could facilitate quicker, more efficient
scheme delivery, bringing forward the economic and broader social
and environmental benefits. In the event that it is not possible to
prevent environmental impact on the site of the scheme or project,
consideration will be given to appropriate compensation/mitigation
measures.
Construct highways, footpaths,
bridleways
Sections 24,25 & 26 of the Highways Act
1980
The concurrent powers required to effectively promote, coordinate
and fund road schemes are vital to TfSE. Without them, we would
not be able to enter into any contractual arrangement in relation to
procuring the construction, improvement or maintenance of a
highway or the construction or improvement of a trunk road.
Granting of these powers would enable TfSE directly to expedite the
delivery of regionally significant road schemes that cross constituent
authority boundaries that otherwise might not be progressed.
Make capital grants for public transport facilities
Make capital grants for the provision of
public transport facilities
Section 56(2) of the Transport Act 1968
This concurrent power would enable TfSE to support the funding
and delivery of joint projects with constituent local authorities,
improving deliverability and efficiency.
Constituent authorities would benefit from the granting of this
concurrent power as they may, in future, be recipients of funding
from TfSE to partly or wholly fund a transport enhancement within
their local authority area.
Bus service provision
The power to secure the provision of
such public passenger transport
services as they consider it appropriate
to secure to meet any public transport
requirements within their area which
would not in their view be met apart
from any action taken by them for that
purpose.
Paragraph 4 of Section 63 Transport Act
1985
Local transport authorities and integrated transport authorities have
the power to secure the provision of such public passenger
transport services as it considers appropriate and which would not
otherwise be provided.
Travel-to-work areas do not respect local authority boundaries. TfSE
is seeking to have this power concurrently with the local transport
authorities in our area, enabling us to fill in identified gaps in bus
service provision within our geography or secure the provision of
regionally important bus services covering one or more constituent
authority areas which would not otherwise be provided.
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Quality Bus Partnerships
The Bus services Act 2017 Sections 113C
– 113O & Sections 138A – 138S
TfSE is seeking powers, currently available to local transport
authorities and integrated transport authorities, to enter into
Advanced Quality Partnerships and Enhanced Partnership Plans and
Schemes to improve the quality of bus services and facilities within
an identified area. These powers would be concurrent with the local
transport authority in the area.
This would allow us to expedite the introduction of partnership
schemes covering more than one local transport authority area
which otherwise might not be introduced.
Smart ticketing
Introduce integrated ticketing schemes
Sections 134C- 134G & Sections 135-138
Transport Act 2000
We are seeking powers concurrently with local transport authorities
to enable TfSE to procure relevant services, goods, equipment
and/or infrastructure; enter into contracts to deliver smart ticketing
and receive or give payments.
This would enable us to expedite the introduction of a cost effective
smart and integrated ticketing system on a regional scale which
would dramatically enhance the journey experience and increase
access to transport to support jobs and education.
Air quality
Establish Clean Air Zones
Sections 163-177A of the Transport Act
2000 – Road User Charging
Local transport authorities and integrated transport authorities have
the power under the Transport Act 2000 to implement road
charging schemes.
TfSE is seeking this general charging power as a mechanism for the
introduction of Clean Air Zones, enabling reduced implementation
and operating costs across constituent authority boundaries. This
will be subject to the consent of the local transport authority.
Transport is a major contributor to CO2 emissions and poor air
quality; these are increasingly critical issues which our transport
strategy will seek to address.
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Other powers
Promote or oppose Bills in Parliament
Section 239 Local Government Act 1972
Local authorities have the power to promote or oppose Bills in
Parliament; granting the power concurrently to TfSE reflects the
devolution agenda of which STBs are a key part.
Under the Transport and Works Act 1992, a body that has power to
promote or oppose bills also has the power to apply for an order to
construct or operate certain types of infrastructure including
railways and tramways.
Granting of this power would enable TfSE to promote, coordinate
and fund regionally significant infrastructure schemes, accelerating
delivery of cross-boundary schemes which might otherwise not be
progressed.
Incidental amendments
Local Government Act 1972, Localism
Act 2011, Local Government Pension
Scheme Regulations 2013
A statutory STB requires certain incidental amendments to enable it
to operate as a type of local authority, with duties in respect of
staffing, pensions, monitoring and the provision of information
about TfSE.
The incidental amendments sought are listed below in Appendix 2.
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Powers and responsibilities not being sought 5.8 Transport for the South East does not propose seeking the following functions/powers:
POWER RATIONALE
Set priorities for local authorities for
roads that are not part of the Major
Road Network (MRN)
TfSE will only be responsible for identifying priorities on
the MRN
Being responsible for any highway
maintenance responsibilities
There is no intention of TfSE becoming involved in
routine maintenance of MRN or local roads
Carry passengers by rail There are no aspirations for TfSE to become a train
operating company
Take on any consultation function
instead of an existing local authority
Local authorities are best placed to seek the views of
their residents and businesses
Give directions to a constituent authority
about the exercise of transport functions
by the authority in their area (General
Power s102P of Part 5A of the Transport
Act 2008)
Constituent authorities understand how best to deliver
their transport functions to meet the needs of their
residents and businesses
5.9 The Williams Rail Review, to which TfSE have submitted a response, could recommend
significant changes to the structure of the rail industry, including the role of STBs in both operations and infrastructure enhancement. As a result, we will keep the following functions under review pending Williams’ recommendations and subsequent White Paper.
POWER RATIONALE
Act as co-signatories to rail franchises
There are no current aspirations for TfSE to become
involved in this area. Be responsible for rail franchising
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6. Summary of support and engagement 6.1 Transport for the South East consulted on the draft proposal between 7 May 2019 and 31 July
2019. The consultation resulted in 96 responses from a wide range of stakeholders, including a number of local interest groups and members of the public.
6.2 An overwhelming number of respondents offered support for the creation of a statutory sub-national transport body in the south east. There were many, varied reasons for this support including:
Opportunity for TfSE to speak with ‘one-voice’ to identify regional priorities and influence
the investment decisions of central government and national agencies;
Greater focus on integrated transport solutions, developing multi-modal solutions that
improve the end user experience;
Offering a greater level of democratic accountability; and
The ability to accelerate delivery of long-term, strategic infrastructure schemes.
6.3 A number of amendments have been made to the final draft proposal to reflect the comments
raised by respondents to the consultation:
Greater emphasis on environmental protection, climate change and social inclusion
(sections 2 and 3);
Principle of subsidiarity and consent (para 5.6);
Governance (para 4.14); and
Bus and rail powers (section 5).
6.4 TfSE will seek consent from its constituent authorities and the final draft Proposal will be
endorsed by the Shadow Partnership Board prior to submission to Government.
6.5 The final submission to Government will include a summary of engagement activities, including a list of the organisations engaged in the process and an appendix with a number of letters of support from key organisations and businesses.
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Appendix 1: Distribution of votes
TfSE constituent authorities Population2 Number of votes3
Brighton and Hove City Council 287,173 2
East Sussex County Council 549,557 4
Hampshire County Council 1,365,103 10
Isle of Wight Council 140,264 1
Kent County Council 1,540,438 11
Medway Council 276,957 2
Portsmouth City Council 213,335 2
Southampton City Council 250,377 2
Surrey County Council 1,180,956 8
West Sussex County Council 846,888 6
Bracknell Forest Council 119,730
Reading Borough Council 162,701
Royal Borough of Windsor & Maidenhead 149,689
Slough Borough Council 147,736
West Berkshire Council 158,576
Wokingham Borough Council 163,087
Berkshire Local Transport Body (total) 901,519 6
Total 7,552,567 54
2 Population as per ONS 2016 estimates
3 Number of votes = population/140,000 (the population of constituent authority with the smallest population,
this being the Isle of Wight)
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Appendix 2: List of incidental powers sought This appendix sets out the incidental amendments that will be needed to existing legislation. They include areas relating to the operation of TfSE as a type of local authority with duties in respect of staffing, pensions, transparency, monitoring and the provision of information about TfSE. (1) Section 1 of the Local Authorities (Goods and Services) Act 1970 has effect as if TfSE were a local authority for the purposes of that section. (2) The following provisions of the Local Government Act 1972 have effect as if TfSE were a local authority for the purposes of those provisions—
(a) section 101 Arrangements for discharge of functions by local authorities (b) section 111 (subsidary power of local authorities); (c) section 113 (secondment of staff) (d) section 116 (member of TfSE not to be appointed as officer); (e) section 117 (disclosure by officers of interests in contracts); (f) section 135 (standing orders for contracts); (g) section 142(2) (provision of information); (h) section 222 (power to investigate and defend legal proceedings); (i) section 239 (power to promote or oppose a local or personal Bill).
(4) Sections 120, 121 and 123 of that Act (acquisition and disposal of land) have effect as if—
(a) TfSE were a principal council; (b) section 120(1)(b) were omitted; (c) section 121(2)(a) were omitted.
(5) Section 29 of the Localism Act 2011 (registers of interests) has effect as if—
(a) TfSE were a relevant authority, and (b) references to “the monitoring officer” were references to an officer appointed by TfSE for
the purposes of that section. (6) In the Local Government Pension Scheme Regulations 2013—
(a) in Schedule 2 (scheme employers), in Part 2 (employers able to designate employees to be in scheme), after paragraph 14 insert— “15. Transport for the South East.”; (b) in Schedule 3 (administering authorities), in the table in Part 2 (appropriate administering authorities for categories of scheme members), at the end insert—
“An employee of Transport for the South East East Sussex County Council”
(7) The Local Authorities (Arrangements for the Discharge of Functions) (England) Regulations 2012 have effect as if TfSE is a local authority within the meaning of s 101 Local Government Act 1972.
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Paper 3 Report to: Shadow Partnership Board – Transport for the South East Date of meeting: 11 December 2019 By: Governance Member Sub-Group Chair Title of report: Governance Proposals Purpose of report: To provide a progress update on the governance review and
make recommendations to the Board on the proposed approach regarding policies and procedures that should be adopted whilst in shadow form.
RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to: (1) Note the progress of the governance review, which has been led by the
member sub-group;
(2) Note the progress on the draft constitution for the statutory body;
(3) Discuss the possibility of holding an Extraordinary Shadow Partnership Board meeting in February 2020 to discuss the Proposal to Government submission;
(4) Agree the proposed approach for the scrutiny and audit and governance
committees, to be implemented once TfSE has obtained statutory status;
(5) Agree the proposed approach for the policies and procedures that TfSE will adopt and that these should be implemented whilst in shadow operation; and
(6) Agree that the remit of the member sub-group should be expanded to consider the organisational model that TfSE should adopt upon securing statutory status.
1. Introduction 1.1 The report provides an update on the governance review which has been led by a member sub-group.
1.2 The report presents the draft constitution, which would be adopted by TfSE upon becoming a statutory body. This includes proposals for a scrutiny function and a governance and audit committee. The draft constitution will evolve to reflect the operational model that TfSE chooses to adopt when it secures statutory status.
1.3 The constitution and other policies and procedures will be kept under review pending the statutory status request.
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Agenda Item 5
2. Purpose of the Governance Review 2.1 Transport for the South East was established in June 2017 and it was agreed that East Sussex County Council would act as the accountable body for TfSE during its shadow operation. During the last two years the processes and procedures for TfSE have followed those of the lead authority. 2.2 Since its inception, TfSE has operated in the spirit of openness and transparency. As it moves towards statutory status, the STB will be expected to uphold high standards of accountability and transparency. It is likely that TfSE will need to establish more formal governance arrangements and put in place measures that will also offer assurance to the Department for Transport.
2.3 The draft proposal to Government sets out a requirement for a scrutiny function to support TfSE operations. This is an expectation from Government and will be required once TfSE starts operating as a statutory body. In addition to this, we are keen to ensure that we have in place robust mechanisms for governance and audit, considering issues such as financial reporting and risk management.
2.4 In June 2019 the Shadow Partnership Board agreed that a sub-group of the Board should lead a review of the governance arrangements, test the assumptions that TfSE operates in a transparent and open manner and make suggestions for the formation of the scrutiny committee.
2.5 The sub group comprised the following members:
Cllr Tony Page, representing the Berkshire Local Transport Body
Cllr Rob Humby, Hampshire County Council
Cllr Ian Ward, Isle of Wight Council
Cllr Michael Payne, Kent County Council
Geoff French, Interim Chair of the Transport Forum
Ross McNally, Enterprise M3 LEP representing the LEPs
2.6 The group has met on two occasions and has agreed the Terms of Reference attached as Appendix 1. 3. Revised Constitution for Statutory Status 3.1 Transport for the South East adopted a constitution for operation as a shadow body in June 2017. Once TfSE becomes a statutory body it will require a revised constitution to cover its statutory functions, governance structures and operational model. 3.2 Early work has commenced on the revised constitution, which is attached as Appendix 2. This includes:
the policies and procedures that TfSE will adopt, including code of conduct, register of interests, etc;
the powers and responsibilities requested in the proposal. These will require updating once the proposal has been submitted and Government have confirmed which powers will be granted;
proposals for a scrutiny function and a governance and audit committee; and
proposals for the statutory officer functions.
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3.3 The draft constitution is not fixed and will evolve with the consent of the Board as TfSE’s powers and role become clear and also to reflect the operational model that TfSE chooses to adopt once it has statutory status. The member sub-group will continue to lead the development of the constitution and will report back to the Shadow Partnership Board. The constitution will not be adopted until the first meeting of the Partnership Board in statutory form. 3.4 The draft constitution has been circulated to the Governance Working Group, which comprises officers from legal departments in the constituent authorities, for comment prior to circulation to the Shadow Partnership Board. 3.5 The Board asked Cllr Glazier to seek assurances from the Secretary of State and Minister for Transport regarding the submission of TfSE’s Proposal to Government and if it would be received well by them and the DfT. Cllr Glazier did meet with George Freeman MP, the Minister for Transport and received an encouraging letter attached as Appendix 3. 3.6 Once the General Election has taken place on 12 December and the subsequent Cabinet appointments have been made, Cllr Glazier will seek to meet with the Secretary of State and the Minister for Transport again to outline TfSE’s request and if this would be satisfactory. 3.7 The member sub-group have arranged to meet again on 10 January 2020 to discuss the outcome of the General Election, next steps for TfSE in submitting the Proposal to Government and any early indications received from the Ministers and Department in order to shape their advice to the Shadow Partnership Board. 3.8 The next Shadow Partnership Board is not scheduled to take place until 23 April 2020 however, the member sub-group are recommending that the Shadow Partnership Board discuss the possibility of holding an extraordinary shadow partnership board meeting in February (or once any ministerial meetings have taken place) to discuss the Proposal to Government submission. 4. Scrutiny Function 4.1 DfT have stated that TfSE will be required to have a scrutiny function as part of its proposal for statutory status. The draft proposal outlines that a scrutiny committee will review decisions made or actions taken in connection with the implementation of the proposed powers and responsibilities. 4.2 The committee could also make reports or recommendations to TfSE with respect to the discharge of its functions or on matters relating to transport to, from or within TfSE’s area. 4.3 The member sub-group has recommended that membership of the Scrutiny Committee will be 5 Members drawn from the Constituent Authorities on a rotational basis, with 3 of the places rotating in May each year to ensure a level of continuity of membership. When a Constituent Authority has an allocated place for the year ahead that authority shall be entitled to appoint one Member and one Substitute Member to the Scrutiny Committee. 4.4 The term of office for members of the Scrutiny Committee will be one year from the date of the annual council meeting of the Constituent Authority that appoints them to the Scrutiny Committee.
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4.5 It is proposed that the Partnership Board can co-opt individuals to participate in the scrutiny arrangements from all or any of the associated authorities or from such other organisations as TfSE may decide. Unless TfSE decides otherwise, such Co-opted Scrutiny Members shall be non-voting members. Where a person is co-opted onto the Scrutiny Committee these will be in addition to the 5 places allocated to Members appointed from the Constituent Authorities. 5. Governance and Audit Committee 5.1 It is proposed that TfSE should also establish a Governance and Audit Committee, which will provide assurance to members on governance, risk management and control frameworks. The proposed committee will be responsible for overseeing financial reporting, the Annual Report and risk management to ensure effective and efficient assurance arrangements are in place. 5.2 It is recommended that the membership of the committee comprises:
a) four members of TfSE (not the Chair, or Vice Chair) appointed by TfSE; and,
b) an Independent member (to be recruited on the basis of relevant skills); 5.3 A representative of the DfT will be invited to attend meetings. 6. Policies and Procedures 6.1 The member sub-group has also considered a number of policies and processes that will apply to TfSE once it becomes a statutory body. It is proposed that these are adopted whilst in shadow form.
a) Code of Conduct 6.2 TfSE is not required to adopt its own Code of Conduct for Members. In representing their Constituent Authority each Member will be acting as a Member of the Authority and will be expected to comply with the provisions of their own Code of Conduct. 6.3 Those members not appointed from a constituent authority, such as Local Enterprise Partnerships, National Parks and protected landscapes and district and borough authorities, will also be expected to comply with the provisions of their own Code of Conduct. 6.4 The Interim Chair of the Transport Forum will be expected to comply with the Code of Conduct for the lead authority, East Sussex County Council. 6.5 TfSE officers will be bound by the East Sussex County Council Code of Conduct for officers.
b) Register of Interests 6.6 It is proposed that TfSE should maintain a Register of Member’s interests and to ensure that it is available for inspection and published on TfSE’s website. 6.7 If agreed, Members of TfSE must notify TfSE’s secretariat in writing of the details of their disclosable pecuniary interests arising in respect of the TfSE area (including, where required, interests of their partner) and their personal interests. Where a Member of TfSE is present at a meeting and has a disclosable pecuniary interest or, an interest that would be a personal interest under the provisions of the Code in any matter to be considered at the meeting, they must disclose the interest to the meeting.
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6.8 Where a member of TfSE has a disclosable pecuniary interest or an interest that under the provisions of the Code would be a prejudicial interest in any matter being considered at a meeting, they must not participate or vote on the matter and must withdraw from the room of the meeting while the matter is being considered.
c) Other policies 6.9 The draft constitution sets out the proposed approach for a range of other policies, including whistleblowing policy, anti-fraud and corruption policy and statutory officer functions and scheme of delegations. 7. Operational Model 7.1 TfSE will need to give consideration to the operational model that it will adopt once it has statutory status. This should consider the opportunities and challenges associated with different models, such as an accountable body, company limited by guarantee, etc. This is likely to require specialist advice to ensure all issues are considered. 7.2 It is proposed that the remit of the member sub-group should expand to lead this work and produce a brief that will be used to bring in consultants to produce a report for consideration by members on the various options. 8. Conclusion 8.1 Members of the Shadow Partnership Board are recommended to note the progress of the governance review and the revised constitution. 8.2 Members are recommended to discuss the possibility of holding an extraordinary Shadow Partnership Board meeting in February 2020 once any Ministerial meetings have occurred. 8.3 Members of the Shadow Partnership Board are recommended to agree that the remit of the member sub-group should be expanded to include a review of the possible operational models that TfSE could adopt as a statutory body. 8.4 Members of the Shadow Partnership Board are also recommended to agree to the proposed approach to the scrutiny and the audit and governance committees. In addition to this, Board members are asked to agree that the policies and procedures highlighted in the draft constitution be adopted during shadow operation to ensure that TfSE is upholding the highest standards of accountability and transparency. COUNCILLOR TONY PAGE Chair Governance Member Sub-Group
Contact Officer: Rachel Ford Tel. No. 07763 579818 Email: [email protected]
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Appendix 1:
Governance sub-group Terms of Reference
The governance sub-group is part of Transport for the South East (TfSE), reporting into the Shadow Partnership Board. The governance sub-group has a clearly defined remit and purpose. Purpose The purpose of the governance sub-group is to consider a number of issues relating to the governance structures and policies for the operation of Transport for the South East as it moves towards statutory status. This will include making recommendations to the Board on a revised constitution, the relevant sub-committees and the policies that members will be required to adopt. The sub-group will be expected to report back to the Shadow Partnership Board in December 2019. The Shadow Partnership Board will be expected to consider the proposals, with a view to implementing any changes in the governance structures in 2020. Objectives of the Governance sub-group The objectives of the sub-group are to:
Recommend the policies and procedural arrangements for Transport for the South East
that will apply to Board members, such a register of interests and the use of the
accountable body policies;
Make recommendations on the statutory officer roles required for operation as a
statutory body;
Propose a draft constitution for the operation of Transport for the South East as a
statutory body;
Consider and make recommendations in relation to the requirement for a Governance and
Audit Committee; and develop proposed terms of reference and membership for such a
group as necessary;
Consider the possible structures and role for a Scrutiny Committee and develop proposed
Terms of Reference and methodology to select membership.
Accountability The governance sub-committee will report to the Shadow Partnership Board.
Appointment of Chair
The governance sub-group will be chaired by an elected member from a constituent authority
represented on the Shadow Partnership Board.
Membership
Cllr Tony Page, Berkshire Local Transport Body
Geoff French, Chair of the Transport Forum
Cllr Ian Ward, Isle of Wight Council
Cllr Michael Payne, Kent County Council
Cllr Rob Humby, Hampshire County Council
Ross McNally, Enterprise M3 Local Enterprise Partnership Page 53
Appendix 1
Frequency of Meetings
The governance sub-group will meet on a monthly basis from September – December 2019. Further meetings will be determined following the Board meeting in December 2019
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Appendix 2
Constitution
As agreed by Transport for the South East on
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Appendix 2
Page 2 of 80
CONTENTS
PART 1 Introduction and Articles PAGE
1 Definitions 5
2 Members of TfSE 6
3 Chairing TfSE 6
4 Meetings and Procedure 6
5 Voting Arrangements 7
6 Financial Contributions 7
7 Committees of TfSE 8
8 Co-opted Members 8
9 Joint and Partnership Arrangements 8
10 Officers 9
11 General 9
12 Decision Making 9
13 Finance, Contracts and Legal Matters 10
14 Review and Revision of the Constitution 10
PART 2 Functions conferred on TFSE pursuant to the Order 11
15 Role and Powers of TFSE 11
16 Duties and Functions under other Legislation 13
17 Protocol on the Exercise of TfSE’s Functions 14
18 Exercise of Concurrent Powers and Functions 15
PART 3 Responsibility for Functions 16
19 Functions Reserved to TfSE 16
20 Scheme of Delegations to Officers 16
PART 4 Committees 22
21 Audit and Governance Committee 22
22 Scrutiny Arrangements 24
PART 5 Procedure Rules 29
23 Procedure Rules 29
PART 6 Financial Procedures 39
24 Financial Regulations 39
25 Contract Procurement Rules 45
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SECTION A CODE OF CONDUCT FOR MEMBERS 46
PART 1 General Provisions 46
26 General Provisions 46
PART 2 Disclosable Pecuniary Interests 46
27 Notification of disclosable pecuniary interests 46
SECTION B CODE OF CONDUCT FOR OFFICERS 49
28 Standards 49
29 Open Government 49
30 Equal Opportunity Issues 49
31 Appointments 49
32 Political Neutrality and Working with Elected Members 49
33 Service Provision 49
34 TfSE Property and Use of Facilities 50
35 Information Technology and Data Security 50
36 Indemnification of Employees 50
37 The Media 50
38 Contracts and Contractors 50
39 Sponsorship 50
40 Hospitality and Gifts 50
41 Personal Interests: Financial and Non-Financial 51
SECTION C MEMBER / OFFICER RELATIONS PROTOCOL 52
42 Introduction and Principles 52
43 General Points 52
44 Officer Support to Members: General Points 53
45 Officer Advice to Party Groups 54
46 Attendance at Party Political Group Meetings 54
47 Members’ Access to Information and to Authority Documents 55
48 Correspondence 55
49 Publicity and Press Releases 55
50 Officer / Member Protocol 56
SECTION D CODE OF CORPORATE GOVERNANCE 57
51 Introduction 57
SECTION E ANTI FRAUD & CORRUPTION POLICY 61
SECTION F WHISTLEBLOWING POLICY 61
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APPENDICES
Appendix 1: Distribution of Votes 64
Appendix 2: Financial Contributions 65
Appendix 3: Governance Framework 66
Appendix4: Protocol on the Exercise of Concurrent Functions 73
Appendix 5: The Schedule of Approvals 75
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PART 1 INTRODUCTION AND ARTICLES
1. Definitions
1.1 In this Constitution:
1.2 “TfSE” means Transport for the South East;
1.3 “The TfSE Area” means the area consisting of all the areas of the Constituent
Authorities;
1.4 “The Constituent Authorities” are the local transport authorities situated wholly or partly in the
South East region of England, namely:
Brighton and Hove City Council
East Sussex County Council
Hampshire County Council
Isle of Wight Council
Kent County Council
Medway Council
Portsmouth City Council
Southampton City Council
Surrey County Council
West Sussex County Council
&
Bracknell Forest Council )
Reading Borough Council )
Slough Borough Council ) Represented by the Berkshire Local
West Berkshire Council ) Transport Body Partnership
Royal Borough of ) (BLTB)
Windsor and Maidenhead )
Wokingham Borough Council )
1.5 Statutory Partner means TfSE’s role as a Statutory Partner to the Secretary of State This
role includes representing the views of the region, determining the South East’s objectives
for investment and working with the Secretary of State to enable the South East’s priorities
to be included within national priorities.
1.6 Transport Strategy means a transport strategy within the meaning of Section 102I of the
Local Transport Act 2008 and includes all investment and delivery plans.
1.7 This Constitution sets out how Transport for the South East (hereafter referred to as
‘TfSE’) operates, how decisions are made and the procedures that are followed to
ensure that TfSE operates efficiently, effectively and is both transparent and accountable.
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2. Members of TfSE
2.1 Each Constituent Authority with the exception of those set out in paragraph 2.2, will appoint one
person as a member of TfSE and shall be entitled to one vote. The person appointed shall be
that organisations’ elected mayor, chair, leader, committee or cabinet member for transport.
2.2 Bracknell Forest Council, Reading Borough Council, Slough Borough Council, West Berkshire
Council, the Royal Borough of Windsor and Maidenhead and Wokingham Borough Council,
who are Constituent Authorities and through their Joint Committee Berkshire Local Transport
Body (BLTB), will appoint one person as a member of TfSE, and Councils shall therefore be
entitled to one vote between them. The person appointed shall be an elected mayor, chair,
leader, committee or cabinet member from one of the 6 authorities.
2.3 The Constituent Authorities will appoint, another of their Councillors as a substitute to act as a
member of the TfSE in the absence of the person appointed. Such appointments will reflect the
levels of representation set out in paragraphs 2.1 and 2.2 above.
2.4 All Members will:
a) Collectively be the ultimate policy makers of TfSE;
b) Bring the views of their communities into TfSE’s decision making process;
c) Maintain the highest standards of conduct and ethics;
d) In carrying out the business of TfSE, will observe the Code of Conduct for
Members adopted by their appointing Authority.
2.5 As a point of clarification a member of TfSE shall not be considered to have an
interest in any matter of business of TfSE by virtue of being a Member of a
Constituent Authority.
2.6 Unless otherwise stated, references to Members will include Co-opted Members
appointed in accordance with paragraph 8
3. Chairing TfSE
3.1 TfSE must appoint a Chair of TfSE and any Vice Chair from among the Members and Co-opted
members of TfSE.
3.2 The process for the appointment of the Chair and any Vice-Chair is set out in the TfSE Procedure
Rules in Part 5 of this Constitution.
3.3 In the absence of the Chair the Vice-Chair will Chair the meeting.
3.4 In the event of a tied vote, the Chair will have a casting vote.
4. Meetings and Procedure
4.1 TfSE will meet at least four times per year but additional meetings may take place should the need
arise.
4.2 There are three types of meeting of TfSE:
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a) The Annual Meeting;
b) Ordinary meetings; and
c) Extraordinary meetings.
4.3 These will be conducted in accordance with the Procedure Rules set out in Part 5 of
this Constitution.
4.4 All Members will be entitled to attend meetings of TfSE, and if they are unable to
attend, their nominated Substitute Member may attend in their place but
attendance shall be in person.
4.5 A representative of the Secretary of State shall be entitled to attend meetings of TfSE in the role
of an observer. They will be entitled to speak when invited to do so but shall have no vote.
4.6 Only TfSE at the Annual Meeting, an Ordinary Meeting or an Extraordinary Meeting, will exercise
the functions set out in Part 5 of this Constitution.
4.7 TfSE will act as if a Local Authority for the purposes of Section 101 of Local Government Act
1972 and has power to delegate the discharge of TfSE’s functions which are not reserved to
TfSE to committees, sub-committees, officers, joint committees or other local authorities,
pursuant to section 101 of the Local Government Act 1972.
4.8 TfSE has delegated authority for the discharge of TfSE’s functions which are not reserved to
TfSE to committees and officers in accordance with the scheme of delegation contained in
Part 3, of this Constitution.
5. Voting Arrangements
5.1 TfSE will endeavor to reach decisions by consensus. However, where a formal
decision is required, voting will be on the basis of a weighted vote in which the number of votes to
be cast by a member appointed by a Constituent Authority is determined by dividing the total
resident population of the area of that Constituent Authority set out in the 2016 ONS estimates
(Appendix 1) by 140,000 and if the resulting number is not a whole number rounding it up to the
nearest whole number.
5.2 Decisions on the following matters:
a) the approval or revision of the Transport Strategy
b) the approval of the Annual Budget, and
c) the adoption of and any changes to the Constitution.
may be decided only if agreed by both:
a) the members who together hold at least 75% of the vote in a weighted vote, and
b) a simple majority of the members present and voting
5.3 In the Scrutiny Committee and the Audit and Governance Committee voting shall be
on the basis of one member one vote.
6. Financial Contributions
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6.1 TfSE is currently funded by grant from the Department for Transport and although future funding
decisions will remain the responsibility of the Government at the time, establishing TfSE as a
Statutory Body ensures it has the stability and permanence to be confident of long term central
Government support.
6.2 TfSE shall be entitled to accept voluntary contributions towards its costs from any of the
Constituent Authorities.
6.3 The Constituent Authorities may all be required to contribute to the reasonably
incurred costs of TfSE but a decision to require such contributions and a decision as to the
amount of such contributions shall require a unanimous decision of the Constituent Authorities.
6.4 Unless unanimously agreed otherwise, the apportionment of any financial contributions should
be determined on the type of authority in accordance with Appendix 2.
7. Committees of TfSE
7.1 TfSE will establish an Audit and Governance Committee to discharge the roles and functions set
out in Part 4 of this Constitution.
7.2 TfSE will establish a Scrutiny Committee to discharge the function of scrutiny as set out in Part 4 of
this Constitution.
7.3 TfSE may establish such other committees as it thinks fit to discharge its functions.
7.4 The governance framework is attached as Appendix 3 which provides more details.
8. Co-opted Members
8.1 TfSE may appoint any person not being an elected Member of one of the Constituent Authorities
as a non-voting Co-opted Member of TfSE. No person may be appointed as a Co-opted Member
unless all the voting Members of TfSE agree to do so.
8.2 A person co-opted to be a Member of TfSE as the representative of an organisation invited to
appoint a representative to TfSE shall cease to be a Co-opted Member of TfSE if they cease to
be a member of the organisation they represent.
8.3 Independent members appointed by TfSE to sit on the Audit and Governance Committee shall
be co-opted as members of the Audit and Governance Committee only and not of TfSE.
8.4 The provisions relating to Co-opted Members are set out fully in Part 5 Procedure Rules
8.5 Pursuant to section 102G (5) of the Local Transport Act 2008 TfSE may resolve that Co-opted
Members shall be entitled to vote.
8.6 TfSE may also exercise this power to give ordinary voting rights of one member one vote to the
Members co-opted to sit on the Scrutiny Committee and the Independent Members co-opted to sit
on the Audit and Governance Committee.
9. Joint and Partnership Arrangements
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9.1 TfSE has power pursuant to Section 101(5) of the Local Government Act 1972 to make
arrangements with other local authorities to discharge their functions jointly. Such
arrangements may involve the discharge of those functions by a joint committee of such
authorities or by an officer of one of them.
10. Officers 10.1 Statutory Officers
10.1.1 TfSE shall appoint a Chief Officer, a Finance Director and a Monitoring Officer, whose
responsibilities and delegations are as set out in Part 3, of this Constitution.
11. General
11.1 TfSE may engage such staff (referred to as officers), as it considers necessary to carry out its
functions.
11.2 Officers will comply with the Code of Conduct for Officers set out in this Constitution.
12. Decision Making
12.1 Responsibility for decision making
12.1.1 TfSE will issue and keep up to date a record of what part of TfSE or which individual has
responsibility for particular types of decisions or decisions relating to particular functions.
This record is set out in Part 3 of this Constitution.
12.2 Principles of decision making
12.2.1 All decisions of TfSE should be made in accordance with the following principles:
a) Proportionality (meaning the action must be proportionate to the results to
be achieved);
b) Due consultation (including the taking of relevant professional advice);
c) Respect for human rights, equality and diversity;
d) Presumption in favour of openness;
e) Clarity of aims and desired outcomes;
f) Due consideration to be given to alternative options
g) Due consideration to be given to constitutional requirements/adherence on
the statutory/legal frameworks.
12.3 Types of decision
12.3.1 Decisions reserved to TfSE
12.3.1.1 Decisions relating to the functions listed in Part 3, of this Constitution will be made
by TfSE and not delegated. Meetings of TfSE will follow the Rules of Procedure set out in
Part 5, of this Constitution when considering any matter.
12.3.2 Decision making by Committees and Joint Committees established by TfSE
12.3.2.1 Committees and Joint Committees established by TfSE will follow those parts of the Rules of
Procedure set out in Part 5, of this Constitution as apply to them.
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12.3.3 Decision making by Officers
12.3.3.1 Officers will exercise their delegated authority in accordance with the Scheme of Delegation to
Officers set out in Part 3, of this Constitution and other provisions of this Constitution and shall
keep appropriate records of the decisions that they have made
13. Finance, Contracts and Legal Matters
13.1 Financial Management
13.1.1 The management of TfSE’s financial affairs will be conducted in accordance with the Financial
Procedures set out in Part 6 of this Constitution.
13.2 Legal proceedings
13.2.1 The Monitoring Officer is authorised to institute, defend or participate in any legal
proceedings in any case where the Monitoring Officer considers that such action is
necessary to protect the interests of TfSE.
13.2.2 Any notices to be served on TfSE are to be sent to the Monitoring Officer at ESCC, County Hall,
St Annes Crescent, Lewes, East Sussex BN7 1UE, which for the purposes of any enactment
shall be regarded as the principal office of TfSE
13.3 Authentication of documents
13.3.1 Where any document is necessary to any legal procedure or proceedings on behalf
of TfSE, it will be signed by the Monitoring Officer or some other person duly
authorised by TfSE or the Monitoring Officer, unless any enactment otherwise
authorises or requires.
13.3.2 Any contract with a value exceeding £30,000 entered into by TfSE shall be made in
writing. Such contracts must be signed by two duly authorised officers of TfSE or made
under the Common Seal of TfSE attested by two authorised officers. Any contract with a
value exceeding £75,000 must be made under the Common Seal of TfSE attested by two
authorised officers.
13.4 Common Seal of TfSE
13.4.1 The Common Seal of TfSE will be kept in a safe place in the custody of the Monitoring Officer. A
decision of TfSE, or any part of it, will be sufficient authority for sealing any document necessary
to give effect to the decision. The Common Seal will be affixed to those documents which in the
opinion of the Monitoring Officer should be sealed. The affixing of the Common Seal will be
attested by the Monitoring Officer or some other person authorised by the Monitoring Officer and
another authorised officer.
14. Review and Revision of the Constitution
14.1 The Monitoring Officer will monitor and review the operation of the Constitution as
required
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14.2 Changes to the Constitution will only be approved by TfSE after consideration of the proposal
by the Monitoring Officer and in accordance with the Rules of Procedure in Part 5, of this
Constitution
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PART 2 FUNCTIONS CONFERRED ON TfSE PURSUANT TO THE ORDER
15. Role and Powers of TfSE
15.1 TfSE has been established to provide a single voice for the South East, to facilitate the
development and implementation of transport strategies in the South East and with the
objective that economic growth in the area would be enhanced by the development and
implementation of these strategies. The strategy will also ensure that due regard is given
to social and environmental considerations.
15.2 TfSE is established under section 102 E of the Local Transport Act 2008 and pursuant to
an Order as the Sub-National Transport Body for the TfSE Area with the power to
exercise the following functions:
15.3 General Functions
a) To prepare a Transport Strategy for the TfSE Area in accordance with section
102I of the Local Transport Act 2008;
b) To provide advice to the Secretary of State about the exercise of the transport
functions in the TfSE Area;
c) To co-ordinate the carrying out of transport functions that are exercisable
by its different Constituent Authorities with a view to improving the
effectiveness and efficiency of the carrying out of those functions with the
consent of those authorities;
d) If TfSE considers that a transport function in relation to its area would more
effectively and efficiently be carried out by TfSE, to make proposals to the
Secretary of State for the transfer of that function to TfSE;
e) To make other proposals to the Secretary of State about the role and functions
of TfSE.
15.4 Capital Grants exercisable concurrently with the Constituent Authorities
a) To pay Capital Grants under section 56(2) of the Transport Act 1968
15.5 Ticketing Schemes exercisable concurrently with the Constituent Authorities
a) To make an advanced ticketing scheme under section 134C (1) of the
Transport Act 2000;
b) To make other ticketing schemes under section 135(1) of the Transport Act
2000;
c) (Sections 134C (9) to (11),134D to 134G, 135(7) and (8) and sections 136 and
137 are applicable in connection with such ticketing schemes).
15.6 Rail Franchise Agreements exercisable concurrently with the Constituent
Authorities
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a) The right under section 13 of the Railways Act 2005 to be consulted over the
grant of a rail franchise agreement for passenger services within, to and from
the TfSE Area and the right to enter into arrangements with the Secretary of
State relating to the management of rail franchise agreements.
b) The right to set HLOS, which would enable TfSE to act jointly with the
Secretary of State to set and vary the HLOS in our area, ensuring TfSE’s
aspirations for transformational investment in rail infrastructure are reflected
in the HLOS and enabling an integrated approach across road and rail
investment for the first time.
15.7 Highway Functions exercisable jointly with the Secretary of State
15.7.1 To enter into agreements with local authorities under section 6(5) of the Highways
Act 1980 for the construction or improvement of a trunk road.
15.7.2 Functions relating to environmental impact assessments under sections 105A to 105C
of the Highways Act 1980.
15.7.3 Functions under 239, 240, 246 and 250 Highways Act 1980 in relation to the acquisition of
land and rights over land.
15.8 Highway Functions exercisable concurrently with local authorities by which the
functions are exercised within TfSE
15.8.1 To enter into agreements under section 8(1) of the Highways Act 1980 with highway
authorities and third parties for the construction, improvement or maintenance of a
highway other than a trunk road.
15.8.2 To construct new highways under section 24(2) of the Highways Act 1980.
15.8.3 To acquire land by agreement or compulsorily under sections 239 (1), (3), (4) + (5), 240
(1), (2) + (6), 246 (1), (2), (2A) + (5) and 250 (1) + (2) of the Highways Act 1980 in relation
to the creation and improvement of highways.
15.8.4 To enter into agreements for the creation of new footpaths under section 25 of the
Highways Act 1980 and to create new footpaths compulsorily under section 26 of that Act.
15.8.5 Under the provisions of Regulation 14 of the Order, TfSE may not exercise the function
in section 24(2) of the Highways Act 1980 unless the manner in which it proposes to
exercise the function has been approved by:
a) Each Council through whose area the road is to pass;
b) The authority which is to be the highway authority for the road;
c) The highway authority for any highway with which the new road will
communicate, and;
d) The Secretary of State.
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15.8.6 Under the provisions of Regulation 15 of the Order, TfSE may not exercise any of the other
concurrent highway functions unless the manner in which it proposes to exercise the
function has been approved by the local highway authority for the area affected.
15.9 Bus Service Provision
15.9.1 The power to secure the provision of such public passenger transport services as they
consider it appropriate to secure to meet any public transport requirements within their
area which would not in their view be met apart from any action taken by them for that
purpose (Section 63 (4), Transport Act 1985).
15.9.2 TfSE is seeking powers, currently available to local transport authorities and integrated
transport authorities, to enter into Advanced Quality Partnerships and Enhanced
Partnership Plans and Schemes to improve the quality of bus services and facilities within
an identified area. These powers would be concurrent with the local transport authority in
the area (Sections 113C – 113O & Sections 138A – 138S Bus Services Act 2017).
15.10 Establish Clean Air Zones
15.10.1 TfSE will utilise this general charging power as a mechanism for the introduction of Clean
Air Zones, enabling reduced implementation and operating costs across constituent
authority boundaries. This will be subject to the consent of the local transport authority
(Sections 163-177A The Transport Act 2000 – Road User Charging).
15.11 Other Powers
15.11.1 TfSE will act as a Statutory Partner to the Secretary of State in both road and rail
investment processes and will be responsible for setting the objectives and priorities for
strategic road and rail investment in the TfSE Area.
15.11.2 TfSE will exercise its powers and duties in accordance with the law and this Constitution.
15.11.3 This Constitution, and all its Appendices, is the Constitution of TfSE.
16. Duties and Functions under other Legislation
16.1 TfSE shall have such other powers and duties as are conferred on a Sub-National
Transport Body by any enactment without prejudice to the generality of the above.
16.2 Pursuant to the Regulations and to Schedule 5 of the Cities and Local Government
Devolution Act 2016 the following provisions have effect as if TfSE were a local authority
for the purposes of these provisions:
a) Part 5A of the Local Government Act 1972 (access to meetings and
documents);
b) Section 101 of the Local Government Act 1972 (arrangements for the
discharge of functions);
c) Section 113 of the Local Government Act 1972 (secondment of staff);
d) Section 116 Local Government Act 1972 (Members of TfSE not to be
appointed as officers);
e) Section 117 of the Local Government Act 1972 (disclosure by officers of
interests in contracts);
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f) Sections 120-123) of the Local Government Act 1972 (acquisition and disposal
of land);
g) Section 135 of the Local Government Act 1972 (standing orders for contracts);
h) Section 142 (2) of the Local Government Act 1972(provision of information);
i) Section 222 of the Local Government Act 1972(power to instigate and defend
legal proceedings);
j) Sections 72 and 73 of the Local Government Act 1985 (the establishment of a
general fund and the appointment of a designated officer responsible for the
proper management of financial affairs);
k) Sections 4 and 5 of the Local Government and Housing Act 1989
(appointment of the Head of Paid Service and Monitoring Officer);
l) Section 7 of the Local Government and Housing Act 1989 (staff to be
appointed on merit);
m) Section 13 of the Local Government and Housing Act 1989 (voting rights of
Members on certain committees);
n) Section 1 of the Local Government Act 1999 (a Best Value Authority);
o) The Freedom of Information Act 2000 (the duty to publish a Publication
Scheme and to respond to FOI requests for information);
p) The Equality Act 2010 (including the Public Sector Equality Duty);
q) Section 29 of the Localism Act 2011 (register of Members Interests);
r) Section 40 of the Local Audit and Accountability Act 2014 (Duty to allow the
recording/filming of public meetings).
16.3 Pursuant to Section 102 M of the Local Transport Act 2008 the power to do anything:
a) It considers appropriate for the purpose of carrying out its functions;
b) It considers appropriate for purposes incidental to its functional purposes
c) It considers connected with its functions or anything it may do under(a) or (b);
and
d) Commercially, anything which it can do under (a) to (c) above
16.4 TfSE may not borrow money and may not charge for anything that it does otherwise than
for a commercial purpose.
16.5 Where TfSE does anything for a commercial purpose it must do it through a company within the
meaning of section1 (1) the Companies Act 2006 or a registered society within the meaning of the
Co-operative and Community Benefit Societies Act 2014.
16.6 TfSE is a public body for the purposes of Section 1 of the Local Authorities (Goods and Services)
Act 1970.
16.7 TfSE is treated as a Local Authority for the purposes of section 9(5) of the Transport Act 1968.
17. Protocol on the Exercise of TfSE’s Functions
17.1 TfSE will consult with the Senior Officer Group (which will be a group of officers with each
Constituent Authority or co-opted member entitled to appoint one officer as a member) over the
Governance Arrangements to be put in place for each major programme of work. A major
programme of work shall be one for which TfSE employs an identified Director or Lead Officer. The
governance arrangements will ensure that the Constituent Authorities, other Authorities and
stakeholders are involved in the formulation of plans and future proposals and given appropriate
opportunities to express their views and for these to be taken into account.
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17.2 The Governance Arrangements for each approved programme will include an
Officers Working Group to be made up of appropriately qualified officers of each of the
Constituent Authorities or where appropriate Highway and other Authorities. The Terms of
Reference and Membership of each Officers Working Group will be set out in the Governance
Arrangements for each programme and will provide the officers of the Constituent and other
Authorities with an opportunity to work closely with TfSE officers and the delivery agencies in
the development of plans and proposals.
18. Exercise of Concurrent Powers and Functions
18.1 Before exercising any transport functions which it holds concurrently with the
Constituent Authorities TfSE must consult and obtain consent from any Transport Authority
whose area is affected by the proposal over the exercise of the functions. Where the nature
and extent of the proposal make it appropriate, will enter into a Protocol (set out in Appendix 4)
to govern the exercise of its powers and functions in relation to that proposal and its future
development.
18.2 TfSE will only exercise the functions it holds concurrently with the Local Highway Authorities after it
has first obtained consent to the exercise of those from the affected Local Highway Authorities.
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PART 3 RESPONSIBILITY FOR FUNCTIONS
19. Functions Reserved to TfSE
19.1 TfSE will not delegate the following functions:
a) Adopting and changing the Constitution;
b) The adoption, approval, amendment, modification, revision, variation,
withdrawal or revocation of a Transport Strategy under section 102H of the
Local Transport Act 2008;
c) The approval of the business plan and budget;
d) The approval of the report of the Chief Officer setting out proposals for
the co-ordination of TfSE’s functions, the numbers and grades of staff required
and the organization appointment and management of staff;
e) The determination of collective terms and conditions of staff.
f) The designation of officers as the Head of Paid Service Monitoring Officer
and Finance Director
g) The approval of payments to officers in excess of £150,000.
20. Scheme of Delegations to Officers
20.1 Introduction
20.1.1 This Scheme of Delegations to Officers and the appointment of Proper Officers for
various functions has been prepared in accordance with section 101 of the Local Government
Act 1972, which enables TfSE to delegate any of its functions to its officers. TfSE is also required
by section 100G of this Act to maintain a list for public inspection specifying those powers of
TfSE which, for the time being, are exercisable from time to time by officers of TfSE, and stating
the title of the officer in question by whom the powers are exercisable.
20.1.2 Senior Officers in the context of this document mean the Chief Officer, the Finance
Director, and the Monitoring Officer.
20.1.3 The delegated powers of Senior Officers set out in this Scheme may be exercised by
other officers authorised by the Senior Officer with the delegated power to act on their
behalf and in their name, provided that administrative procedures are in place to record
the authorisation and monitor decisions taken.
20.1.4 The exercise of delegated powers by officers is required to be in accordance with:
20.1.4.1 Statute or other legal requirements, including the principles of public law, the Human Rights Act
1998, statutory guidance and statutory codes of practice;
20.1.4.2 The Constitution and TfSE’s Rules of Procedure and Financial Regulations currently in force;
20.1.4.3 The revenue and capital budgets of TfSE, subject to any variation thereof which is permitted by
TfSE’s Financial Regulations; and
20.1.5 Any policy or direction of TfSE, any Committee acting in exercise of powers delegated to that
Committee by TfSE.
20.1.6 Officers may not exercise delegated powers where:
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a) The matter is reserved to TfSE by law or by TfSE’s Constitution;
b) The matter is a function which cannot by law be discharged by an officer;
c) TfSE, or a Committee, Sub-Committee or Joint Committee to which TfSE is a
party, has determined that the matter should be discharged otherwise than by
an officer;
d) The Chief Officer has directed that the officer concerned should not exercise a
delegated function in special circumstances.
20.1.7 Any reference in this Scheme of Delegation to any enactment shall include a reference to any
amendment or re-enactment of the same.
20.1.8 Where, in relation to an item before TfSE or a Committee, a Chief Officer is given specific
authority to determine a particular matter, the officer should ensure that there is an appropriate
audit trail to evidence such determination.
20.2 Delegations to the Chief Officer
20.2.1 To discharge the functions of the Head of Paid Service in relation to TfSE as set out in Section 4 of
the Local Government and Housing Act 1989. The duties of the Chief Officer are to report to TfSE
where appropriate setting out proposals with respect to the co-ordination of TfSE’s functions, the
number and grades of staff required and the organisation, appointment and proper management of
TfSE’s staff.
20.2.2 To establish and determine the grading of posts (within approved budgets).
20.2.3 To discharge any function which is neither the statutory responsibility of nor been specifically
delegated to another officer, Committee or reserved to TfSE under Part 3 of this
Constitution.
20.2.4 To direct any officer not to exercise a delegated function in special circumstances unless they are
required to do so by law
20.2.5 Take any action which is required as a matter of urgency in the interests of TfSE, in consultation
(where practicable) with the Chair of TfSE. Where action is taken as a matter of urgency a report
shall be submitted to the next meeting of TfSE.
20.2.6 Take preliminary steps to protect the rights and interests of TfSE subject to consultation with the
Chair of TfSE in relation to any Bill or Statutory Instrument or Order in Parliament.
20.2.7 To conduct before either House of Parliament any proceedings (including the retention of
Parliamentary Agents and Counsel) connected with the passage of any Private Bill which TfSE
has resolved to promote or oppose, including the negotiation and agreement of amendments to
any such Bill, and the negotiation and approval of any terms, agreement or undertaking offered in
consideration of TfSE not opposing any Private Bill.
20.2.8 Nominate, appoint and remove, in consultation with the Chair or Vice- Chair of TfSE, TfSE
representatives on the board of companies, trusts and other bodies, of which TfSE is a member,
and to agree constitutional arrangements for such companies, trusts and other bodies and give any
necessary consent required within relevant constitutions.
20.2.9 To nominate an officer to act as the Responsible Officer for TfSE projects who will act as the
main point of contact for the Department for Transport in accordance with the Partnership
Agreement.
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20.2.10 To provide a comprehensive policy advice service to TfSE and in particular to advise on TfSE’s
plans and strategies.
20.2.11 Control and co-ordinate press and media relations, the organisation of press conferences,
publicity and public relations within prescribed policy including approval of the issue of all official
TfSE publicity and official publications.
20.3 Delegations to the Finance Director
20.3.1 As proper Officer under section 73, of the Local Government Act 1985, to effect the proper
administration of TfSE’s financial affairs particularly in relation to financial advice, procedures,
records and accounting systems, internal audit and financial control generally.
20.3.2 The taking of all actions requiring investment and financing, subject to the submission to TfSE of
an annual report of the Finance Director on treasury management activities and at six monthly
intervals in accordance with CIPFA’s Code of Practice for Treasury Management and Prudential
Codes.
20.3.3 To affect all insurance cover required in connection with the business of TfSE and to settle all
claims under such insurances arranged for TfSE’s benefit.
20.3.4 The preparation of manuals of financial and accounting procedures to be followed by Officers of
TFSE.
20.3.5 To bid for and accept grant offers on behalf of TfSE, subject to all the terms and conditions set out
by the grant awarding body.
20.3.6 The submission of all claims for grant.
20.3.7 To make all necessary banking arrangements on behalf of TfSE, to include authorization of all
forms of payment.
20.3.8 To monitor revenue and capital spending and submit a report to TfSE at not more than quarterly
intervals. This report will separately identify the capital expenditure relating to schemes
promoted by TfSE.
20.3.9 In relation to revenue expenditure under the control of officers, to consider reports of officers on
any likely overspending, and to approve transfers between expenditure heads up to a
maximum of £500,000, provided that, where it is not possible to finance an overspending
by such a transfer, the matter shall be referred to TfSE for consideration of a
supplementary estimate.
20.3.10 The approval of contracts and agreements proposed to be entered into by TfSE provided that,
subject to any other requirement of this Constitution, the Finance Director may give a general
consent to TfSE to enter into contracts or agreements, provided that the expenditure is included in
the latest budget estimate and confirmed funding is in place to meet the projected costs.
20.3.11 The collection of all money due to TfSE, and the writing-off of bad debts.
20.3.12 The acquisition and disposal of an interest in land whether freehold or leasehold and the entering
into of a lease of equipment of any form.
20.3.13 To supervise procedures for the invitation, receipt and acceptance of tenders.
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20.3.14 To make all necessary arrangements to ensure the payment of staff employed by
TfSE.
20.3.15 To exercise the functions of the authority in relation to pensions and (without prejudice to the
generality of this) to be the person specified to determine disputes in the first instance arising from
the decisions of the Authority as scheme employer under the Local Government Pension
Regulations.
20.3.16 To discharge the functions of the ‘responsible financial officer’ under the Accounts and Audit
(England) Regulations 2015 including the requirement under Regulation 9 to sign and date the
statement of accounts, and certify that it presents a true and fair view of the financial position of
TfSE at the end of the year to which it relates and of TfSE’s income and expenditure for that year.
20.3.17 To discharge the functions of TfSE under the Accounts and Audit (England) Regulations 2015
(with the exception of regulation, 6(2) ).
20.3.18 To sign certificates under the Local Government (Contracts) Act 1997.
20.3.19 To be the officer nominated, or to nominate in writing another officer, as the person to receive
disclosures of suspicious transactions for the purposes of the Proceeds of Crime Act 2002
and any regulations made there under.
20.3.20 To exercise the responsibilities assigned to the Finance Director in the Financial Regulations and
the Contract Procurement Rules.
20.4 Delegations to the Monitoring Officer
20.4.1 Under the provisions of “section 5” of the Local Government and Housing Act 1989, TfSE shall
appoint a Monitoring Officer. The functions of the Monitoring Officer shall be as follows:
20.4.2 Should at any time it appear to the Monitoring Officer that any proposal, decision or omission by
TfSE has given rise to, or is likely to give rise to, unlawfulness or maladministration, they will
prepare a report to TfSE with respect to that proposal, decision or omission.
20.4.3 Contribute to the promotion and maintenance of high standards of conduct. TfSE has delegated
to the Monitoring Officer the following powers to deal with matters of conduct and ethical standards
in accordance with the requirements of the Localism Act 2011:
a) To act as TfSE’s Proper Officer to receive complaints that Members of TfSE
have failed to comply with their appointing Authority’s Code of Conduct for
Members;
b) To refer such complaints to the Monitoring Officer of the elected Member’s
appointing Authority;
c) To maintain the Register of Member’s interests in accordance with section 29
of the Localism Act 2011 and to ensure that it is available for inspection and
published on TfSE’s website as required by the Act.
d) To receive complaints from the Monitoring Officer of a Constituent Authority
concerning the administration of TfSE’s affairs.
20.4.4 Provide advice on the scope of powers and authority to take decisions, maladministration,
financial impropriety, probity, budget and policy framework issues to all members of TfSE.
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20.4.5 To institute, conduct, prosecute and defend any legal proceedings on behalf of TfSE, as
may be necessary to protect and promote TfSE’s interests in accordance with any general
policy laid down by TfSE, subject to consultation with the Chair in any case where the
matter is of significance to TfSE’s reputation or where TfSE is to appeal to the Court of
Appeal or the Supreme Court.
20.4.6 To settle, if appropriate, and in the interests of TfSE, any actual or threatened legal proceedings.
20.4.7 To instruct Counsel and professional advisers, where appropriate.
20.4.8 To give undertakings on behalf of TfSE.
20.4.9 To supervise the preparation and sealing or signature of legal documents.
20.4.10 To authorise other officers to seal documents or to sign documents which are not required to be
under seal. To complete all property transactions and contractual arrangements where terms have
been agreed by TfSE or Committees or Chief Officers acting under the Scheme of Delegation.
20.4.11 To determine exemptions under Section 36 of the Freedom of Information Act 2000.
20.4.12 To accept on behalf of TfSE the service of notices, orders and legal procedures.
20.4.13 To provide a comprehensive administrative service to TfSE.
20.4.14 Be the Proper Officer for ensuring the maintenance of public access to information in relation to
TfSE documents, reports and background papers.
20.4.15 To authorise the attendance of officers at professional conferences or seminars which are
appropriate to the work of TfSE and within any policy framework from time to time laid
down by TfSE.
20.5 Schedules of Proper Officers
20.5.1 There are a number of specific references in enactments affecting TfSE, which call for functions
to be undertaken by what is termed the “Proper Officer”. The following paragraphs list such
references and identify the Chief Officers responsible for their discharge:
20.5.1.1 Chief Officer
20.5.1.1.2 The Chief Officer is appointed as the Head of Paid Service for the purposes of Section 4 of the
Local Government and Housing Act 1989 and the Proper Officer for the purpose of any
enactment other than an enactment in respect of which this Constitution or TfSE has
designated another officer as Proper Officer.
20.5.1.2 Finance Director
20.5.1.2.1 The Finance Director is appointed the Proper Officer under section 73 of the Local
Government Act 1985 and is responsible for the proper administration of TfSE’s financial
affairs and compliance with the Accounts and Audit Regulations 2015.
20.5.1.3 Monitoring Officer
20.5.1.3.1 The Monitoring Officer is appointed the Proper Officer in relation to the following:
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a) Local Government Act 1972 Section 100B (2) - Determination of those reports
which should be available for public inspection prior to a meeting of TfSE and
any Committee and those which are likely to be heard in private and
consequently which should not be released to the public;
b) Local Government Act 1972 Section 100B (7) - Provision of documents to the
press, additional to Committee reports;
c) Local Government Act 1972 Section 100C (2) - Preparing written summaries
of proceedings;
d) Local Government Act 1972 Section 100D (1) - Making arrangements for list
of, and background papers to reports, to be made available for public
inspection;
e) Local Government Act 1972 Section 100F (2) - Determination of documents
disclosing exempt information which may not be inspected by Members;
f) Local Government Act 1972 Schedule 12, para 4 (2) (b) - Signature of
Summonses to meetings of TfSE;
g) Local Government Act 1972 Schedule 12, para 4 (3) – Receipt of notices
regarding address to which Summons to meetings of TfSE is to be sent;
h) Section 29 of the Localism Act 2011 Register of Members Interests.
20.5.2 General
20.5.2.1 All Officers in whose name reports are submitted to TfSE via the Monitoring Officer and the
Finance Director are appointed the proper officers in relation to the following:
a) Local Government Act 1972 Section 100D (1) (a), Compilation and retention of
lists of background papers and copies of the relevant documents and reports;
and
b) Local Government Act 1972 Section 100D (5), Identifying and determining
what are background papers.
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PART 4 COMMITTEES
21. Audit and Governance Committee
21.1 Statement of purpose
21.1.1 The Audit and Governance Committee is a key component of corporate governance
providing an independent, high-level focus on the audit, assurance and reporting
framework underpinning financial management and governance arrangements. Its
purpose is to provide independent review and assurance to Members on governance, risk
management and control frameworks. It oversees financial reporting, the Annual
Governance Statement process and internal and external audit, to ensure efficient and
effective assurance arrangements are in place.
21.1.2 Membership comprises:
a) four members of TfSE (not the Chair, or Vice Chair) appointed by TfSE; and,
b) an Independent member (to be recruited on the basis of relevant skills);
A representative of DfT (Department for Transport) will be invited to attend
meetings.
21.1.3 The Constitution places responsibility on the Audit and Governance Committee ‘to
oversee the effectiveness of TfSE’s risk management arrangements’. The Constitution
also makes the Finance Director responsible for discharging the functions of the
‘responsible financial officer’ under the Accounts and Audit (England) Regulations 2015,
including ensuring risk is appropriately managed.
21.2 Terms of Reference
21.2.1 The core functions of the Authority’s Audit and Governance Committee are to:
a) approve Accounts;
b) recommend Approval of the annual statement of accounts for TfSE;
c) governance, risk and control;
d) review corporate governance arrangements against the Code of Corporate
Governance and the good governance framework;
e) review the Annual Governance Statement (AGS) prior to approval to ensure it
properly reflects the risk environment and supporting assurances;
f) monitor the effectiveness of arrangements to secure value for money;
g) be satisfied that the assurance framework adequately addresses risks and
priorities including governance arrangements in significant partnerships;
h) Monitor TfSE’s risk and performance management arrangements including
review of the risk register, progress with mitigating action and the assurance
map;
i) Consider reports on the effectiveness of internal controls;
j) Monitor the anti-fraud strategy, risk-assessment and any actions.
21.3 Internal audit
21.3.1 Recommend Approval of the Internal Audit Charter.
21.3.2 Oversee and support Internal Audit’s effectiveness including strategy, planning and
process and ensure conformance with Public Sector Internal Audit Standards (PSIAS).
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21.3.3 Approve the risk-based internal audit plan including resources, the reliability of other
sources of assurance and any significant in-year changes.
21.3.4 Make enquiries of the Finance Director and other managers to determine any
inappropriate scope or resource limitations.
21.3.5 Consider reports and assurances from the Finance Director in relation to:
a) internal Audit performance including key findings and actions from audit
assignments, significant non-conformance with PSIAS and the Quality
Assurance and Improvement Programme;
b) annual Assurance Opinion on the adequacy and effectiveness of the
framework of governance, risk management and control;
c) risk management and assurance mapping arrangements;
d) progress to implement recommendations including concerns or where Officers
have accepted risks that the Authority may find unacceptable;
e) provide assurances over the effectiveness of internal audit functions assuring
the internal control environments of TfSE.
21.3.6 Contribute to the Quality Assurance and Improvement Programme, including the
external quality assessment of internal audit.
21.3.7 Consider and comment on the Finance Director’s Annual Review of the
Effectiveness of the System of Internal Audit.
21.3.8 Develop effective communication with the Finance Director and senior audit staff.
21.4 External audit
21.4.1 Consider reports including the Annual Audit Letter, assess the implications and
monitor managers’ response to concerns.
21.4.2 Comment on the nature and scope of work to ensure it gives value for money.
21.4.3 Advise on the effectiveness of relationships between external and internal audit and
other inspection agencies or relevant bodies.
21.5 Financial reporting
21.5.1 Consider whether accounting policies were appropriately followed and any need to
report concerns to the Authority.
21.5.2 Consider any issues arising from external audit’s audit of the accounts.
21.5.3 Ensure there is effective scrutiny of the treasury management strategy and policies in
accordance with CIPFA’s Code of Practice.
21.5.4 Make recommendations to the Finance Director and Monitoring Officer in respect of
Part 6 of the Constitution (Financial Regulations).
21.6 Membership and Quorum
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21.6.1 The Committee shall be composed of 5 members and the quorum shall be 3 of whom at least two
shall be representatives of the Constituent Authorities.
21.7 Accountability arrangements
21.7.1 Report the Committee’s findings, conclusions and recommendations to the Authority on the
effectiveness of governance, risk management and internal controls, financial reporting and internal
and external audit functions.
22. Scrutiny Arrangements
22.1 Introduction
22.1.2 The Scrutiny Provisions will be reviewed periodically to ensure that they remain effective.
22.1.3 References in these Arrangements to major and strategic decisions of TfSE taken in accordance
with the delegations set out in Part 3 Paragraph 19 of this Constitution include major and strategic
decisions taken by sub-committees of TfSE in accordance with such delegations.
22.2 Objectives of Scrutiny
22.2.1 These arrangements have been established to act as a focus for the scrutiny and challenge of
TfSE, and for investigating matters of strategic importance to residents, those travelling within
the combined administrative area covered by the Constituent Authorities and other
stakeholders.
22.2.2 The role of these arrangements will include reviewing:
a) The decisions of TfSE;
b) The decisions of TfSE which are taken in accordance with the delegations set
out in this Constitution;
c) Making reports or recommendations to TfSE with respect to the discharge of
its functions;
d) Making reports and recommendations to TfSE on matters relating to transport
to, from or within TfSE’s area.
e) Making recommendations to TfSE in advance of any decisions that TfSE
proposes to take
22.3 Membership of Scrutiny Committee
22.3.1 Membership of the Scrutiny Committee will be 5 Members drawn from the Constituent Authorities
on a rotational basis, with 3 of the places rotating in May each year to ensure a level of continuity
of membership. When a Constituent Authority has an allocated place for the year ahead that
authority shall be entitled to appoint one Member and one Substitute Member to the Scrutiny
Committee. Appointees to the Scrutiny Committee must be a member of the appointing
Constituent Authority or in the case of a Combined Authority, one of the Constituent Authorities of
the Combined Authority but not be Members of TfSE (including substitute and co-opted members).
An appointing authority may choose to forego its turn to appoint a Member to the Scrutiny
Committee and nominate a Member from another authority to fill its place for the year by mutual
agreement.
22.3.2 The term of office for members of the Scrutiny Committee will be one year from the
date of the annual council meeting of the Constituent Authority that appoints them to the
Scrutiny Committee unless:
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a) They cease to be an elected member of the Constituent Authority that
appointed them;
b) They wish to no longer participate in these arrangements; or
c) The Monitoring Officer to TfSE is advised by any of the Constituent Authorities
that it wishes to change one or more of its appointees to the Scrutiny
Committee.
22.3.3 Any person may be co-opted as a Co-opted Scrutiny Member to participate in these
arrangements from all or any of the associated authorities or from such other organisations
as TfSE may decide. Unless TfSE decides otherwise, such Co-opted Scrutiny Members
shall be non-voting members. Where a person is co-opted onto the Scrutiny Committee
these will be in addition to the 5 places allocated to Members appointed from the
Constituent Authorities
Any Member of a Constituent Authority has the right to attend any meeting of the Scrutiny
Committee as an observer.
22.4 Meetings of Scrutiny Committee
22.4.1 The members appointed to the Scrutiny Committee under Clause 22.3 above will
hold at least one annual meeting and may convene additional joint meetings in accordance
with these arrangements.
22.4.2 At the annual meeting, the Scrutiny Committee members will:
a) Appoint a Chair and Vice Chair;
b) Determine the areas of review and scrutiny that they wish to pursue during the
ensuing 12 months;
c) Determine whether to establish Scrutiny Panels from amongst their number in
order to carry out reviews or other scrutiny work;
d) Agree to carry out agreed areas of review and scrutiny.
22.4.3 The quorum for the annual meeting and any other meetings held under this Clause
22.4 will be 3 voting Members, and must include representatives of at least 3 of the
Constituent Authorities.
22.4.4 The principle of decision making at any such joint meeting shall be that, wherever
possible decisions will be made by agreement, without the need for a vote. If a vote is necessary
it will be decided by a simple majority of those voting Members present. The provisions relating to
weighted votes set out in paragraph 5 shall not apply to the Scrutiny Committee or to Scrutiny
Panels.
22.4.5 The venue for each annual meeting and any other Scrutiny Committee meetings
held under this Clause 22.4 will be decided by TfSE as part of the approved Calendar of
Meetings and shall be notified to Constituent Authorities for inclusion on their Council web sites.
22.4.6 Notice of the annual meeting and any other Scrutiny Committee meetings held under this Clause
22.4 will be sent to each Scrutiny Committee member in accordance with the requirements of the
Local Government Act 1972. For Members who are Members of one of the Constituent
Authorities Notice will be sent to the principal place of business of that Authority.
22.4.7 The Chair will approve the agenda for each annual meeting and any other Scrutiny
Committee meetings held under this Clause 22.4; however, any member of the Scrutiny
Committee will be entitled to request an item to be placed on the agenda for the meeting.
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22.4.8 Each Scrutiny Panel established under paragraph 23.4.2 shall determine its own
calendar of meetings and the venue for each meeting.
22.4.9 Subject to paragraphs 22.4.1-22.4.7 of this Clause 22 4, meetings will proceed in
accordance with the Rules of Procedure set out at Part 5 of the Constitution.
22.5 Powers of the Scrutiny Committee
22.5.1 The Scrutiny Committee has the power to:
a) To review and scrutinise decisions made or other action taken by TfSE;
b) To make reports or recommendations with respect to the discharge of the
functions of TfSE;
c) To make reports or recommendations on transport matters that affect the area
of TfSE or inhabitants of the area or other stakeholders;
d) To require members or officers of TfSE to attend meetings of the Committee to
answer questions;
e) To invite other persons to attend meetings of the Committee.
22.6 Key principles for the operation of the scrutiny arrangements
22.6.1 TfSE and the Constituent Authorities will work together to maximise the exchange of
information and views, to minimize bureaucracy and make best use of the time of
members and officers of other bodies or agencies.
22.6.2 Members of the Scrutiny Committee will, when considering reviews, determine
whether the issue is more appropriately dealt with by one of the Constituent Authorities or
elsewhere and will not duplicate the work of existing bodies or agencies.
22.6.3 Subject to prior consultation, TfSE will respond positively to requests for information,
or for the attendance of a member or officer at any meetings set up under these
arrangements.
22.6.4 While it is ultimately for TfSE to decide who it considers the most appropriate
person(s) to speak on its behalf at any meetings set up under these arrangements
consideration will be given to meeting specific requests.
22.6.5 Dates and times for officer and member attendance at any meetings set up under
these arrangements should be by agreement.
22.6.6 Members appointed under these arrangements may require the attendance of
officers employed by TfSE to answer questions and give evidence at any meetings set
up under these arrangements. All such requests must be made via the Monitoring Officer of TfSE. If
any request is declined by the Monitoring Officer, he/she must state the reasons for so doing.
22.6.7 When considering any matter in respect of which a Scrutiny Committee member
appointed under these arrangements is subject to a party whip the member must declare the
existence of the whip and the nature of it before the commencement of any deliberations on the
matter. The declaration, and the detail of the whipping arrangements, shall be recorded in the
minutes of the meeting.
22.7 Scrutiny Panels
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22.7.1 The Scrutiny Committee may establish Scrutiny Panels to undertake agreed scrutiny reviews or
other scrutiny work.
22.7.2 Membership of the Scrutiny Panels will be determined by the Scrutiny Committee.
22.7.3 Each Scrutiny Panel shall appoint a Chair from amongst its members.
22.7.4 Scrutiny Panels must be appointed to carry out specific scrutiny tasks and be time limited. Their
continuation will be subject to confirmation at each meeting of the Scrutiny Committee.
22.7.5 TfSE may also, if it chooses, request that a Scrutiny Panel drawn from amongst
members appointed to the Scrutiny Committee be appointed to examine a specific issue
in more detail and report back its findings to TfSE.
22.8 Reviews and Recommendations
22.8.1 The process of scrutiny will be an open and transparent process designed to engage
the Constituent Authorities, their residents and other stakeholders.
22.8.2 Committee Meetings will be held in public unless the meeting decides to convene in private to
discuss confidential or exempt information, in accordance with the relevant provisions of
the Local Government Act 1972.
22.8.3 The terms of reference, timescale and outline of any review will be agreed by the
Scrutiny Committee.
22.8.4 Different approaches to scrutiny reviews may be taken in each case but members
will seek to act in an inclusive manner and will take evidence from a wide range of
opinion.
22.8.5 The primary objective of any Scrutiny Panel established under these arrangements
will be to reach consensus on its recommendations
22.8.6 Voting if needed will be by a show of hands and a simple majority will be required
to approve any recommendation.
22.8.7 A completed Scrutiny Review shall be forwarded to TfSE for consideration. TfSE shall consider
the findings of a Scrutiny Review at the next available meeting and the decision of TfSE on the
findings of a Scrutiny Review will be reported back to the next available meeting of the Scrutiny
Committee.
22.9 Budget and Administration
22.9.1 The Scrutiny Budget will be agreed as part of TfSE’s annual budgetary processes.
22.9.2 The budget will be required to meet all officer support to the scrutiny arrangements, including
research support.
22.9.3 The decisions and recommendations of any Scrutiny Panels set up under these arrangements will
be communicated to TfSE, and other Scrutiny Committee members as soon as possible after
resolution by those appointed to any such Scrutiny Panel.
22.9.4 Any external expenditure shall be procured and managed through and in accordance with TfSE’s
adopted financial processes.
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22.10 Support and advice to scrutiny arrangements
22.10.1 Members appointed to any Scrutiny Panel under these arrangements may ask individuals or
groups to assist it on a review by review basis and may ask independent professionals for advice
during the course of reviews. Such individuals or groups will not be members of the Scrutiny Panel
and will not be able to vote.
22.10.2 Members appointed to any Scrutiny Panel under these arrangements may invite any other
person to attend their meetings to answer questions or give evidence; however,
attendance by such persons cannot be mandatory.
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PART 5 PROCEDURE RULES
23. Procedure Rules
23.1 Interpretation, Suspension and Chair’s Ruling
23.1.1 These Rules apply to meetings of TfSE and, where appropriate, to meetings of Committees and
Sub Committees of TfSE.
23.1.2 References in these Rules to the “Chair” mean the Member of TfSE for the time being presiding
at the meeting of TfSE and a meeting of a Committee or Sub Committee of TfSE.
23.1.3 These Rules should be read in conjunction with other parts of TfSE’s Constitution.
23.1.4 **These Rules are subject to any statute or other enactment whether passed before or after
these Rules came into effect.
23.1.5 The ruling of the Chair on the interpretation of these Rules in relation to all questions of order
and matters arising in debate shall be final.
23.2 Suspension and Revocation of TfSE Procedure Rules
23.2.1 **With the exception of the Rules marked by a double asterisk (**) any Rule may be suspended
at a meeting of TfSE either by a motion included on the agenda or by a motion put to the
meeting without notice and passed by a majority of those present and voting. A motion to
suspend any Rules will not be moved without notice unless at least 10 Members of TfSE are
present.
23.2.2 Rules may be changed by TfSE either at the Annual Meeting or by a motion on notice made at a
meeting of TfSE.
23.2.3 Changes may only be made to the Rules and the Constitution if the motion is passed by
a Super Majority in a weighted vote (see paragraph 23.14 (Voting)).
23.3 Membership of TfSE
23.3.1 **Each Constituent Authority shall appoint one of its elected members to be a Member of TfSE.
The person appointed shall be in the case of a Constituent Authority with an elected Mayor, the
Mayor or the elected Member with responsibility for transport or in any other case, the Leader,
the Chair or the elected Member with responsibility for transport.
23.3.2 **Each Constituent Authority shall appoint another of its elected members to act as a Member of
TfSE in the absence of the Member appointed under sub-paragraph 23.3.1 above (“the
Substitute Member”).
23.3.3 **A person shall cease to be a Member or a Substitute Member of TfSE if they cease to
be a member of the Constituent Authority that appointed them.
23.3.4 **A person may resign as a Member or Substitute Member of TfSE by written notice
served on the proper officer of the Constituent Authority that appointed them (who for the
purposes of this sub-paragraph 23.3.4 shall be the Monitoring Officer of the Constituent
Authority that appointed them) and the resignation shall take effect on receipt of the notice
by the proper officer.
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23.3.5 **Where a Member or Substitute Member of TfSE’s appointment ceases by virtue of sub
paragraph 23.3.3 or 23.3.4, the Constituent Authority that made the appointment must, as soon
as practicable, give written notice of that fact to TfSE’s Monitoring Officer and appoint
another of its elected members in that person’s place.
23.3.6 **A Constituent Authority may at any time terminate the appointment of a
Member or Substitute Member appointed by it to TfSE and appoint another of its
elected members in that person’s place.
23.3.7 **Where a Constituent Authority exercises its power under sub- paragraph 23.3.6,
it must give written notice of the new appointment and the termination of the previous
appointment to the Monitoring Officer and the new appointment shall take effect and the previous
appointment terminate at the end of one week from the date on which the notice is given (or such
longer period not exceeding 1 month as is specified in the notice).
23.3.8 **For the purposes of this paragraph 23, an elected mayor of a Constituent Authority shall be
treated as a member of the Constituent Authority.
23.3.9 A person shall cease to be a Co-opted Member or a Substitute Co-opted Member of TfSE if they
cease to be a member of the Authority that appointed them.
23.3.10 A person may resign as a Co-opted Member or Substitute Co-opted Member of TfSE by written
notice served on the proper officer of the Authority that appointed them (who for the purposes of
this sub- paragraph 23.3.10 shall be the Monitoring Officer of the Constituent Authority that
appointed them) and the resignation shall take effect on receipt of the notice by the proper officer.
23.3.11 **Where a Co-opted Member or Substitute Co-opted Member of TfSE’s appointment ceases
by virtue of sub-paragraph 23.3.9 or 23.3.10, the Authority that made the appointment must,
as soon as practicable, give written notice of that fact to the Monitoring Officer and appoint
another of its elected members in that person’s place.
23.3.12 **An Authority may at any time terminate the appointment of a Co-opted Member
or Substitute Co-opted Member appointed by it to TfSE and appoint another of its
elected members in that person’s place.
23.3.13 **Where an Authority exercises its power under sub- paragraph 23.3.12, it must give written notice
of the new appointment and the termination of the previous appointment to the Monitoring Officer
and the new appointment shall take effect and the previous appointment terminate at the end of
one week from the date on which the notice is given (or such longer period as is specified in the
notice).
23.3.14 **The Members of TfSE appointed by the Constituent Authorities may appoint further Co-opted
Members if they all agree to do so.
23.3.15 TfSE may at any time terminate the appointment of a Co-opted Member who was not
appointed by a Constituent Authority but such termination must be agreed by every
Member appointed by a Constituent Authority.
23.4 Chair
23.4.1 ** At its Annual General Meeting TfSE shall appoint one of its Members or Co- opted Members
as its Chair for the forthcoming year.
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23.4.2 **The appointment of the Chair shall be for a fixed term of one year until the next Annual General
Meeting unless the Chair resigns or the appointment is terminated by TfSE.
23.4.3 **The Chair may resign by written notice served on the proper officer of TfSE and the resignation
shall take effect on receipt of the notice by the proper officer.
23.4.4 **TfSE may terminate the appointment of the Chair where one has been appointed (under
paragraph 23.4.1).
23.4.5 **Where a person ceases to be Chair by virtue of sub- paragraph 23.4.3 or 23.4.4; TfSE shall
appoint a further Chair in accordance with this paragraph.
23.5 Vice-Chairs
23.5.1 ** One or more Vice-Chairs may be appointed annually by TfSE from among its Members or Co-
opted Members and will, unless they resign, cease to be members of TfSE or become disqualified,
act until their successor become entitled to act.
23.5.2 The appointment of the Chair and Vice-Chairs shall be the first business transacted at the Annual
Meeting of TfSE.
23.5.3 **On a vacancy arising in the office of Chair or Vice-Chair for whatever reason, TfSE shall make an
appointment to fill the vacancy at the next ordinary meeting of TfSE held after the date on which
the vacancy occurs, or, if that meeting is held within 14 days after that date, then not later than the
next following meeting. The Member appointed shall hold such office for the remainder of the
year in which such vacancy occurred.
23.5.4 **Subject to these Rules, anything authorised or required to be done by, or in relation to, the Chair,
may be done by, or in relation to, any of the Vice-Chairs.
23.5.5 Meetings
23.5.5.1 **The Annual Meeting of TfSE shall be held in April on a date and at a time
determined by TfSE.
23.5.5.2 **Ordinary meetings of TfSE for the transaction of general business shall be held on
such dates and at such times as TfSE shall determine.
23.5.5.3 **An Extraordinary Meeting of TfSE may be called at any time by the Chair.
23.6 Admission of Public
23.6.1 **All meetings of TfSE, its Committees and Sub-Committees shall be open to the
public (including the press) except to the extent that they are excluded whether
during the whole or part of the proceedings either:
a) In accordance with Section 100A(2) of the Local Government Act 1972; or
b) By resolution passed to exclude the public on the grounds that it is likely, in
view of the nature of the proceedings, that if members of the public were
present there would be disclosure to them of exempt information as defined in
Section 100I of the Local Government Act 1972. Any such Resolution shall
identify the proceedings or the part of the proceedings to which it applies and
state the description, in terms of Schedule 12A to the Local Government Act
1972 of the exempt information giving rise to the exclusion of the publ ic.
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23.7 Notice of Meetings
23.7.1 **At least five clear days before a meeting of TfSE:
a) Notice of the time and place of the intended meeting shall be published by the
Monitoring Officer and posted on the TfSE website;
b) A summons to attend the meeting, specifying an agenda for the meeting, shall
be left at or sent by post or electronic mail to all Members of TfSE at the
principal office of the Constituent Authority which appointed the Member.
23.7.2 **Lack of service on a Member of TfSE of the summons shall not affect the validity of a meeting of
TfSE.
23.8 Meeting Agendas
23.8.1 **Any Member of TfSE may require the Monitoring Officer to make sure that an
item is placed on the agenda of the next available meeting of TfSE for consideration.
23.8.2 **Any item proposed to be included on the agenda for any meeting of TfSE in
accordance with sub-paragraph 23.8.1 above, which is not submitted before 5 days of
the meeting shall not be included on the agenda for that meeting unless it is agreed
by the Chair. In this case, the amended agenda for the meeting will state the reason
for the late acceptance of any such item.
23.8.3 The Monitoring Officer shall set out in the agenda for each meeting of TfSE the items
of business requested by Members (if any) in the order in which they have been
received, unless the Member concerned has given prior written notice to the
Monitoring Officer prior to the issue of the agenda for the meeting, for it to be
withdrawn. If the Member concerned is not present at the meeting when an item of
which they have given notice comes up for discussion, this item shall, unless TfSE
decides otherwise, be treated as withdrawn.
23.8.4 **Except in the case of business required by these Rules to be transacted at a
meeting of TfSE, and other business brought before the meeting as a matter of
urgency, (and of which the Monitoring Officer shall have prior notice and which the
Chair considers should be discussed at the meeting), no business shall be transacted
at a meeting of TfSE other than that specified in the agenda for the meeting.
23.9 Chair of Meeting
23.9.1 **At each meeting of TfSE, the Chair, if present, shall preside.
23.9.2 **If the Chair is absent and more than one Vice-Chair is present at the meeting,
they shall agree between themselves who is to chair the meeting and in default of
agreement the Monitoring Officer shall invite the members present to elect a Vice-
Chair to preside for the duration of the meeting.
23.9.3 **If the Chair and all the Vice-Chairs of TfSE are absent from a meeting of TfSE, the
Monitoring Officer shall invite the Members present to elect a Member to preside for
the duration of the meeting or until such time as the Chair (or Vice-Chair) joins the
meeting.
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23.9.4 Any power or function of the Chair in relation to the conduct of a meeting shall be
exercised by the person presiding at the meeting.
23.10 Quorum
23.10.1 No business shall be transacted at any meeting of TfSE unless at least 8 of the Members are
present and those Members together hold more than 50% of the weighted voting rights.
23.10.2 If at the time for which a meeting is called, and for 30 minutes thereafter, a quorum
is not present, then no meeting shall take place.
23.10.3 If during any meeting of TfSE the Chair, after counting the number of Members
present and their weighted voting rights, declares that there is not a quorum present, the
meeting shall stand adjourned to a time fixed by the Chair. If there is no quorum and the Chair
does not fix a time for the reconvened meeting, the meeting shall stand adjourned to the next
ordinary meeting of TfSE.
23.11 Order of Business
23.11.1 At every meeting of TfSE, the order of business shall be to select a person to preside if the Chair
or Vice-Chair are absent and thereafter shall be in accordance with the order specified in
the agenda for the meeting, except that such order may be varied:
a) By the Chair at their discretion; or
b) On a request agreed to by TfSE. the Chair may bring before TfSE at their
discretion any matter that they consider appropriate to bring before TfSE as a
matter of urgency.
23.12 Committees
23.12.1 TfSE shall appoint the following Committees:
a) the Audit and Governance Committee;
b) the Scrutiny Committee;
23.12.2 TfSE may appoint such other Committees as it thinks fit.
23.13 Rules of Debate
23.13.1 The Chair shall propose each motion.
25.13.2 A Member shall address the Chair and direct any speech to the question under discussion. If
two or more Members indicate they wish to speak, the Chair shall call on one to speak first.
23.13.3 The conduct of the meeting shall be the responsibility of the Chair who shall ensure that every
Member wishing to speak has an opportunity to do so.
23.13.4 A Member shall not speak for longer than five minutes on any matter without the consent of the
Chair.
23.13.5 If the Chair is of the opinion that the matter before TfSE has been sufficiently discussed the Chair
may put the Motion that the question now be put.
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23.13.6 The Chair shall decide all questions of order and any ruling by the Chair upon such questions and
the interpretation of these Rules of Procedure and upon matters rising in debate shall be final and
shall not be open to discussion.
23.13.7 A Motion to exclude the press and public in accordance with Section 100A of the Local
Government Act, 1972 may be moved, without notice, at any meeting of TfSE during an item of
business whenever it is likely that if members of the public were present during that item there
would be disclosure to them of confidential or exempt information as defined in Section 100A of the
1972 Act.
23.14 Voting
23.14.1 **There shall be a presumption that decisions are normally taken by consensus. In the absence of
consensus decisions will be taken on the basis of a weighted vote. The number of votes to be cast
by a Member appointed by a Constituent Authority shall be determined by dividing the resident
population of that Constituent Authority set out in the 2016 ONS estimates (Appendix 1) by
140,000 and if the result is not a whole number, rounding up to the next whole number.
23.14.2 **The following decisions shall require a Super Majority:
a) the approval and revision of TfSE’s Transport Strategy;
b) the approval of the annual budget;
c) the adoption of and any changes to TfSE’s Constitution.
23.14.3 **The Super Majority shall consist of the Members who together hold 75% of the weighted vote
and a simple majority of the Members appointed by the Constituent Authorities.
23.14.4 A Member shall cast a number of votes equal to the combined weighted votes of the
Authorities they represent and a Substitute Member shall have the same voting rights as
the Member they are replacing.
23.14.5 If a vote is tied on any matter it is deemed not to have been carried.
23.14.6 At any meeting of TfSE or any of its Committees or sub-Committees, if immediately after a vote is
taken any Member so requires there shall be recorded in the minutes of the proceedings of that
meeting whether that person cast his vote for the question or against the question or whether they
abstained from voting.
23.15 Conduct of Members
23.15.1 If the Chair is of the opinion that at a meeting any Member of TfSE, or Substitute Member acting in
that Member’s place, has misconducted, or is misconducting him or herself by persistently
disregarding the ruling of the Chair, or by behaving irregularly, improperly or offensively, or by
willfully obstructing the business of TfSE, the Chair may notify the meeting of that opinion and may
take any of the following actions either separately or in sequence:
a) the Chair may direct the Member to refrain from speaking during all or part of the
remainder of the meeting of TfSE;
b) the Chair may direct the Member to withdraw from all or part of the remainder of
the meeting of TfSE;
c) the Chair may order the Member to be removed from the meeting of TfSE; and
d) the Chair may adjourn the meeting of TfSE for such period as they consider
expedient.
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23.15.2 In the event of general disturbance, which in the opinion of the Chair, renders the
due and orderly dispatch of business impossible the Chair, in addition to any other power vested
in the Chair may, without question put, adjourn the meeting of TfSE for such period as the Chair
considers expedient.
23.15.3 Disturbance by Members of the Public; If a member of the public interrupts the
proceedings at any meeting of TfSE, the Chair shall warn him or her. If they continue the
interruption the Chair shall order the member of the public to leave the room. In the case of
general disturbance in any part of the room open to the public the Chair shall order that part to be
cleared.
23.16 Notification and Declaration of Interests
23.16.1 In this Rule:
a) “The Code” means the Code of Conduct for Members adopted by the elected
Member’s appointing Authority under Section 28 of the Localism Act 2011;
b) “Member of TfSE” includes a Substitute Member when acting as a Member of
TfSE and Co-opted Members.
23.16.2 Members of TfSE must within 28 days of their appointment to office notify TfSE’s Monitoring
Officer in writing of the details of their disclosable pecuniary interests arising in respect of the TfSE
area (including, where required, interests of their partner) and their personal interests.
23.16.3 Where a Member of TfSE is present at a meeting and has a disclosable pecuniary
interest or, an interest that would be a personal interest under the provisions of the Code in
any matter to be considered at the meeting, they must disclose the interest to the meeting.
23.17 Non-participation and withdrawal in the case of Disclosable Pecuniary Interests and
Prejudicial Interests
23.17.1 Where a member of TfSE has a disclosable pecuniary interest or an interest that under the
provisions of the Code would be a prejudicial interest in any matter being considered at a
meeting, they must not participate or vote on the matter and must withdraw from the room of
the meeting while the matter is being considered.
23.18 Records
23.18.1 The Monitoring Officer shall ensure that the names of the Members of TfSE present at any
meeting of TfSE, any Substitute Member acting in a Member’s place, and any Co-opted
Member shall be recorded in the Minutes of the meeting concerned.
23.18.2 The Minutes of the proceedings of a meeting of TfSE are to be kept in such form as TfSE
may from time to time determine.
23.18.3 The Minutes of the proceedings of a meeting of TfSE shall be signed at the next meeting
of TfSE by the person presiding at the meeting of TfSE to which the Minutes relate.
23.18.4 Any minute purporting to be signed as mentioned in sub-paragraph 23.18.3 shall be
received in evidence for the purposes of any legal proceedings without further proof.
23.18.5 Until the contrary is proved, a meeting of TfSE, a Minute of whose proceedings has
been signed in accordance with this paragraph 23.18 is deemed to have been duly
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convened and held, and all the Members of TfSE present at the meeting, and any
Substitute Member acting in a Member’s place, are deemed to have been duly qualified.
23.19 Publication of Report
23.19.1 **Reports or other documents for the consideration of TfSE or a Committee of TfSE shall
be marked “Private & Confidential Not for Publication” only if the Monitoring Officer, as
Proper Officer under Section 100B (2) of the Local Government Act 1972 determines that
this should be done on one or more of the grounds specified in the Act.
23.19.2 **Copies of the Agenda of meetings of TfSE its Committees and Sub Committees,
including prints of reports or other documents to be submitted to TfSE its Committees
and Sub Committees (other than reports or other documents marked “Not for
Publication”) shall be furnished prior to the meeting to representatives of the press, radio
and television and shall also be furnished at the meeting to members of the public
attending such meetings. Such documents shall also be made available for public
inspection, at least five clear days before any meeting of TfSE its Committees and Sub
Committees at the Principal place of business of each of the Constituent Authorities.
Copies of all documents other than those marked. “Not for Publication” shall be made
available on TfSE’s website.
23.19.3 **Where an item or report has been added to an Agenda, any revised Agenda or
additional report shall be available for public inspection as soon as the item or report has
been added to the Agenda, provided copies are also, at that time, available to Members
of TfSE its Committees and Sub Committees and published on TfSE’s website
23.20 Access to Information Procedure Rules
23.20.1 Except as otherwise indicated, these rules apply to all meetings of TfSE its Committees
and Sub Committees.
23.20.2 The Rules in paragraph 23.20 do not affect any more specific rights to information
contained elsewhere in these Rules of Procedure or the law.
23.20.3 TfSE its Committees and Sub-Committees will supply copies of:
a) any Agenda and reports that are open to public inspection;
b) any further statements or particulars, if any, as are necessary to indicate the
nature of the items in the Agenda; and
c) if the Monitoring Officer thinks fit, copies of any other documents supplied to
members in connection with an item to any person on payment of a charge for
postage and any other costs, or electronically free of charge
23.20.4 TfSE its Committees and Sub Committees will make available copies of the following for six
years after a meeting:
a) the Minutes of the meeting, excluding any part of the Minutes of proceedings when
the meeting was not open to the public or which disclose exempt or confidential
information;
b) a summary of any proceedings not open to the public where the Minutes open to
inspection would not provide a reasonably fair and coherent record;
c) the Agenda for the meeting.
d) reports relating to items when the meeting was open to the public.
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23.20.5 The Officer responsible for the report will set out in every report a list of those documents
(called background papers) relating to the subject matter of the report that in his/her
opinion:
a) disclose any facts or matters on which the report or an important part of the report
is based; and
b) which have been relied on to a material extent in preparing the report but does not
include published works or those which disclose exempt or confidential
information.
23.21 Exclusion of access by the public to meetings
2321.1 Confidential information – requirement to exclude public
23.21.1.1 The public must be excluded from meetings whenever it is likely in view of the
nature of the business to be transacted or the nature of the proceedings that
confidential information would be disclosed.
23.21.1.2 Where the meeting will determine any person’s civil rights or obligations, or
adversely affect their possessions, Article 6 of the Human Rights Act establishes a
presumption that the meeting will be held in public unless a private hearing is
necessary for one of the reasons stated in Article 6.
23.21.2 Meaning of confidential information
23.21.2.1 Confidential information means information given to TfSE its Committees and Sub-
Committees by a Government department on terms that forbid its public disclosure or
information that cannot be publicly disclosed by reason of a Court Order or any
enactment.
23.21.3 Meaning of exempt information
23.21.3.1 Exempt information means information falling within the following categories
(subject to any qualifications):
1. Information relating to any individual;
2. Information which is likely to reveal the identity of any individual;
3. Information relating to the financial or business affairs of any particular
person (including the authority holding that information);
4. Information relating to any consultations or negotiations, or contemplated
consultations or negotiations in connection with any labour relations
matter arising between TfSE its Committees and Sub Committees or a
Minister of the Crown and employees of, or office holders under, TfSE its
Committees and Sub Committees;
5. Information in respect of which a claim to legal professional privilege
could be maintained in legal proceedings;
6. Information which reveals that TfSE its Committees and Sub Committees
proposes a) to give under any enactment a notice under or by virtue of which
requirements are imposed on a person; or b) to make an order or direction under
any enactment;
7. Information relating to any action taken or to be taken in connection with
the prevention, investigation or prosecution of crime.
23.21.4 Exclusion of access by the public to reports
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23.21.4.1 If the Monitoring Officer thinks fit, TfSE, its Committees and Sub-Committees may exclude
access by the public to reports which in his/her opinion relate to items during which the meeting
is likely not to be open to the public. Such reports will be marked “Not for Publication” together
with the category of information likely to be disclosed.
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PART 6 FINANCIAL PROCEDURES
24 Financial Regulations
24.1 General
24.1.1 These Regulations shall be read in conjunction with the Rules of Procedure (see Part
5), the Schedule of Approvals contained in Appendix 5 and the Responsibility for Functions
delegated to Chief Officers (see Part 3).
24.1.2 These Regulations lay down for the guidance of Members and officers, principles to
be followed in securing the proper administration of TfSE’s financial affairs and shall be
reviewed at intervals of not more than three years.
24.1.3 The Finance Director, as the officer responsible for the proper administration of
TfSE’s financial affairs, shall report to TfSE any significant failure to comply with these
Regulations which comes to his/her attention.
24.1.4 The Chief Officer and the Finance Director shall be responsible for the
accountability and control of all resources managed by them on behalf of TfSE.
24.1.5 For the purposes of complying with these Regulations, the Finance Director shall be
provided with any information he/she may require and shall have access to any
documents and records as necessary.
24.1.6 Whenever any matter arises which may involve financial irregularity the Finance
Director shall be notified immediately, and if an irregularity is disclosed the matter shall,
at the discretion of the Finance Director and after consultation with the Chief Officer, be
referred by them to TfSE. Further, in a case where the Chief Officer advises that there is
prima facie evidence of a criminal offence having been committed, the matter shall be
reported to the Police forthwith.
24.2 Staffing
24.2.1 The Chief Officer will be responsible for providing overall management to staff
employed by TfSE.
24.2.2 The Chief Officer and the Finance Director will be responsible for ensuring that
there is proper use of evaluation or other agreed systems for determining
remuneration.
24.2.3 The Finance Director will:
a) Ensure that budget provision exists for all existing and new employees;
b) Ensure that appropriate mechanisms are in place to support the payment of
salaries and any other related expenses to staff;
c) Set out and issue a staff expenses scheme to be followed where staff incur
personal expenses when carrying out their duties on behalf of TfSE.
24.2.4 Chief Officers must ensure that appointments are made in accordance with the
approved establishment and scales of pay and the adequate budget provision is available.
Officers must produce an annual staffing budget (including on costs and
overheads) which should be an accurate forecast of staffing levels and associated
costs.
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24.2.5 Chief Officers must ensure that all appointments, terminations or variations are notified to the
officer responsible for actioning such changes.
24.2.6 Payroll documents must be retained and stored for the defined period in accordance with
guidance issued by the Finance Director.
24.3 Accounting Arrangements
24.3.1 The Finance Director shall prepare a manual of financial and accounting procedures to be
operated by officers working on TfSE matters.
24.3.2 All accounting and financial arrangements shall be determined by the Finance Director who shall
be consulted before any form or document of a financial or costing nature is introduced.
24.3.3 The Finance Director shall be responsible for the submission of all claims for grant.
24.3.4 At the end of the financial year the Finance Director shall be supplied with information in such
form and by such date as he/she may determine to enable him/her to close TfSE’s
Accounts promptly.
24.3.5 The Accounts must be approved by TfSE prior to Audit and within 6 months of the year end.
24.3.6 If the Auditor’s Report requires any material amendment to be made to the Accounts, this must
be then reported to TfSE as soon as practicable after the receipt of the audit report.
24.4 Banking Arrangements and Cheques
24.4.1 All arrangements with TfSE’s bankers, shall be made by the Finance Director who shall be
authorised to operate such banking accounts, as he/she considers necessary.
24.5 Budgetary Control
24.5.1 The detailed form of the programme of capital expenditure and revenue estimates shall be
determined by the Finance Director after consultation with appropriate Officers, in accordance with
any general directions of TfSE.
24.6 Capital and Revenue Budgets
24.6.1 The Finance Director, in consultation with appropriate Officers, shall prepare an annual
programme of capital expenditure for submission to TfSE, together with proposals for financing that
programme.
24.6.2 The Finance Director, in consultation with appropriate Officers shall prepare annual
estimates of revenue expenditure and income.
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24.7 Control of Expenditure
24.7.1 Before a capital scheme for which provision is made in the Capital Programme may
proceed, a fully costed scheme report shall be presented to TfSE.
24.7.2 In approving the Revenue Budget, TfSE will determine the amounts to be allocated to
various expenditure heads. The Finance Director will monitor expenditure against this
approval, and report on a regular basis to TfSE showing actual and projected expenditure.
It will be a matter for TfSE to determine from this information whether expenditure priorities
should be changed.
24.7.3 For revenue expenditure, any likely overspending shall be reported as soon as
practicable to the Finance Director. Where it is not possible to finance an overspending
by a transfer between expenditure, the matter shall be referred to TfSE.
24.7.4 TfSE will determine guidelines for carrying forward of under and overspendings on budget
headings. The Finance Director will administer the scheme of carry forward within the
guidelines approved by TfSE for consideration.
24.7.5 Any use of revenue and capital reserves, in addition to that already planned, must be
approved by TfSE. The Finance Director will ensure that there are clear protocols for the
establishment and use of reserves, advise TfSE on prudent levels of reserves and report
on the use of reserves to TfSE.
24.7.6 Grants for capital or revenue purposes to outside organisations and persons for
which provision is made in the appropriate budget shall not be paid except by agreement
with the Finance Director who shall make such arrangements as he/she considers
necessary for this purpose.
24.8 Virements
24.8.1 The Finance Director shall be authorised to approve virements between
expenditure heads within the limits as set out in these Regulations and the Schedule of
Approvals. Anything in excess of these limits shall be reported for approval to TfSE.
Virements are deemed to be:
a) Revenue - a transfer of budget for a different purpose to that set out in the
approved Budget;
b) Capital - a movement of budget between approved capital schemes.
24.8.2 In accordance with the scheme of virement and associated thresholds, the Finance
Director is responsible for considering reports submitted by Chief Officers in respect of
virement proposals for revenue spending.
24.8.3 The Finance Director is to report and seek the approval of the Chief Officer to the exercise
of the virement powers of TfSE where a matter is urgent.
24.8.4 Appropriate Officers are to ensure compliance with the scheme of virement set out in the
Schedule of Approvals.
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24.9 Capital
24.9.1 There shall be no virement of capital spending where a capital project is the subject
of an individual Funding Letter giving funding approval from the Secretary of State
expenditure shall be in accordance with the terms of the Funding Letter.
24.10 Maintenance of Reserves/Provisions
24.10.1 The Finance Director will ensure that there are clear protocols for the establishment
and use of reserves/provisions and, will establish reserves and/or provisions and
provide guidance on how to incur expenditure from reserves/provisions.
24.10.2 Chief Officers must ensure that the use of reserves or provisions when approved is
planned in to the budget and used only for the purposes for which they were
intended.
24.11 Borrowing and Investments
24.11.1 The Finance Director shall be TfSE’s registrar of stocks, bonds, bills and mortgages and all
borrowings shall be made by, or under the supervision, of the Finance Director in the
name of TfSE.
24.11.2 The Finance Director shall ensure that the Treasury Management Code of Practice
and the Prudential Code are complied with and shall, as recommended by the Codes of
Practice, periodically submit relevant reports to TfSE in relation to TfSE’s borrowings.
24.12 Contracts
24.12.1 All contracts on behalf of TfSE shall be subject to TfSE’s Rules of Procedure in Part 5, of this
Constitution, the Schedule of Approvals set out in Appendix 5 and the Responsibility for
Functions in Part 3 of this Constitution.
24.12.2 The Finance Director shall be informed as soon as possible of all contracts,
agreements, awards or other instruments involving the payment or receipt of money on behalf
of TfSE and shall carry out such checks as he/she considers necessary during the currency of
a contract. Payment to contractors on account shall be authorised only on certified documents
signed by a duly authorised Officer, showing the total amount of the contract, value of the work
executed to date, retention money, amount paid to date and the amount now certified.
24.12.3 Every variation of a contract or addition to the original specification shall be
authorised, in writing, by a duly authorised Officer. Any such variation or addition which
necessitates an increase in the amount of an accepted tender or estimate shall be reported to
the Finance Director as soon as possible.
24.12.4 The final certificate on a contract or accepted estimate shall be issued by the duly
authorised Officer after he/she has submitted to the Finance Director a detailed statement of
account, together with such vouchers or documents as he/she may require.
24.12.5 In the case of contracts for works entered into by TfSE and supervised and managed by
persons other than TfSE’s own officers, the agreement with the person having control of the
work shall provide that he/she furnish to TfSE for inspection by their officers, all documents
and vouchers relating to prime costs, provisional sums, etc. Subject to the rights of other
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parties to the contract, the final certificate shall not be issued, nor the balance under such
contract paid until:
a) The Finance Director with the assistance of any appropriate officer has had the
opportunity to examine the accounts, vouchers and documents; and
b) If any question of propriety of payment arises, TfSE shall have authorised
payment.
24.12.6 Claims received from contractors in respect of matters clearly not within the terms
of the appropriate contract shall be referred to the Monitoring Officer for
consideration of TfSE’s legal liability and to the Finance Director for financial
consideration, before settlement is negotiated.
24.13 Estates and Property
24.13.1 The Chief Officer shall maintain a terrier of all estates and properties owned by TfSE in a form
approved by the Finance Director.
24.13.2 The Monitoring Officer shall be responsible for the safe custody of all legal documents under
secure arrangements agreed with the Finance Director.
24.14 Income
24.14.1 The collection of all money due to TfSE shall be under the supervision of the Finance Director.
24.15 Insurance
24.15.1 The Finance Director shall, subject to any general direction of TfSE, arrange such insurances
in the name of TfSE as he/she considers necessary, and shall inform Chief Officers annually of
the insurances in force in respect of his/her department.
24.15.2 Chief Officers shall give prompt notification to the Finance Director of all new risk,
properties or vehicles which require to be insured and of any alterations affecting
existing insurances.
24.15.3 Chief Officers shall inform the Finance Director promptly in writing of any event
which may involve TfSE in a claim on TfSE’s insurers.
24.15.4 Indemnities on behalf of TfSE can only be given by the Chief Officer.
24.16 CIPFA Treasury Management Code of Practice 2011
24.16.1 The CIPFA Code of Practice on Treasury Management in the public services was revised
in 2011.
24.16.2 In line with CIPFA recommendations, TfSE has adopted the following four clauses:
a) To create and maintain, as the cornerstones for effective treasury management:
i) A Treasury Management Policy statement, stating the policies,
objectives and approach to risk management of its treasury
management activities;
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ii) Suitable Treasury Management Practices (TMPs), setting out the
manner in which TfSE will seek to achieve those policies and objectives,
and prescribing how it will manage and control those activities.
b) TfSE will receive reports on its Treasury Management Policies, practices and
activities, including, as a minimum, an annual strategy and plan in advance of the
year, a mid-year review and an annual report after its close, in the form
prescribed in its TMPs;
c) TfSE delegates responsibility for the implementation and regular monitoring of its
Treasury Management Policies and Practices to the Audit Committee, and for the
execution and administration of treasury management decisions to the Finance
Director of the Combined Authority, who will act in accordance with TfSE’s policy
statement and TMPs and CIPFA’s Standard of Professional Practice on Treasury
Management;
d) TfSE has nominated its Audit and Governance Committee to ensure effective scrutiny of
the Treasury Management Strategy and Policies.
24.17 Internal Audit
24.17.1 The Finance Director shall, so far as he/she considers necessary:
a) Arrange for the internal audit of all accounts and financial transactions of TfSE
and its officers;
b) Supervise security arrangements and the custody and safeguarding of TfSE
moneys and property, including any funds entrusted to TfSE or its officers;
c) Undertake investigations in order to ensure that value for money is obtained and
loss through wastage minimised.
24.17.2 The Finance Director will make arrangements so that internal auditors have the
authority:
a) To have access to Authority premises at reasonable times;
b) To have access to documents, records and equipment in the possession of the
Authority;
c) To require any officer of the Authority to account for cash, stores or any other
Authority asset under their control;
d) Where possible, to have access to records belonging to third parties, such as
contractors, when required;
e) To receive information concerning any matter under investigation;
f) To have access to the Chief Officer and the Audit and Governance Committee
24.18 Payment of Accounts
24.18.1 Chief Officers shall be responsible for the certification and submission of invoices and
other claims to the Finance Director who shall make safe and efficient arrangements for
the payment of such accounts.
24.19 Taxation
24.19.1 The Finance Director is:
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a) Responsible for ensuring that taxation advice is available to Chief Officers to
ensure compliance with relevant legislation;
b) Responsible for maintaining TfSE’s tax records, making all tax payments,
receiving tax credits and submitting tax returns by their due date as appropriate;
c) To complete all HM Revenue and Customs returns regarding Pay As You Earn
(PAYE);
d) To complete a monthly return of VAT inputs and outputs to HM Revenue and
Customs.
24.19.2 Chief Officers are to:
a) Ensure that the correct VAT liability is attached to all income due and that all
claims for VAT recoverable on purchases complies with HM Revenue and
Customs regulations and all output tax is properly identified and recorded;
b) Ensure that the Authority is not put at risk in any funding arrangements by
identifying the correct VAT treatment in accordance with the VAT Act 1994;
c) Ensure that all persons employed by TfSE are added to the Council’s payroll and
that tax is deducted from any payments, except where the individuals are bona
fide self- employed or are employed by a recognised staff agency;
d) Follow any guidance on taxation that may be issued by the Finance Director.
25. Contract Procurement Rules
25.1 Standing orders with respect to the making by them or on their behalf of contracts for the
supply of goods or materials or for the execution of works are set out in Schedule TBC
[Note – these will be those of the Lead Authority until incorporation]
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SECTION A CODE OF CONDUCT FOR MEMBERS
PART 1 GENERAL PROVISIONS
26. General Provisions
26.1 TfSE is not required to adopt its own Code of Conduct for Members but each Member of TfSE
has been appointed by a Constituent Authority to represent it on TfSE.
26.2 In representing their Constituent Authority each Member will be acting as a Member of the
Authority and will be expected to comply with the provisions of their own Code of Conduct.
PART 2 DISCLOSABLE PECUNIARY INTERESTS
27. Notification of Disclosable Pecuniary Interests
27.1 Within 28 days of becoming a Member, you must notify TfSE’s Monitoring Officer of any
‘disclosable pecuniary interests’ by completing the prescribed form
27.2 A ‘disclosable pecuniary interest’ is an interest of yourself, or of your partner if you
are aware of your partner's interest, within the descriptions set out in the table
below.
27.3 "Partner" means a spouse or civil partner, or a person with whom you are living as
husband or wife, or a person with whom you are living as if you are civil partners.
Subject Description
Employment, office, trade,
profession or vocation
Any employment, office, trade, profession or vocation
carried on for profit or gain
Sponsorship Any payment or provision of any other financial benefit (other
than from TfSE) made or provided within the 12-month
period prior to notification of the interest in respect of any
expenses incurred by you in carrying out duties as a
Member, or towards your election expenses. This includes
any payment or financial benefit from a trade union within the
meaning of the Trade Union and Labour Relations
(Consolidation Act) 1992 (a).
Contracts Any contract which is made between you or your partner (or a
body in which you or your partner has a beneficial interest)
and TfSE –
a) Under which goods or services are to be provided or
works are to be executed; and
b) Which has not been fully discharged.
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Land Any beneficial interest in land which is within the area
of TfSE.
Licences Any licence (alone or jointly with others) to occupy
land in the area of TfSE for a month or longer.
Corporate Tenancies Any tenancy where (to your knowledge) –
a) The landlord is TfSE: and
b) The tenant is a body in which you or your
partner has a beneficial interest.
Securities Any beneficial interest in securities of a body where –
a) That body (to your knowledge) has a place of
business or land in the area of TfSE; and
b) Either:
i. the total nominal value of the securities
exceeds £25,000 or one hundredth of the
total issued share capital of that body; or
ii. if the share capital of that body is of
more than one class, the total nominal value of
the shares of any one class in which you or your
partner has a beneficial interest exceeds one
hundredth of the total issued share capital of that
class.
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27.4 For the purposes of the above:
a) "A body in which you or your partner has a beneficial interest" means a firm in
which you or your partner is a partner or a body corporate of which you or your
partner is a director, or in the securities of which you or your partner has a
beneficial interest;
b) "Director" includes a member of the committee of management of a registered
society within the meaning given by section 1(1) of the Co-operative and
Community Benefit Societies Act 2014, other than a society registered as a credit
union;
c) "Land" excludes an easement, interest or right in or over land which does not
carry with it a right for you or your partner (alone or jointly) to occupy the land or
receive income but includes your home, and
d) "Securities" means shares, debentures, debenture stock, loan stock, bonds, units
of a collective investment scheme within the meaning of the Financial Services
and Markets Act 2000 and other securities of any description, other than money
deposited with a building society.
27.5 Non-participation in case of disclosable pecuniary interest
27.5.1 If you are present at a meeting of TfSE, or any Committee, Sub- Committee, Joint
Committee or Joint Sub-Committee of TfSE, and you have a disclosable pecuniary
interest in any matter to be considered or being considered at the meeting,
a) You must not participate in any discussion of the matter at the meeting;
b) You must not participate in any vote taken on the matter at the meeting;
c) If the interest is not registered, you must disclose the interest to the meeting;
d) If the interest is registered you are also required to disclose the interest to the
meeting
e) If the interest is not registered and is not the subject of a pending notification, you
must notify TfSE’s Monitoring Officer of the interest within 28 days;
f) You are also required to withdraw from the room of the meeting while the matter
is being considered.
27.6 Offences
27.6.1 It is a criminal offence to:
a) Fail to notify TfSE’s Monitoring Officer of any disclosable pecuniary interest
within 28 days of appointment as a Member of TfSE;
b) Fail to disclose a disclosable pecuniary interest at a meeting if it is not on TfSE’s
Register;
c) Fail to notify TfSE’s Monitoring Officer within 28 days of a disclosable pecuniary
interest that is not on TfSE Register that you have disclosed to a meeting;
d) Participate in any discussion or vote on a matter in which you have a disclosable
pecuniary interest;
e) Knowingly or recklessly provide information that is false or misleading in notifying
TfSE’s Monitoring Officer of a disclosable pecuniary interest or in disclosing such
interest to a meeting.
27.6.2 The criminal penalties available to a court are to impose a fine not exceeding level 5
on the standard scale and disqualification from being a Councillor for up to 5 years.
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SECTION B CODE OF CONDUCT FOR OFFICERS
28. Standards
28.1 All those who live, work or travel within the area of TfSE and all those who engage with TfSE
are entitled to expect the highest standard of conduct. Officers have responsibilities to the
community they serve. Officers will strive to ensure courteous, respectful, efficient and
impartial engagement with all groups and individuals within that community.
28.2 The term Officers includes those officers employed by TfSE, and those officers who
employed by other authorities but are:
a) assigned or seconded to TfSE; or
b) exercising duties for or on behalf of TfSE
29. Open Government
29.1 Officers can help contribute towards the achievement of open government, must
not restrict anyone exercising a right to access information and should be aware of what
TfSE information is open to the public.
30. Equal Opportunity Issues
30.1 Officers must ensure that TfSE policy and legislation relating to equality and equal opportunity is
followed. All members of the community, customers and colleagues have a right to be
treated with fairness and equity.
30.2 Additionally, all officers must make sure they are aware of the factors which result in black and
ethnic minority people, disabled people, women, gay men and lesbians and others with a
protected characteristic suffering inequality and oppression and undertake their duties so as to
seek to redress this. If they become a victim of harassment at work they should report it to their
manager at the earliest opportunity.
31. Appointments
31.1 Where officers are involved in appointments they must do so on the basis of merit and comply
with TfSE’s Recruitment and Selection Code of Practice.
32. Political Neutrality and Working with Elected Members
32.1 Mutual respect between officers and elected members of TfSE is essential to good local
government. Close personal familiarity can damage that relationship and prove embarrassing to
both colleagues and Elected Members.
32.2 Whether or not an officer’s post is politically restricted, they must follow every lawfully
expressed policy of TfSE and not allow their personal or political opinions to interfere with
their work. Where they are required to give advice to Elected Members and colleagues, it
should be done with impartiality.
33. Service Provision
33.1 Each officer should understand the law governing their service and inform their
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manager or TfSE’s Monitoring Officer of any impropriety, breach of procedure,
unlawfulness or maladministration.
34. TfSE Property and Use of Facilities
34.1 The use of public funds is entrusted to officers in a responsible and lawful manner, ensuring
value for money for the local community.
34.2 Officers must use TfSE facilities only for TfSE business and respect the intellectual property of
TfSE which must not be used for personal gain or benefit.
35. Information Technology and Data Security
35.1 Officers should ensure that they follow any requirements relating to security procedures when
using computers and when storing and managing data.
36. Indemnification of Employees
36.1 Officers will be indemnified from personal legal action against them when acting in good faith in
the discharge of their duties.
37. The Media
37.1 Unless required to do so in the course of their work an officer must not deal directly with the
press or the media.
38. Contracts and Contractors
38.1 An officer must not seek or accept any gift or personal inducement in connection with the
procurement of works, goods or services.
38.2 Employees should inform their manager about relationships of a business or private
nature with external contractors or potential contractors. If involved in the tendering
process, they should ensure that it is open and above board, observing the rules
relating to separation of roles during tendering.
39. Sponsorship
39.1 Where TfSE wishes to sponsor an event, employees must ensure that they, their partner, or
relative, do not benefit in any way from such sponsorship without full disclosure to their
manager or the Monitoring Officer.
40. Hospitality and Gifts
40.1 Invitations to social or sporting events should be accepted only where the Monitoring Officer
has agreed that TfSE should be seen to be represented at the event.
40.2 If an employee accepts hospitality they should be mindful of all the circumstances. They should
get advanced authority from the Monitoring Officer and keep a record of such occasions.
They should not accept any significant personal gifts from contractors and outside
suppliers.
40.3 The Monitoring Officer may give further guidance on the acceptance of gifts and
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hospitality and may dispense with the requirement to obtain prior agreement in
relation to items of gifts and hospitality below a financial limit to be determined by him or her from
time to time.
41. Personal Interests: Financial and Non-Financial
41.1 An employee must declare any financial interests which could conflict with TfSE’s interests to
their manager or to the Monitoring Officer.
41.2 Non-financial interests that it could be considered could bring about conflict with
TfSE’s interests should also be declared e.g. membership of outside bodies in a
personal capacity.
41.3 Employees should be mindful not to place themselves in a situation where
involvement in outside bodies could compromise their continuing professional duty to the
interests of TfSE.
41.4 When serving on outside bodes as a TfSE appointee, an employee will of course be expected
to represent and promote TfSE’s interests and policies as the circumstance dictate.
41.5 Officers should also declare membership of any organisation which is not open
to the public, has no formal membership, requires a commitment of allegiance and which has
secrecy about its rules, membership or conduct.
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SECTION C MEMBER / OFFICER RELATIONS PROTOCOL
42. Introduction and Principles
42.1 The purpose of this Protocol is to guide Members of TfSE, its committees and joint committees
and Officers of TfSE, and of Constituent Authorities providing services to TfSE, its committees
and joint committees (“Officers”) in their relations with one another in such a way as to ensure the
smooth running of both organisations.
42.2 In this Protocol, references to members of TfSE include references, where
appropriate, to members of its committees and joint committees and references to officers of
TfSE include references where appropriate to officers of the Constituent Authorities who provide
services to TfSE, its committees and joint committees.
42.3 Given the variety and complexity of such relations, this Protocol does not seek to be
prescriptive or comprehensive. It simply offers guidance on some of the issues which most
commonly arise. It is hoped, however, that the approach which it adopts to these issues will
serve as a guide to dealing with other circumstances.
42.4 This Protocol is to a large extent a written statement of current practice and
convention. It seeks to promote greater clarity and certainty. If the Protocol is followed it should
ensure that Members receive objective and impartial advice and that Officers are protected from
accusations of bias and any undue influence from Members.
42.5 It also seeks to reflect the principles underlying the respective Codes of Conduct
that apply to Members and Officers. The shared object of these codes is to enhance and maintain
the integrity (real and perceived) of local government and the Codes, therefore, demand very high
standards of personal conduct.
42.6 This Protocol should be read in conjunction with the Members’ and Officers’
Codes of Conduct that apply from time to time and any guidance issued by the
Standards Committee and/or the Monitoring Officer.
43. General Points
43.1 Both Members and Officers are servants of the public and they are indispensable to
one another. But their responsibilities are distinct. Members are responsible to the electorate
and serve only so long as their term of office lasts. Officers are responsible to TfSE, its
committees and joint committees. Their job is to give advice to Members and to carry out work
under the direction and control of TfSE, its committees and joint committees.
43.2 At the heart of this Protocol is the importance of mutual respect. Member/Officer
relationships should be conducted in a positive and constructive way. Therefore, it is important
that any dealings between Members and Officers should observe reasonable standards of
courtesy and that neither party should seek to take unfair advantage of their position or seek to
exert undue influence on the other party.
43.3 A Member should not raise matters relating to the conduct or capability of an
Officer at meetings held in public or before the press. This is a long-standing tradition in
public service as an Officer has no means of responding to such
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criticisms in public. If a Member feels they have not been treated with proper respect, courtesy or has any concern about the conduct or capability of an Officer, and fails to resolve it through direct discussion with the Officer, they should raise the matter with the Chief Officer of TfSE who will then look into the facts and report back to the Member.
43.4 An Officer should not raise with a Member matters relating to the conduct or capability of
another Officer in a manner that is incompatible with the overall objectives of this Protocol.
Such matters should be raised with the Officer’s immediate line manager or the Chief Officer.
43.5 Nothing in this Protocol shall prevent an officer expressing a relevant concern under TfSE’s
Whistle Blowing Policy.
43.6 Where an Officer feels that they have not been properly treated with respect and courtesy by a
Member, they should raise the matter with the Chief Officer of TfSE who will take appropriate
action including approaching the individual Member concerned or discussing the matter with the
Monitoring Officer where they consider there may be a breach of the Members’ Code of Conduct.
44. Officer Support to Members: General Points
44.1 Officers must act in the best interests of TfSE, its committees and joint committees as a whole
and must not give politically partisan advice.
44.2 Close personal familiarity between individual Members and Officers can damage professional
relationships and can prove embarrassing to other Members and Officers. Situations should
be avoided therefore that could give rise to the appearance of improper conduct or
behaviour.
44.3 Certain statutory officers – the Chief Officer of TfSE, the Finance Director and the Monitoring
Officer have specific roles. These are addressed in the Constitution. Their roles need to be
understood and respected by all Members. In particular Members are reminded of the duty under
the Code of Conduct to have regard to any advice given by the Finance Director or the Monitoring
Officer.
44.4 The following key principles reflect the way in which Officers generally relate to
Members:
a) Officers undertaking work for TfSE are accountable to TfSE through the Chief
Officer;
b) Support from Officers is needed for all TfSE’s functions including full TfSE, its
committees and joint committees, individual Members representing their
communities etc;
c) Day-to day managerial and operational decisions should remain the responsibility
of the Chief Officer of TfSE and other Officers.
44.5 On occasion, a decision may be reached which authorises named Officers to take action
between meetings following consultation with a Member or Members. It should be recognised
that in these circumstances it is the Officer, rather than the Member or Members, who legally
takes the action and it is the Officer who is accountable for it.
44.6 Finally, it should be remembered that TFSE Officers undertaking work for TfSE are
accountable to the Chief Officer of TfSE and whilst Officers should always seek to assist
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a Member, they must not, in so doing go beyond the bounds of whatever authority they
have been given by the Chief Officer.
45. Officer Advice to Party Groups
45.1 It must be recognised by all Officers and Members that in discharging their duties and
responsibilities, Officers serve TfSE as a whole and not any political group, combination of
groups or any individual Member of TfSE. The assistance provided by Senior Officers can take
many forms ranging from a briefing meeting with a Member, Chair or other Members prior to a
meeting, to a presentation, to a full political group meeting. It is an important principle that such
assistance is available to all political groups and individual members.
46. Attendance at Party Political Group Meetings
46.1 Senior Officers may properly be called upon to assist and contribute to deliberations by party
groups but must at all times maintain political neutrality. All Officers must, in their dealings with
political groups and individual Members, treat them in a fair and even-handed manner.
46.2 Attendance at meetings of party groups is voluntary for Officers and must be authorised by the
Chief Officer of TfSE.
46.3 Certain points must, however, be clearly understood by all those participating in this type of
process, Members and Officers alike. In particular:
a) Officer assistance must not extend beyond providing information and advice in
relation to matters of TFSE business. Officers must not be involved in advising on
matters of party business. Internal party debates and decision making should
take place in the absence of Officers;
b) Party group meetings, whilst they form part of the preliminaries to TFSE decision
making, are not formal decision-making bodies of TfSE and are not empowered
to make decisions on behalf of TfSE. Conclusions reached at such meetings do
not therefore rank as TFSE decisions and it is essential that they are not
interpreted or acted upon as such; and
c) Similarly, where Officers provide information and advice to a party group meeting
in relation to a matter of TFSE business, this cannot act as a substitute for
providing all necessary information and advice to the relevant TFSE decision
making body when the matter in question is considered.
46.4 Special care needs to be exercised whenever Officers are involved in providing information and
advice to a party group meeting which includes persons who are not elected Members of one of
TfSE’s Constituent Authorities. Such persons are not bound by a Local Authority Code of
Conduct for Members (in particular, the provisions concerning the declaration of interests and
confidentiality). Officers would not be able to provide the same level of information and advice as
they would to a Member only meeting.
46.5 Officers must respect the confidentiality of any party group discussions at which they are
present. When information is disclosed to an Officer during discussions with a party group that
information should not be passed on to other groups. However, Members should be aware that
this would not prevent officers from disclosing such information to other Officers of TfSE so far as
that is necessary to performing their duties.
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46.6 Any particular cases of difficulty or uncertainty in this area of Officer advice to party groups
should be raised with the Chief Officer of TfSE who will discuss them with the relevant
group leader(s).
47. Members’ Access to Information and to Authority Documents
47.1 Members have various statutory and common law rights to inspect TfSE documents. A Member
must not disclose information given to him in confidence by anyone or information acquired which
they believe is of a confidential nature, without the consent of a person authorised to give it, or
unless they are required by law to do so and must not prevent another person from gaining
access to information to which that person is entitled by law. A breach of these requirements is a
breach of the Member’s Code of Conduct and actionable by way of complaint to the Member’s
Standards Committee. If the breach is serious a civil action may be brought against the Member
and / or TfSE for damages.
47.2 The Freedom of Information Act 2000 (FoIA) brought additional rights and responsibilities
regarding the disclosure of information. A “publication scheme” will be produced by TfSE setting
out the information which it will make publically available.
48. Correspondence
48.1 Correspondence between an individual Member and an Officer should not normally be copied
(by the Officer) to any other Member. Where it is necessary to copy the correspondence to
another Member, this should be made clear to the original Member. In other words, a system of
‘silent copies’ should not be employed.
48.2 Official letters on behalf of TfSE should normally be sent in the name of the appropriate
Officer, rather than in the name of a Member. It will, however, be appropriate in certain
circumstances (e.g. representations to a Government Minister) for a letter to appear in the
name of a Member or the Chair. Letters which, for example, create legal obligations or
give instructions on behalf of TfSE should never be sent out in the name of a Member.
49. Publicity and Press Releases
49.1 In recent years, all authorities have increasingly used publicity to keep the public informed and to
encourage public participation. The Government has issued a Code of Recommended Practice
on Local Authority Publicity and all local authorities must have regard to the provisions of any such
Code in coming to any decision on publicity. In particular members and officers should note that
during the election period special rules apply with regard to local authority publicity.
49.2 Officers and Members of TfSE will, therefore, in making decisions on publicity, take account of
the provisions of the Code of Recommended Practice on Local Authority Publicity and any
further guidance issued by the Chief Officer of TfSE. If in doubt Officers and / or Members should
seek advice from the Chief Officer or the Monitoring Officer.
49.3 All press releases are issued through the Chief Officer on behalf of TfSE. Press releases are
not issued by TfSE on behalf of political groups. They can contain the comments of
Members and Committee Chairs where they are speaking in connection with the roles
given to them by TfSE. Officer’s comments can be included on professional and technical
issues.
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50. Officer / Member Protocol
50.1 Monitoring compliance with this protocol is the responsibility of the Monitoring Officer.
50.2 Questions of interpretation of this Protocol will be determined by the Monitoring Officer.
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SECTION D CODE OF CORPORATE GOVERNANCE
51. Introduction
51.1 The definition of corporate governance is that it is about ‘how bodies ensure they
do the right things, in the right way, for the right people, in a timely, inclusive, open,
honest and accountable manner. It comprises the systems and processes, and
culture and values, by which bodies are directed and controlled and through which
they account to, engage with and, where appropriate, lead their communities’.
51.2 Transport for the South East (TfSE) has approved and adopted a code of corporate
governance which is consistent with the principles of the best practice guidance
issued jointly by the Chartered Institute of Public Finance and Accountancy (CIPFA)
and the Society of Local Authority Chief Executives (SOLACE). The framework is
based upon the following six core principles:
a) Focusing on the purpose of TfSE and the outcomes for the community and
creating and implementing a vision for the local area;
b) Members and officers working together to achieve a common purpose with
clearly defined functions and roles;
c) Promoting values for TfSE and demonstrating the values of good governance
through upholding high standards of conduct and behaviour;
d) Taking informed and transparent decisions which are subject to effective scrutiny
and managing risk;
e) Developing the capacity and capability of members and officers to be effective;
f) Engaging with local people and other stakeholders to ensure robust public
accountability.
51.3 TfSE is committed to meeting these principles and this statement sets out how the supporting
principles beneath each statement will be achieved, monitored and reviewed.
51.4 TfSE’s Core Principles
51.4.1 Our mission is to grow the South East’s economy by delivering a quality, integrated transport
system that makes us more productive and competitive, and improves the quality of life for all
whilst protecting the environment..
51.4.2 Supporting principles:
a) Exercising leadership by clearly communicating TfSE’s purpose and vision and
its intended outcome for residents and service users; TfSE working closely with
the Transport for the South East Partnership Board has drawn up the Transport
Strategy. This sets out the vision for the south east to be a leading global region
for net-zero carbon, sustainable economic growth where integrated transport,
digital and energy networks have delivered a step change in connectivity and
environmental quality.. This Strategy will form the basis for further area studies
which will consider the potential of strategic corridors within the;
b) The Strategic Investment Plan will set out the transport priorities for the region
including specific projects, funding and timescales for delivery;
c) Ensuring that users receive a high quality of service;
d) TfSE will produce regular reports setting out its targets and the achievement
against them. This will include progress on key investment projects;
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e) Ensuring that TfSE makes best use of resources and that tax payers and service
users receive excellent value for money;
f) TfSE will prepare a medium term financial strategy which is scrutinised by
Members to ensure it supports the ambitions of TfSE. Detailed annual budgets
are considered and approved by TfSE and shared with the constituent Councils.
Annual accounts are produced within three months of the year end and an audit
opinion on these and on the value for money position is provided by external
auditors.
51.4.3 Members and officers working together to achieve a common purpose with clearly
defined functions and roles.
51.4.4 Supporting principles:
a) Ensuring effective leadership throughout TfSE;
b) Ensuring a constructive working relationship exists between elected Members
and Officers;
c) Ensuring relationships between TfSE and the wider Partnership are clear.
51.4.5 TfSE has in place clear constitutional documents and a Committee structure covering all
aspects of TfSE’s activities. The Partnership Board, supported by the LEPs, brings
together Members and business leaders from the private sector to advise TfSE on
strategic decisions.
51.4.6 Schemes of delegation have been put in place to enable Committees, the Chief Officer,
Monitoring Officer and Directors to work effectively and make decisions in a
transparent way. Statutory officers with the appropriate skills and resources have
been appointed and ensure advice is given on the necessary financial and
procedural matters.
51.4.7 The ways of working are published and reviewed annually, including Standing
Orders and Financial Regulations, schemes of delegation, and a protocol for
Member/Officer relations. A Scrutiny Committee of co-opted members from all
constituent authorities includes within its terms of reference the review of any
decision of TfSE and an Audit and Governance Committee oversees financial and
audit matters.
51.4.8 Promoting values for TfSE and demonstrating the values of good governance through
upholding high standards of conduct and behaviour.
51.4.9 Supporting principles
a) Ensuring members and officers exercise leadership by behaving in ways that
uphold high standards of conduct and exemplify effective governance;
b) Ensuring that organisational values are put into practice and are effective;
c) TfSE expects the highest standards of conduct and personal behaviour from its
Members and officers. Robust arrangements are in place to ensure that these high
standards are promoted and upheld. Organisational values have been adopted by
TfSE and are reflected in policies and protocols;
d) TfSE has issued, and keeps under regular review, a number of documents including
an Officer Code of Conduct, a complaints procedure and an anti-fraud and anti-
corruption policy which includes the whistleblowing policy. All officers are trained in
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the values, standards, policies and procedures that TfSE expects them to adhere to
51.4.10 Taking informed and transparent decisions which are subject to effective
scrutiny and managing risk.
51.4.10 Supporting principles:
a) Exercising leadership by being rigorous and transparent about how decisions are
made;
b) Having good quality information, advice and support;
c) Making sure an effective risk management system is in place;
d) Recognising the limits of lawful action;
e) TfSE ensures that decision making is transparent and that appropriate advice is
taken in reaching decisions. All decisions of TfSE and its Committees are made
in public meetings with documents available to the public via the internet. Officer
decisions are taken in accordance with the schemes of delegation in place and
are recorded. The Partnership Board publishes its papers and minutes via the
internet. Investment decisions are made in the context of an assurance
framework that meets national guidance and that is reviewed annually. The
Scrutiny Committee, made up of co-opted Members from across the region,
meets regularly and provides the mechanism for ongoing constructive scrutiny
and challenge;
f) Appropriately skilled and qualified officers provide advice and input to the
decision-making process;
g) TfSE has in place a Publication Scheme that complies with the requirements of
the Transparency Code and enables the public to directly access a range of
information on its website;
h) A risk management framework is in place and is overseen by the Audit and
Governance Committee. Senior Officer Group will manage and develop the risk
management arrangements and oversee health and safety risks, ensuring
compliance with health and safety legislation and an appropriate management of
those risks. A risk manual provides practical guidance to officers in recording,
monitoring and managing risk through the performance management system;
i) TfSE has arrangements in place to ensure it collects, uses and stores information
and data appropriately;
j) The Audit and Governance Committee oversees all governance arrangements
and ensures these are operating effectively. It monitors and formally reviews the
work of the internal audit function and considers the annual review of internal
control produced by the Internal Audit Manager;
k) TfSE is committed to openness and transparency and arrangements are in place
to enable webcasting of meetings of TfSE and its committees and ensuring
similar standards of transparency are achieved for Partnership Board meetings.
Further consideration of the Publication Scheme will also take place to
understand whether there is further information that could be published.
51.4.11 Developing the capacity and capability of members and officers to be effective.
51.4.12 Supporting principles: Making sure Members and Officers have the skills, knowledge, experience
and resources they need to perform well;
a) Developing the capability of people with governance responsibilities;
b) Encouraging new talent for membership of ;
c) TfSE seeks to ensure all Members and Officers have the necessary skills and
training to fulfil their roles. Members receive an induction programme when they
are appointed to TfSE and this is supplemented by specialised training courses
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where appropriate. Officers are appointed using competency based job
descriptions and their performance against these competencies is regularly
monitored and reviewed. A detailed learning and development plan ensures that
training needs are met at both an individual and an organisational level.
51.4.13 Engaging with local people and other stakeholders to ensure robust public accountability.
51.4.14 Supporting principles:
a) Exercising leadership through a robust scrutiny function which effectively
engages local people and all local institutional stakeholders;
b) TfSE engages with stakeholders and local people in a variety of ways. Its actions
are readily available to the public via the publication of all meeting papers and
decisions on the internet and the public nature of all its meetings;
c) The Partnership Board provides the forum for bringing together the public and
private sector on strategic policy matters;
d) TfSE website is set up both to provide information and to engage with local
people;
e) For all significant projects and strategies public consultation will be undertaken
both electronically and in the form of public meetings;
f) Work to be undertaken during the year will include consideration of how current
arrangements for local engagement on transport matters could be extended to
include the wider economic agenda. The format and nature of these meetings will
also be considered.
51.5 Monitoring and Review
51.5.1 It is the responsibility of the Audit and Governance Committee to keep corporate
governance matters under review. As part of this process it undertakes regular
reviews throughout the year with a formal review at the year end of the processes
and systems in place during the year. This includes the results of the work carried out
by the internal audit section. The Committee reviews the Annual Governance
Statement which forms part of the statutory annual accounts which are subject to
external audit. The Committee review and recommend this statement to TfSE for
consideration and approval.
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SECTION E ANTI FRAUD & CORRUPTION POLICY
To be that of the Lead Authority
SECTION F WHISTLEBLOWING POLICY
Whistleblowing Policy and Procedure Policy Statement
To be that of the Lead Authority
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TO BE FINALISED ON CONFIRMATION OF STATUTORY STATUS
TRANSPORT FOR THE SOUTH EAST CONSTITUTION: APPENDICES
INDEX
Appendix 1: Distribution of Votes 64
Appendix 2: Financial Contributions 65
Appendix 3: Governance Framework 66
Appendix 4: Protocol on the Exercise of Concurrent Functions 73
Appendix 5: The Schedule of Approvals 75
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Appendix 1 – DISTRIBUTION OF VOTES
TfSE constituent authorities Population1 Number of votes
2
Brighton and Hove City Council 287,173 2
East Sussex County Council 549,557 4
Hampshire County Council 1,365,103 10
Isle of Wight Council 140,264 1
Kent County Council 1,540,438 11
Medway Council 276,957 2
Portsmouth City Council 213,335 2
Southampton City Council 250,377 2
Surrey County Council 1,180,956 8
West Sussex County Council 846,888 6
Bracknell Forest Council 119,730
Reading Borough Council 162,701
Royal Borough of Windsor & Maidenhead 149,689
Slough Borough Council 147,736
West Berkshire Council 158,576
Wokingham Borough Council 163,087
Berkshire Local Transport Body (total) 901,519 6
Total 7,552,567 54
1 Population as per ONS 2016 estimates
2 Number of votes = population/140,000 (the population of constituent authority with the smallest
population, this being the Isle of Wight)
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Appendix 2 – FINANCIAL CONTRIBUTIONS 1 The Lead Authority shall invoice the other Parties for their Financial Contribution on an annual basis (“the Payment Period”). The Financial Contribution due to the Lead Authority shall be paid by each relevant Party within 30 days of receipt of the invoice. 2 The Parties’ Financial Contributions shall be calculated in accordance with the table below: Name of Constituent Authority Type of Authority Share of costs of the Project
East Sussex County Council County 11.65% Hampshire County Council County 11.65% Kent County Council County 11.65% Surrey County Council County 11.65% West Sussex County Council County 11.65%
Brighton and Hove City Council Unitary 6.02% Isle of Wight Council Unitary 6.02% Medway Council Unitary 6.02% Portsmouth City Council Unitary 6.02% Southampton City Council Unitary 6.02%
Bracknell Forest Council Shared Vote 1.94% Reading Borough Council Shared Vote 1.94% Slough Borough Council Shared Vote 1.94% West Berkshire Council Shared Vote 1.94% The Royal Borough of Windsor and Maidenhead
Shared Vote 1.94%
Wokingham Borough Council Shared Vote 1.94%
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Appendix 3 – GOVERNANCE FRAMEWORK
1. Introduction
1.1 This document sets out TfSE’s governance and high level working arrangements and should
be read in conjunction with the TfSE Constitution. The governance framework forms an
appendix to TfSE’s constitution but can be regarded as a free-standing document. In the
case of inconsistency between the two documents, the Constitution prevails.
1.2 Corporate Governance is defined as the system by which TfSE is directed and controlled.
1.3 The Governance Framework:
Establishes the control environment, by setting out the control activities to be
undertaken, how they will be undertaken and who will do them; and
Develops the foundations for governance, review and reporting framework around the
integrated organisation.
1.4 This document will be maintained as a working document. Feedback is encouraged and will be
considered on the whole, before being incorporated where practicable.
1.5 This document has been prepared in conjunction with the Constitution of TfSE and will be
maintained and updated accordingly.
2. Overview
2.1 These governance arrangements have been established in accordance with the Constitution
of TfSE.
2.2 The Constitution outlines how TfSE operates, how decisions are made and the procedures
which are followed in order to ensure that TfSE operates efficiently, effectively and in a
transparent and accountable manner.
2.3 The benefits of an established Governance Framework include:
Providing assurance to TfSE of the effectiveness and efficiency of the overall
project and programme delivery;
The establishment of high-level working arrangements and practices; and
The formalisation of required reporting structures which will allow the performance
of functions, projects and programmes to be monitored and measured.
2.4 Formal governance arrangements define:
Lines of authority, accountability and assurance;
Governance Bodies / Organisation;
Frequency of meetings; and
Terms of Reference of each.
3. Governance Framework
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3.1 Terms of Reference for each body is provided below. This sets out the breakdown of governance roles,
and the authorities and responsibilities of each body, in accordance with legislation.
3.2 The Terms of Reference of TfSE Committees (described in the constitution in Part 4) are approved by
TfSE at a Full Meeting of its Members and will be kept under review.
4. TfSE Members’ Bodies
4.1 Section 4 describes those committees which are primarily member bodies.
4.2 Audit and Governance Committee Terms of Reference
Entity Audit and Governance Committee
Members Member (Chair)
4 Members of TfSE
An independent Member (roles to be recruited to supply
required specialist skills)
In Attendance Finance Director
A representative of DfT
Any other person at the invitation of the Committee or the Statutory
Officers
Establishment
The Audit and Governance Committee will be established as a committee of the TfSE Members’ Board in
accordance with the TfSE Constitution. It has the following purposes:
(i) assisting the TfSE Members’ Board in meeting its responsibilities in relation to the integrity of TfSE’s
financial reporting, including the effectiveness of the internal control and risk management systems;
(ii) monitoring the effectiveness and objectivity of internal and external auditors; and
(iii) assisting the TfSE Members’ Board in providing leadership, direction and oversight of the overall
risk appetite and risk management strategy.
Membership
The Members of the Audit and Governance Committee are the Members of TfSE appointed to the Committee and the
Independent Members co-opted to the Committee by TfSE Members’ Board in accordance with the powers granted to
TfSE under the Statutory instrument.
Meetings
The Audit and Governance Committee shall meet quarterly or at such intervals as the Chair may decide.
A meeting shall be quorate where three Members of whom at least 2 are representatives of the Constituent
Authorities are present
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The Committee may invite any individual, whether internal or external, to attend all or part of any meeting in
whatever capacity as the Chair of the Committee deems appropriate in order to assist the Committee in its
duties.
The Committee will meet privately with the external auditor at least once a year, without the presence of TfSE
Officers.
The Head of Legal Services, or a delegate, will attend each meeting as Secretary. The Committee shall meet
quarterly or at such intervals as the Chair may decide.
Authorities and Responsibilities
The Audit and Governance Committee will advise the TfSE Members’ Board on the matters set out below:
(i) financial reporting, internal control and audit processes; and
(ii) advising the TfSE Members’ Board on the risk exposures of TfSE, reviewing
TfSE’s risk management framework and monitoring its effectiveness and adherence to the risk
policies.
Risk Management
Independently monitoring and assessing the adequacy and effectiveness of the risk management framework,
with particular focus on:
(i) the risk management strategy for managing key risks;
(ii) risk ownership, accountability and the development of mitigating actions;
(iii) the alignment of internal audit and other assurance planning through a risk-based approach to
auditing; and
(iv) receiving reports from management on the adequacy and effectiveness of the internal control and risk
management framework.
Financial Control Framework
Advise the Finance Director in respect of the Annual Governance Statement to be incorporated within the
Annual Reports and Accounts.
Considering the robustness of financial controls, including the financial reporting process; the accounting
policies; and the Annual Statement of Accounts of the TfSE Members’ Board, to ensure that published financial
information has integrity; is balanced; and is transparent; and also seeking to ensure assets are safeguarded
against fraud and irregularity.
Considering, (in the absence of management if appropriate), sensitive audit findings and matters which the
internal and external auditors may wish to raise and to report, if appropriate, to the Board with any
recommendations for improvements.
Seek assurances regarding the adequacy and effectiveness of TfSE’s arrangements to satisfy the
requirements of the [CIPFA/SOLACE] framework of corporate governance.
Internal Audit
Will consider and advise the Board annually on the adequacy of the rolling work plans for internal audit and ensure that
the work plans link appropriately to those of the external auditors and other assurance providers. At each meeting will
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receive a report from the [Internal Audit Representative] which will include:
(i) progress made on delivery of the audit plan;
(ii) any proposed changes to the annual audit plan;
(iii) key findings arising from Internal Audit and, where appropriate, compliance work;
(iv) the timeliness and suitability of management responses to audit recommendations;
progress made in implementing Internal Audit recommendations; and
(v) any significant resourcing issues affecting the delivery of Internal Audit objectives.
Will discuss with [Internal Audit Representative], as appropriate, any issue relating to their report, in the
absence of management where necessary. The Committee may also direct Internal Audit to carry out work in
any area where it believes further assurance is required.
Will ensure the Internal Audit function is adequately resourced and has the necessary experience, skills,
independence and appropriate standing within the organisation.
Will conduct an annual review of the effectiveness of internal audit; this should include consideration of the
effectiveness of any internal audit services provided by third parties.
The Committee may invite to meetings those Functional Leads responsible for internal audit recommendations
to explain the reasons for agreed timescales not being met or in instances where Internal Audit are not satisfied
that action taken has addressed the risk appropriately.
External Audit
To review progress reports, to be provided at each meeting, from the External Auditors on work that they
are performing including both interim and annual accounts audits, value for money exercises and other
reviews.
Overseeing TfSE’s relations with the external auditor.
Considering and making recommendations on the appointment, reappointment and removal of the external
auditor as far as the Audit Commission’s rules permit.
Approving the terms of engagement and remuneration to be paid to the external auditor.
Assessing the qualification, expertise and resources, effectiveness and independence of the
external auditors annually.
Discussing with the external auditor, before the audit commences, the nature and scope of the audit.
Reviewing with the external auditors, the findings of their work including, any major issues that arise during the
course of their audit that have subsequently been resolved and any issues that remain unresolved; key
accounting and audit judgements; and any errors identified during the audit, obtaining explanations from
management and where necessary, the external auditors, as to why certain errors might remain unadjusted.
Reviewing the audit representation letters before consideration by the TfSE Members’ Board, giving
particular consideration to matters that relate to “nonstandard” issues.
Assessing at the end of the audit cycle, the effectiveness of the audit process, by reviewing whether the
external auditor has delivered against the agreed audit plan and understanding the reasons for any changes,
including changes in perceived audit risks and the work undertaken by the external auditors to assess those
risks.
Considering the robustness and perceptiveness of the auditors in their handling of the key accounting and audit
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judgements identified and in responding to questions from the Audit and Governance Committee, and in their
commentary, where appropriate on the systems of internal control.
Obtaining feedback about the conduct of the audit from key individuals involved in the process; and
Reviewing the annual Audit Letter to assess whether it is based on a good understanding of the
company’s business and establish whether recommendations have been acted upon.
Compliance with laws and regulations
The Audit and Governance Committee is responsible for:
(i) Reviewing the effectiveness of the system for monitoring compliance with laws and regulations and advising on
the adequacy of TfSE’s counter-fraud policies and procedures and ensuring that arrangements are in place by
which staff may, in confidence, raise concerns about any potential improprieties.
(ii) Receiving reports of management’s investigations and any action taken in respect of any fraudulent act
or non-compliance with laws and regulations.
Governance and Support
Minutes of the meetings shall be taken and reported to the TfSE Members’ Board.
The Committee will undertake an annual review of its own performance and review its Terms of
Reference, recommending any changes it considers necessary to the TfSE Members’ Board for approval.
Appropriate and timely training will be available, both in the form of an induction programme for new Members
and on an ongoing basis for all Members.
4.3 Scrutiny Committee Terms of Reference
Entity TfSE Scrutiny Committee
Members Constituent Authority Representatives and any co-opted Members
In attendance Any other person at the invitation of the TfSE Scrutiny Committee
Authorities and Responsibilities
These arrangements have been established to act as a focus for the scrutiny and challenge of the TfSE
Members’ Board and to investigate matters of strategic importance to the combined administrative area
covered by the constituent authorities.
The role of these arrangements will include monitoring and to make recommendations for
improvement and/or changes on:
(i) The decisions of TfSE;
(ii) The decisions of TfSE which are taken by TfSE in accordance with the delegations
(iii) Making reports or recommendations to TfSE with respect to the discharge of the functions of TfSE;
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and
(iv) Making reports and recommendations on transport matters that affect the area of TfSE or the
inhabitants of the area.
(v) Making recommendations to TfSE in advance of any decisions that TfSE proposes to take
In order to discharge these responsibilities, the Scrutiny Committee has the power to:
(i) To review and scrutinise decisions made or other action taken by TfSE;
(ii) To make reports or recommendations with respect to the discharge of the functions of TfSE;
(iii) To make reports or recommendations on transport matters that affect the area of TfSE or inhabitants
of the area;
(iv) To require members or officers of TfSE to attend meetings of the Committee to answer
questions;
(v) To invite other persons to attend meetings of the Committee.
Key Principles for the Operation of the Scrutiny Committee
The constituent authorities will work together to maximise the exchange of information and views, to minimize
bureaucracy and make best use of the time of members and officers of other bodies or agencies.
(i) Members of the Scrutiny Committee will, when considering reviews, determine whether the issue is
more appropriately dealt with by one of the constituent councils or elsewhere and will not duplicate
the work of existing bodies or agencies.
(ii) Subject to prior consultation, the constituent authorities will respond positively to requests for
information, or for the attendance of a member or officer at any meetings set up under these
arrangements.
(iii) It is for each constituent council to decide who it considers the most appropriate person(s) to speak
on its behalf at any meetings set up under these arrangements.
Scrutiny Panels
The Scrutiny Committee can establish Scrutiny Panels to undertake agreed scrutiny reviews.
Scrutiny Panels established shall include representatives from at least 3 of the constituent councils.
Each Scrutiny Panel shall appoint a Chair and Vice Chair from amongst its members.
Scrutiny Panels established under this protocol must be appointed to carry out specific scrutiny tasks and be time
limited. Their continuation will be subject to confirmation at each annual meeting of the Scrutiny Committee.
Different approaches to scrutiny reviews may be taken in each case but members will seek to act in an
inclusive manner and will take evidence from a wide range of opinion.
Voting if needed will be by a show of hands and a simple majority will be required to approve any
recommendation.
The Scrutiny Panels will meet as appropriate for the scope of scrutiny required.
Budget and Administration
The Scrutiny Budget will be agreed as part of TfSE’s annual budgetary processes.
The budget will be required to meet all officer support to the scrutiny arrangements, including research support.
The decisions and recommendations of any Scrutiny Panels set up under these arrangements will be
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communicated to TfSE, and other Scrutiny Committee members as soon as possible after resolution by those
appointed to any such Scrutiny Panel.
Any external expenditure shall be procured and managed through and in accordance with TfSE’s adopted
financial processes.
5. TfSE Officer Bodies
5.1 Section 5 describes those bodies which consist of TfSE officers and officers co-opted from
other organisations.
TBC
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Appendix 4 – PROTOCOL FOR THE EXERCISE OF CONCURRENT FUNCTIONS
Date
Between
Transport for the South East (TfSE)
And
(Constituent Authorities/ other Authorities)
Background
1) By Regulations made the [Date/Month/Year] TfSE has been established as a Sub-national
Transport Body with the following key functions.
a) The preparation of a South East Transport Strategy;
b) The provision of advice on the South East’s priorities as a Statutory Partner in the
Departments investment processes;
c) The co-ordination of regional transport activities (such as smart ticketing);
2) The carrying out of these functions may entail the exercise of the functions set out in the
Regulations which TfSE holds concurrently with the Constituent Authorities or other local
authorities. TfSE and the Constituent Authorities have agreed to enter into this Protocol to
govern the way in which these concurrent functions will be exercised.
Protocols
1) Where TfSE has defined a project, gained the consent of the relevant authorities and the
scheme has been approved by TfSE, the Constituent Authorities acknowledge in
principle that TfSE shall exercise those powers and functions which it holds concurrently
with the Constituent Authorities so as to enable it to carry out the project, subject to the
consent provisions set out in the TfSE Regulations. A project shall be any defined
proposal for works that is to be proposed to the Partnership Board and to the TfSE Board
for approval.
2) TfSE agrees that where it proposes to carry out a project that requires the exercise of concurrent
powers within the geographical area of one or more of the Constituent Authorities it will carry out
prior consultation with any relevant Authorities including those Constituent Authorities and other
Authorities over the exercise of those powers and functions, and agrees that it must gain their
consent prior to TfSE considering whether to approve the project.
3) TfSE agrees that it will not exercise the highway powers or functions it holds concurrently with
the highway or other relevant authorities without having first obtained the agreement of the
authorities concerned to the exercise of those powers and functions and the manner in which
they will be exercised
4) TfSE agrees that it will request any consents required under the Regulations in relation
to:
The exercise of any concurrent function or the manner in which TfSE
proposes to exercise any concurrent function in a timely manner, and that
where practicable, this should be secured before the approval of the project.
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TfSE will exercise its concurrent functions in such a way as to be compatible
with and complementary to the exercise of these functions by the Constituent
Authorities
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5) Where either party consider that the scale and nature of a project are of a complex
nature TfSE and the Constituent Authority or other Authority will enter into a bespoke
Protocol to govern the way in which TfSE’s activities will interact with those of the
Constituent Authority or other Authority.
6) The parties will act in a spirit of mutual co-operation but any disagreement between
TfSE and a Constituent Authority or other Authority about the exercise of concurrent
powers and functions will be referred in the first instance to the Chief Officers of TfSE
and the other party with a view to achieving a resolution between the parties, and in
default of agreement to the Partnership Board for resolution provided always that
notwithstanding any recommendations made by the Partnership Board under this
provision , the consent of any Authority required under the Regulations wi ll still be
required.
7) Future operations of TfSE should, where possible, seek to draw down powers from
central government, rather than seek concurrent powers with the local transport
authorities.
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Appendix 5 – SCHEDULE OF APPROVALS
Category Functional Lead TfSE Members’ Board
1. Approval of TfSE’s
Business Plan and Capital and
Revenue Budgets
Preparation coordinated by Finance Director Approval
2. Virement between
heads of expenditure within
revenue budgets
Director approval for both the receiving and
transmitting budgets up-to £100,000
All amounts up-to £25,000 require approval
by Financial Controller.
All amounts greater than £25,000 require
approval by Finance Director.
CEX to provide final approval on all
virements greater than £100,000.
Will be provided with a budget revision each
quarter.
Budget Virements between revisions will
be reported in the Quarterly Operating
Report.
3. Approval of release of
contingency (not including
financial reserves)
Director approval for the release budgeted
contingency.
All amounts up-to £25,000 require approval
by Financial Controller.
All amounts greater than £25,000 require
approval by Finance Director.
4. Approval of release of
financial reserves
(supplemental estimates
resourced from reserves)
Finance Director and Chief Officer to
approve non- budgeted draws on reserves
Members to be informed of non-budgeted
draws on reserves.
5. Approval to
commission budgeted
works, goods and services
from TfSE Core funding.
Up-to £50,000 requires formal budget holder
approval and approval from the Financial
Controller.
Greater than £50,000 also requires
functional Director, Finance Director, and
CO approval.
Procurement Manager consulted on all
amounts.
Prior approval of Scope / remit required for
contracts more than £1,000,000.
6. Approval to award
contracts for which
appropriate commissioned
approvals exist for the
supply of works, good and
services from TfSE Core
funding.
Up-to £50,000 requires formal budget
holder and Financial Controller approval
All amounts above £50,000 require
functional Director and Finance Director
approval.
All amounts greater than EU threshold
also to require CO approval.
Procurement Manager consulted on all
amounts.
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7. Approval to submit
business cases to access
capital funding
Up to £1,000,000 to require approval from
the functional Director, the Finance Director,
and CO
Prior approval of Scope / remit required for
Business case applying for greater than
£5,000,000.
8. Agree terms of funding
agreements with DfT / other.
Up to £5,000,000 to include the Finance
Director
Above £5,000,000 to include the CO
9. Approval to commission
works, goods and services for
Programme /Capital items
with business case approval /
funding approval. NB – these
will be subject to funding
conditions.
Up-to EU threshold requires formal
budget holder and Financial Controller
approval
Greater than EU threshold requires functional
Director Finance Director approval.
Greater than £1,000,000 also to requires
CO approval.
Procurement Manager consulted on all
amounts.
Actual capital expenditure to be reported
against budget in Quarterly reporting.
10. Approval to award
contracts for which appropriate
commissioned approvals exist
for the supply of Programme /
Capital works (potentially
including goods and services)
Up-to EU threshold requires formal
budget holder and Financial Controller
approval.
All amounts greater than EU threshold also
require approval from the functional director,
the Finance Director, and the CO.
Procurement Manager consulted on all
amounts.
11. Contract cost over-
runs to any contracts already
awarded (subject to
compliance with legislation,
and commissioning and
procurement regulations).
Up-to EU threshold requires formal
budget holder and Financial Controller
approval.
All amounts greater than OJEU threshold
require approval from the functional
director and Finance Director and CO.
Procurement Manager consulted on all
amounts.
All changes to contracts that result in additional
expenditure will be reported as part of in-year
budget monitoring reports.
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12. Contract scope
changes to contracts for
budgeted works, goods and
services from TfSE Core
funding (subject to
compliance with legislation,
and commissioning and
procurement regulations).
Up-to £50,000 requires formal budget
holder and Financial Controller approval.
All amounts greater than £50,000 require
approval from the functional director and
Finance Director and CO.
Procurement Manager consulted on all
amounts.
Prior approval of scope / remit required for
scope changes to contracts where the total
aggregate value is more than £1,000,000.
13. Contract scope
changes to contracts for the
supply of budgeted
Programme / Capital items
with business case approval /
funding approval. NB – these
will be subject to funding
conditions. (subject to
compliance with legislation,
and commissioning and
procurement regulations).
Up-to EU threshold requires formal
budget holder and Financial Controller
approval.
All amounts greater than EU threshold
require approval from the functional
director and Finance Director.
Greater than £1,000,000 also requires CO
approval.
Procurement Manager consulted on all
amounts.
14. Grant Awards to third
parties. (Prior approval of
the intention to disburse
grant required)
Up-to £200,000 to include functional
Director, Finance Director and CO.
15. Bidding for
Grants from DfT
or other bodies
Thematic directors to manage the
development of bids.
Finance Director to formally approve bids
following endorsement by the thematic
Director.
CO to approve all Grant bids up to
£1,000,000.
Prior approval for bids for more than
£5,000,000.
All grant bids to be reported quarterly.
16. Approval of Suppliers Procurement Manager, with engagement
with the Financial Controller where
appropriate for credit checks.
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17. Purchases below
£1,000
Budget holder and Financial Controller
approval, in accordance with relevant
policies (including travel and expenses). If
purchase is a call off from an existing
contract, a copy of the agreed price is
required. If the purchase is from a new
supplier, 3 written quotes are required
obtained by TfSE officer.
18. Purchases likely to
exceed £1,000 but below
£10,000
Three written quotes obtained by TfSE
officer, approved by budget holder and
Financial Controller.
19. Purchases likely to
exceed £10,000.
Three written quotations obtained by
Procurement Manger, approved by budget
holder and Financial Controller.
20. Purchases likely to
exceed £50,000.
Formal competition managed by
Procurement Manager in consultation with
Finance Director
21. Purchases likely to
exceed EU threshold or
relevant procurement
thresholds.
Refer to Procurement Manager
22. Disposal of assets (values
based upon the market value
of the assets pre- disposal).
Up-to £50,000
All amounts up to £25,000 Finance Director.
Amounts greater than £50,000 to also to
include the CO.
To be informed of asset disposals in
Quarterly Operating Report.
23. Write-off of assets,
including bad debts
Up-to £500,000
All amounts up to £250,000 Finance Director.
Amounts greater than £250,000 to also to
include the CO.
To be informed of asset disposals in
Quarterly Operating Report.
24. Acquisition of any interest
in land (including freehold
transfers, contracts for leases
or leases on property) or
leases of equipment of any
form.
Up-to £500,000
All amounts up to £250,000 Finance Director.
Amounts greater than £250,000 to also to
include the CO.
To be informed of the
acquisition / lease of property or the
lease of equipment in the Quarterly
Operating Report.
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25. New (or changes to
existing) bank and investment
accounts or terms of service.
Finance Director To be informed of any substantive changes to
banking arrangements in the Quarterly Operating
Report.
26. Treasury Strategy Review
/ sign-off/ in- year
amendments.
Finance Director To approve the Annual Treasury
Management Strategy.
To approve substantive in-year changes to
Treasury Management strategy that can be
considered in a timely manner.
27. Short term investment of
excess funds
Cash management protocols agreed
through a Treasury Management Practices
document.
Financial Controller where less than one
month and less than £2,000,000.
Finance Director in all other circumstances.
28. Payments from TfSE Up-to £25,000 – any two authorized
signatories
Between £25,000 and £100,000 – two
authorized signatories of whom one is an
“A” signatory.
29. Legal, Financial
consultancy / advisory, or IT
expenditure of any type.
Subject to normal approval limits, but must
be approved by the relevant Directorate
head (i.e. Monitoring Officer, Finance
Director, HR and Mobilisation Director etc)
Notes to the table of Authority
1. For the avoidance of doubt, all values referred to exclude VAT.
2. References to EU threshold should be taken to mean the EU limit (or equivalent) at the point in line the
activity is taking place.
3. Unless stated otherwise, the authority of budget holders is limited to decisions affecting their own cost
centre. Decisions impacting on multiple cost centres must be taken jointly, via the operations board.
4. Membership of the TfSE Senior Officer Group are included in the TfSE Governance
Framework.
5. Procurement of any type, whether capital or revenue in nature is subject to the provisions of the
Contracts and Procurement Rules contained within Appendix [x].
6. Formal Monitoring Officer advice must be sought for certain procurements per 30.1.5 of the
constitution
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Appendix 3
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Paper 4
Report to: Shadow Partnership Board - Transport for the South East Date of meeting: 11 December 2019 By: Lead Officer, Transport for the South East Title of report: Transport Strategy Development
Purpose of report: To provide a progress update on the draft Transport Strategy
public consultation, and to update on the procurement process for the in-depth area studies and scoping work on the thematic studies.
RECOMMENDATIONS: The members of the Shadow Partnership Board are recommended to: (1) Note the progress on the draft Transport Strategy public consultation;
(2) Note the progress on the procurement process to secure professional
services to undertake the five area studies and Strategic Investment Plan (SIP);
(3) Note the progress on the scoping work for the Future Mobility Strategy and the Freight Strategy; and
(4) Agree to commence the procurement activity for the Future Mobility Strategy and the Freight Strategy following completion of scoping work
1. Introduction 1.1 The purpose of this report is to provide a progress update on the public consultation currently in progress on the draft Transport Strategy and the Integrated Sustainability Appraisal (ISA). The report also updates the Shadow Partnership Board on the progress of the procurement process to secure a provider/s to undertake the area studies that will identify the interventions needed to deliver the strategy, and to develop a Strategic Investment Plan (SIP). The report also provides an update on further scoping work underway to deliver a Future Mobility Strategy and a Freight Strategy for the South East, and seeks approval to commence the procurement activity on these two strategies following completion of the scoping work.
2. Background 2.1 In September 2019 the Shadow Partnership Board considered and approved a report with the recommendation that the draft Transport Strategy, and associated Integrated Sustainability Appraisal, be subject to a three month public consultation. 2.2 The Board also approved a recommendation to procure providers to undertake in-depth area studies to identify the transport interventions required to deliver the Transport Strategy.
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2.3 On 17 October 2019, members of the Board were invited by email to comment on an additional recommendation for the TfSE secretariat to undertake further scoping work required to develop a Future Mobility Strategy and a Freight Strategy. 2.4 Attached as Appendix 1 is the Transport Strategy route map which illustrates the timetable for the next steps in the Transport Strategy process. 3 Draft Transport Strategy Consultation 3.1 The draft Transport Strategy was formally launched for public consultation at the ‘Connecting the South East’ event at Farnborough International on 10 October 2019. The event was attended by 200 delegates. Further details about the event are included in the Communications and Stakeholder Engagement Report included on the Agenda. 3.2 The formal launch was followed by a Parliamentary Reception on 15 October, and five regional events in Reading, Woking, Canterbury, Brighton and Southampton. These events provided the opportunity to engage with stakeholders across the TfSE area, and to give them the opportunity to find out more about the draft Transport Strategy, and to ask questions to assist them in formulating their consultation response.
3.3 The consultation is scheduled to end on 10 January 2020, after which time responses will be analysed and the need for possible changes to the draft Transport Strategy and Integrated Sustainability Appraisal (ISA) to be identified, before being considered by the Board in April 2020 for final approval.
4 Area Studies Procurement 4.1 At their meeting in September 2019 the Shadow Partnership Board approved the recommendation to begin the procurement process to secure providers to undertake five area studies. These will identify the most prescient challenges and opportunities in the area under study. This will help to identify where geographically, and under what conditions, local sustainable transport schemes and wider policy interventions should be implemented to deliver the Transport Strategy. The proposed map showing the five radial and orbital study area locations are shown in Appendix 2. 4.2 The area studies will include three radial study areas; South West, South Central and South East, and two orbital areas; Inner Orbital and Outer Orbital. Following engagement with stakeholders, there is broad agreement that the first two area studies to be commissioned should be the Inner Orbital and Outer Orbital studies. The Inner Orbital study includes the key economic hubs of Reading, Gatwick and key locations in Kent, and will investigate how the east-west links between them could be improved. The Outer Orbital study has been identified as a priority due to the strategic importance of the east west linkages between a number of the key international gateways and key economic hubs including Southampton Portsmouth, the Isle of Wight, Dover, Brighton and Hove and key locations in Kent. 4.3 Since the Shadow Partnership Board in September 2019, the TfSE secretariat have consulted with constituent authorities on potential procurement frameworks to ensure the widest selection of providers are given the opportunity to tender to complete the studies. Following this consultation, it was decided to utilise the Eastern Shires Purchasing Organisation (ESPO) consultancy framework with East Sussex County Council providing procurement support as the accountable body for TfSE. Page 138
This framework was used to procure the Transport Strategy. The timeline attached in Appendix 3 shows the anticipated timescales for the area studies procurement process. 4.4 The completion of the five area studies will lead to the development of the Strategic Investment Plan (SIP) which will set out the transport infrastructure investment required across the South East up to 2050. It is recommended to procure a provider to undertake the SIP through the same procurement process as the area studies. This part of the contract will begin once the five area studies are completed. 4.5 The anticipated cost of each area study is expected to be in the region of £250,000. The grant of £500,000 received from DfT for 2019/20 means that on award of contract, there is sufficient funding for two area studies to be developed; which it is proposed will be the Inner Orbital, and the Outer Orbital studies. The remaining three radial studies will begin once further funding has been secured from DfT. 4.6 A tender evaluation panel will be established consisting of members of the TfSE Transport Strategy Working Group. Tenders will be assessed on a 70:30 quality: price basis. Following the tender evaluation process and the necessary approvals, it is anticipated that the contract will be awarded in mid-February 2020. An update on the outcome of the tendering process will be provided to the Shadow Partnership Board in April 2020.
4.7 As per the process of developing the Transport Strategy, the Board will similarly be consulted on the Strategic Investment Plan, all area and thematic studies as work progresses and will have final approval.
5 Future Mobility Strategy and Freight Strategy 5.1 On 17 October 2019, the members of the Shadow Partnership Board were contacted by email to request approval to proceed with scoping work to develop a Future Mobility Strategy and a Freight Strategy. This work will enable briefs to be developed for a formal procurement process to identify providers to undertake the strategy development work in early 2020. 5.2 The Future Mobility scoping work will identify TfSE’s potential role in shaping the development of future transport technology in a way that will meet the vision and priorities that are set out in the draft Transport Strategy. This scoping work has been directly awarded to WSP who undertook the recent Future Transport Technology Study and who have agreed to undertake a considerable proportion of this additional scoping work at their own cost. This means that the cost of this scoping work to TfSE is £5,000. Given that the work is less than £25,000 in value, a direct award is permissible under the procurement rules operated by ESCC as our accountable body. 5.3 Following approval to proceed with the scoping work, three workshops were held in late November with key stakeholders from the public and private sector as follows:
26 November – Canterbury
27 November – Brighton
28 November – Woking
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5.4 The purpose of the workshops was to identify what the key priorities across the TfSE area should be along with practical actions required to accelerate existing future mobility initiatives. The workshop outcomes will help to formulate a draft brief for the Future Mobility Strategy. 5.5 The Freight Strategy scoping work will help identify the brief for developing the strategy. This will include undertaking a number of stakeholder workshops and establishing a TfSE Freight Forum (as a sub-group of the TfSE Transport Forum) which will be tasked with overseeing the development and the implementation of the Freight Strategy. The scoping study will also identify what action would be needed to improve the availability of data on freight movement.
5.6 The cost of the scoping activity for the Freight Strategy and action plan is estimated at £25,000, and three potential suppliers will be approached to quote for this work. Given the anticipated value of the scoping work, a full competitive tendering exercise is not required under the Procurement rules operated by ESCC as our accountable body.
5.7 On completion of the scoping work, the TfSE secretariat will commence the procurement exercise to identify suppliers to develop the Future Mobility Strategy and the Freight Strategy. A report will be brought before the next meeting in April 2020, to update the Board on outcomes of the scoping work and progress with the procurement activity.
6 Forthcoming Activity 6.1 Over the next three months the key activities to be undertaken will be as follows:
Invitation to tender for the area studies and SIP issued – December 2019
Transport Strategy consultation ends – 10 January 2020
Three Freight stakeholder workshops – January 2020
Area studies and SIP contract awarded – February 2020
Procurement process for the Future Mobility Strategy and Freight Strategy – early 2020
6.2 A further report on the draft Transport Strategy consultation responses will be presented to the Shadow Partnership Board in April 2020, along with the final Transport Strategy for approval. An update on the procurement process for the area studies will also be presented to the Board in April 2020, along with an update on the procurement process for the Future Mobility Strategy, and the Freight Strategy.
7 Financial Considerations 7.1 In May 2018, the DfT made a grant award of £1m to TfSE towards the development of the Transport Strategy, which was supplemented by £100,000 in 2017/18. The total cost of the work commissioned to date is £926,000. This includes Lots A, B, C and D, as well as design work and strategy related events. In May 2019 DfT made an additional grant award of £500,000 award to TfSE to take forward the technical work programme.
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7.2 The estimated cost of commissioning two area studies is £500,000, but this may be revised following the outcomes of the competitive tendering exercise. A sum of £5,000 has been allocated for the scoping work for the Future Mobility Strategy and £25,000 for the scoping work for the Freight Strategy. The estimated cost for developing the Future Mobility Strategy and the Freight Strategy is £75,000 per strategy. Based on the predicted costs, there will be a small shortfall (approximately £6,000) between the DfT grant and costs of the Area Studies and thematic studies. This will be covered by local contributions.
8 Conclusion 8.1 The draft Transport Strategy and Integrated Sustainability Appraisal (ISA) is currently open for public consultation. The procurement process to secure external resources to undertake the five area studies is being developed, with two area studies planned to be commissioned in 2019/20. Scoping work is progressing well on developing the briefs for the Future Mobility Strategy and the Freight Strategy, and the procurement process to develop the two strategies is planned to begin in early 2020.
8.2 A further progress report will be presented to the Shadow Partnership Board at the April 2020 meeting to update on the public consultation and to approve the final Transport Strategy. The Board will also be updated on the procurement process for the area studies, along with the procurement process to develop the Future Mobility Strategy and the Freight Strategy.
RUPERT CLUBB Lead Officer Transport for the South East
Contact Officer: Rob Dickin Tel. No. 07840 649245 Email: [email protected]
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Economic Connectivity Review
Public Consultation Final Strategy
Area Studies Tranche 1
July 2018
Oct 2019
Jan 2020
March 2020
Sept 2020
March 2021
Sept 2021
SIP
Transport Strategy Development
Thematic Studies
Freight Strategy
Future Mobility Strategy
Area Studies Tranche 2
Transport Strategy Routemap
(Strategic Investment Plan)
Appendix 1
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Area Studies (Radial) Radial Area Studies
South West
South Central
South East
Appendix 2 – Area Studies
Area Studies (Orbital) Orbital Area Studies
Inner Orbital
Outer Orbital
Appendix 3 - Area Studies
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Paper 5
Report to: Shadow Partnership Board –Transport for the South East
Date of meeting: 11 December 2019 By: Lead Officer, Transport for the South East
Title of report: Priority Major Road Network and Large Local Major Schemes
2020-2025
Purpose of report: To update on the progress with the identified priority schemes in the South East of England for inclusion the Major Road Network and Large Local Major Scheme programmes
RECOMMENDATIONS:
The members of the Shadow Partnership Board are recommended to note the progress with the Major Road Network (MRN) and Large Local Major (LLM) schemes in the TfSE area.
1. Introduction 1.1 The Department for Transport (DfT) has previously requested that all the Sub-National Transport Bodies (STBs) identify their top priority schemes for potential inclusion in the Major Road Network (MRN) and Large Local Majors (LLM) programmes covering the period 2020 - 2025. 1.2 This report sets out the latest progress with the TfSE priority schemes. 2. Background 2.1 In the 2018 budget, HM Treasury confirmed the creation of the new National Roads Fund. This will hypothecate English Vehicle Excise Duty to roads spending and will amount to £28.8 billion between 2020 and 25. Of this the government expects to spend £25.3 billion on the Strategic Road Network (SRN) through Road Investment Strategy 2, which would leave £3.5 billion to be spent on the MRN and LLM schemes. These figures will need to be finalised as part of a future spending review following the general election. 2.2 The MRN Investment Guidance published by the DfT in December 2018 invited STBs to prepare a Regional Evidence Base (REB) by summer 2019 to support the need for interventions on the MRN. The guidance also set out the types of schemes that will be eligible for funding, the criteria against which potential schemes will be assessed, and the timescales for the development and delivery of schemes.
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Agenda Item 7
2.3 The DfT are clear that the list of priority schemes submitted was to be the result of collective decision making and that a broad range of stakeholders (MPs, LEPs and local highway authorities) should be consulted as part of the prioritisation process.
2.4 In common with several other STB’s, TfSE’s REB was not complete in time for it to be used to help identify potential schemes. Therefore those schemes which had already been identified by the constituent authorities as potential candidate schemes were considered for potential inclusion on the list.
2.5 At a meeting on 18 March 2019, the Shadow Partnership Board approved the process to be used to assess and prioritise the potential MRN and LLM schemes. Constituent authorities were invited to submit their business cases for potential schemes to TfSE by 17 May 2019. Applications were received for 18 MRN and 9 LLM schemes.
2.6 The results of the prioritisation process that was used to identify the top 10 MRN schemes was presented to the Shadow Partnership Board meeting on 14 June 2019. At that meeting, the Shadow Partnership Board agreed the list of priority MRN schemes and a group of “emerging priority” LLM schemes that should be submitted to the DfT. The results of the process that was used to prioritise the LLM schemes was presented to the Shadow Partnership Board on 19 September 2019. At that meeting, the Shadow Partnership Board agreed the list of priority LLM schemes that should be submitted to the DfT
2.7 Development of the REB for the TfSE area is being undertaken by Steer/WSP alongside their work to develop the Transport Strategy and this is due to be completed in December 2019.
3. Progress Update 3.1 Since the MRN and LLM priority schemes have been submitted, DfT have been assessing the business cases for the schemes that have been submitted by all the STB’s. This has included seeking the views of wider DfT colleagues (including those from housing, and cycling and walking) as well as consulting with Highways England for their view about the potential impact of the schemes on the Strategic Road Network.
3.2 The business cases are being assessed and considered in batches dependant on which stage of development the scheme is at; pre-Strategic Outline Business Case (pre-SOBC), Strategic Outline Business Case (SOBC), or Outline Business Case (OBC). DfT have fed back their detailed comments on our pre-SOBC and SOBC schemes, firstly to TfSE and then subsequently also to the scheme promotors in the constituent authorities. OBC schemes are following a different process and timescale, and feedback on these will follow in due course.
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3.3 There are a number of themes included in the feedback that are worth noting as they apply to all schemes and should be considered by all constituent authorities when developing their schemes.
Scheme promoters should ensure that appropriate cycling and walking measures are considered and incorporated unless there is a strong reason not to. With ‘supporting all road users’ being one of the objectives of the MRN, not considering such measures could impact adversely on future scheme assessments. Cycling and walking measures should meet DfT’s soon to be published national cycle design guidance (or equivalent where applicable).
On public transport, whilst the MRN and LLM guidance was clear that large public transport schemes will be expected to be funded from other programmes such as the Transforming Cities Fund (TCF) and through Devolution Deals, DfT do expect the needs of all users, including public transport users to be addressed. DfT expect to see consideration of bus priority measures to feature in business cases. Examples of these could include enforced bus lanes, signal and junction priority, bus feeder lanes and/or gates.
DfT still expects Local Authorities to contribute at least 15% towards the total cost of the scheme. This applies even if the scheme is one part of a wider programme, parts of which the Local Authority may have already funded. Local contributions of 15% must relate to the specific scheme which the Local Authority is asking the DfT to fund.
The DfT are also considering setting up a scheme modelling and economics surgery, to assist scheme promotors with the development of those parts of their business cases. 3.5 Scheme promotors have been asked to respond to DfT’s feedback and comments on their schemes by 5 December 2019. By this date scheme promotors should either answer DfT’s queries on their schemes, or, if the scheme programme doesn’t allow for that, provide DfT with a timetable setting out when they will be able to respond in detail. 3.6 A number of announcements have also been made on schemes across the country, including on two pre-SOBC schemes within the TfSE area. Both the A28 Birchington, Acol and Westgate on Sea Relief Road (Kent CC MRN scheme) and the West Quay Road Realignment (Southampton CC LLM scheme) were approved to progress to SOBC stage.These schemes were identified as the TfSE top priority MRN pre-SOBC and LLM pre-SOBC schemes respectively in our submission to Government. 3.7 Trackers showing progress with all the TfSE priority MRN and LLM schemes are provided at Appendices 1 and 2.
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4. Conclusions 4.1 Since TfSE submitted its top priority MRN and LLM schemes to Government earlier this year, the DfT have been assessing the schemes business cases and have provided feedback. A number of themes have emerged that highlight the importance of scheme promotors including high quality cycling, walking and public transport provision within their scheme proposals. Scheme promotors have also been asked to provide further detailed business case information to DfT. 4.2 A number of announcements have also been made on schemes across the country. Two of our top priority MRN and LLM schemes at pre-SOBC stage were both approved to progress to the next stage in the business case development process. These are the A28 Birchington, Acol and Westgate on Sea Relief Road and the West Quay Road Realignment. RUPERT CLUBB Lead Officer Transport for the South East Contact Officer: Sarah Valentine Tel No: 07701 394355 Email: [email protected]
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Appendix 1
TfSE MRN Scheme Tracker
Scheme Status Priority Scheme Name AuthorityDevelopment
StageComments
1Northam Rail Bridge Replacement
and EnhancementSouthampton CC SOBC
Business case information assessed by DFT and rated amber
Feedback received and further information requested from SCC on 5/11/19
2 A284 Lyminster Bypass West Sussex CC OBCBusiness case information being assessed
by DfT
3 Redbridge Causeway Hampshire CC OBC
Business case information being assessed by DfT
Feedback and clarification questions received from DfT, WSCC reponded Sept 2019
4 A249 at M2 Junction 5 Kent CC OBC
Business case information being assessed by DfT
Feedback and clarification questions re the economic case received from DfT on 21/11/19
5 A22 Corridor Package East Sussex CC OBC
Business case information being assessed by DfT
Feedback and clarification questions re economic case received from DfT Oct/Nov 19
6 A320 North Corridor Surrey CC SOBCBusiness case information assessed by DFT
and rated amber/redFurther information requested from SCC
7A259 (King’s Road) Seafront
Highway Structures (‘Arches’) Renewal Programme
Brighton and Hove CC OBCBusiness case information being assessed
by DfT
8A28 Birchington, Acol and Westgate-
on-Sea Relief RoadKent CC
DevelopingSOBC
Business case information assessed by DfTApproved (3/10/19) to proceed to SOBC
development
9A259 Bognor Regis to
Littlehampton EnhancementWest Sussex CC Pre-SOBC
Business case information assessed by DFT and rated amber
Feedback received and further information requested from WSCC on 5/11/19
10 A259 South Coast Road Corridor East Sussex CC Pre-SOBC
Business case information assessed by DFT and rated amber
Feedback received and further information requested from ESCC on 5/11/19
A259 (King’s Road) Seafront Highway Structures (‘Arches’)
Renewal Programme (continued)Brighton and Hove CC Pre-SOBC
A2270/A2101 Corridor Movement and Access Package including
Cophall Roundabout East Sussex CC Pre-SOBC
A22 Corridor Phase 2 East Sussex CC Pre-SOBC
A299 Thanet Way Major Structural Renewal
Kent CC Pre-SOBC
A228 Colts Hill Strategic Link Kent CC Pre-SOBC
A24/A243 Knoll Roundabout and M25 J9A
Surrey CC Pre-SOBC
A259 Chichester to Bognor Regis Enhancement
West Sussex CC Pre-SOBC
A24 Corridor Horsham to Worthing West Sussex CC Pre-SOBC
Updated Nov 2019
Top Ten Priority Schemes
ranked in priority order
Pipeline schemes
(listed by local authority)
For consideration in MRN2
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Appendix 1
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Appendix 2
TfSE LLM Scheme Tracker
Scheme Status Priority Scheme AuthorityScheme
Development Stage
Comments
M2/A2 Brenley Corner Upgrade Kent CC pre-SOBC
Business case information assessed by DFT and rated amber
Further information requested from KCCAwaiting RIS2 announcement
1 West Quay Road Realignment Southampton CCDeveloping
SOBCBusiness case information assessed by DFTApproved to proceed to SOBC development
2New Thames Crossing East of
ReadingTVLEP
(Wokingham BC)SOBC
Business case information assessed by DFT and rated amber
Further information requested from WBC
3 A326 Capacity Enhancement Hampshire CC pre-SOBCBusiness case information assessed by DFT
and rated amber/redFurther information requested from HCC
4 City Centre Road Portsmouth CC pre-SOBCBusiness case information assessed by DFT
and rated amber/redFurther information requested from PCC
5A229 Blue Bell Hill Junction
UpgradesKent CC pre-SOBC
Business case information assessed by DFT and rated amber/green
Further information requested from KCC
6A31 Hickleys Corner Underpass,
FarnhamSurrey CC pre-SOBC
Business case information assessed by DFT and rated amber/red
Further information requested from SCC
A325 Wrecclesham Relief Road Surrey CC pre-SOBC
A24 Corridor ImprovementsHorsham to Capel
Surrey CC/W Sussex CC
pre-SOBC
Updated Nov 2019
For consideration in LLM2Pipeline Schemes
Priority Scheme considered more appropriate to be delivered through RIS2
TfSE LLM Priority schemes ranked in
priority order
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Appendix 2
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Paper 6 Report to: Shadow Partnership Board –Transport for the South East Date of meeting: 11 December 2019 By: Lead Officer, Transport for the South East Title: Financial update for 2019/20 and outline Annual Report Purpose: To update on the budget position for Transport for the South
East and agree the outline Annual Report
RECOMMENDATIONS:
The Shadow Partnership Board is recommended to:
(1) Note the current budget position for 2019/20 as at the end of November 2019;
(2) Note the Department of Transport position on grant funding for 2020/21;
(3) Agree to set a local contribution, subject to individual constituent authority budget setting, of £58k for county authorities and £30k for individual unitary authorities for the 2020/21 financial year;
(4) Agree the outline budget for 2020/21 financial year;
(5) Delegate authority to the Lead Officer to recruit an additional technical
post funded through DfT grant funding; and
(6) Note the outline Annual Report for 2019/20 and the draft Business Plan for 2020/21.
1. Financial Overview 1.1 The purpose of this report is to update the Shadow Partnership Board on the revenue budget for Transport for the South East (TfSE) for 2019/20 and commence the process for setting a budget for 2020/21. 1.2 The paper also sets out the proposed approach to the development of the Annual Report for publication in April 2020.
2. 2019/20 Budget Update 2.1 In September 2019, the Shadow Partnership Board agreed the revised budget for 2019/20. This included revised figures for the Transport Strategy to enable TfSE to deliver area studies that add considerable value to the evidence base, but are achievable within the overall budget envelope.
2.2 Appendix 1 sets out the current spend against the budget to the end of November 2019 and the forecast expenditure to the end of March 2020.
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Agenda Item 8
2.3 TfSE’s income budget for 2019/20 is £2,270,530. This includes grant funding of £500,000 from the Department for Transport (DfT) in 2019/20 which is specifically reserved for the development of the Transport Strategy.
2.4 Staffing expenditure is expected to be lower than originally anticipated, with an underspend of approximately £46,000.
2.5 The current spend in 2019/20 for the Transport Strategy, which includes Lots B, C, D and design work, is £660k. Approximately £64k will be invoiced upon completion of the consultation exercise and sign off of the final Strategy. There is some contingency in the budget to allow for any additional changes following the consultation, but it is likely there will be a carry forward from the Strategy budget.
2.6 Although the report shows no current spend against the area studies and the thematic work streams, there are plans in place to undertake procurement activity which will ensure that this funding is fully committed by the end of March 2020. This commitment will be around £575k, which comprises £500k on two orbital area studies and £75k on a freight and logistics strategy.
2.7 Members will note that there has been an increased level of spend against the events budget, which reflects the recent activity associated with the launch of the Transport Strategy. The Connecting the South East event was largely self-funded through exhibitor contributions, but TfSE has funded the regional events and the MP’s reception.
2.8 The Board will be asked to consider and approve submitting TfSE’s Proposal to Government at its April board meeting. If the board agree the Proposal it will be submitted with the agreed Transport Strategy following the April board meeting. There is unlikely to be any spend against this budget line. However, it is clear that work will be needed on this in 2020/21 to ensure that TfSE is able to make decisions on the structures and form that it would want to adopt as a statutory body. 2.9 Based on the analysis undertaken of current levels of spend and the expected expenditure in the next three months, it is forecast that TfSE will have a small carry forward of approximately £141k. This is subject to change as the work programme evolves throughout Q4.
2.10 It is intended to maintain the level of reserves at the amount forecast at the beginning of the year. This will cover expenses in the event of winding up TfSE and it is considered a prudent use of reserves to ensure we can meet our liabilities. Any additional costs associated with the closure of TfSE would be covered through the Intra-Authority Agreement.
3. Update on DfT funding position 3.1 We had been working with the DfT to secure funding for the next financial year and were exploring opportunities for further one off funding for the remainder of this financial year. However the pre-election period has meant that no decisions can be made until after the election. Whilst this is frustrating, we remain positive about our future funding position.
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3.2 Early confirmation of the DfT grant allocation following the election is to be welcomed, as this will allow TfSE to mobilise for activity starting in April 2020. 3.3 It is also worth noting that the DfT and the Minister have been supportive and positive about the development of our Transport Strategy and are keen to ensure TfSE’s financial position is established through the next spending review. 4. Local Contributions for 2020/21 4.1 It is evident that DfT wish to see local contributions continuing to form part of TfSE’s approach to funding and welcome the local contributions made to date. The local contribution has enabled TfSE to fund a small staffing complement and to undertake work to support the Transport Strategy, including the work on the Economic Connectivity Review. 4.2 Currently constituent authorities have paid a contribution for 2019/20 financial year of £58k for county authorities and £30k for individual unitary authorities. It is proposed to continue this into the 2020/21 financial year and for the amounts to stay the same. 5. 2020/21 proposed budget 5.1 Early work has commenced to prepare an outline budget for 2020/21. This is attached as Appendix 2 and has been used as the basis for initial discussions with the Department for Transport. 5.2 Upon the advice of DfT, this assumes a DfT grant contribution of £1m for 2020/21. With the funding that will already be committed to the area studies and thematic work streams as well as the carry forward of £141k, this will give TfSE an approximate operating budget of £2.5m. Early confirmation of funding from DfT will enable TfSE to put in place the mechanisms to deliver an ambitious work programme for this funding. 5.3 The outline budget sets out how the DfT grant will be used to fund additional work on the Transport Strategy, including a further three Area Studies and additional thematic work on future transport technology. This would enable TfSE to progress against key areas within the Transport Strategy and continue to build a strong evidence base to inform the Strategic Investment Plan, which would be produced in 2021/22. 5.4 To enable the delivery of the ambitious technical programme, it is proposed that an additional resource be recruited on a 12 month fixed term basis. We do not have the benefit of core funding, as Midlands Connect and Transport for the North do, and are therefore in discussions with the DfT about this being supported by the DfT as part of their grant towards completion of the technical strategy work. The post holder would supplement the existing Transport Strategy workstream and increase the capacity to deliver the area and thematic study work. We would not intend to recruit unless we could secure third party funding for the post. At this stage the board are asked to agree the principle of additional posts provided these are solely funded from third party sources. In the event this is forthcoming, the Board are asked to delegate authority to recruit to the Lead Officer for TfSE.
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5.5 As outlined above, TfSE has not yet incurred any costs as part of its bid for statutory status. However, once the Board agreed to submit the Proposal to Government, additional work will be needed to consider the various options for operational models and to start the implementation for the preferred model. Funding has been allocated to this in the outline budget, but any decision on how this is progressed will be agreed through the Shadow Partnership Board. It is proposed that the member sub-group with responsibility for governance takes a lead on this work. 5.6 The proposed budget for communications and engagement costs remain largely unchanged from 2019/20. This will enable us to deliver an events programme and to continue with activities to raise the profile of TfSE. 5.7 Operational costs are anticipated to be slightly lower than 2019/20. This is due to the fact that any costs associated with the delivery of the transport strategy (e.g. room hire) have been removed and placed in the strategy budget. 5.8 Reserves would be slightly reduced, but would still offer sufficient cover for expenses related to the winding up of TfSE. 5.9 The outline budget will be reviewed to take account of comments received from Board members and a final budget will be agreed at the Shadow Partnership Board in April 2020. 6. Annual Report and Business plan 6.1 In March 2019, the Shadow Partnership Board agreed the publication of the TfSE Business Plan for 2019/20. The Business Plan adopted a hybrid approach to include elements of an annual report, including a focus on successes in 2018/19, and a business plan, setting out the proposed work plan for 2019/20. 6.2 It is proposed that a separate Annual Report will be prepared to provide clarity around our role, vision and purpose, a summary of our achievements in 2019/20, as well as information on our governance structures, our Board and a financial report. The document will be made available on the TfSE website and will provide interested parties with access to detailed information on the organisation. An outline is attached as Appendix 3. 6.3 A shorter, more focused document will be produced as the 2020/21 Business Plan. This will set out the priorities for the technical work programme, including the area studies and the thematic studies, as well as the work to progress the Proposal to Government and events programme. It will also outline clear objectives against which we will measure our success. An outline is attached as Appendix 4. 6.4 Following discussion by the Board, the intention is to finalise the Annual Report and Business Plan and to present them to the Board in April 2020 for sign-off. This will include design work.
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7. Conclusions and Recommendations 7.1 It is recommended that the Board notes the financial position for 2019/20, including the forecast to the end of March 2020. Discussions with the DfT are underway regarding the grant settlement for 2020/21 and Board members are recommended to agree the proposed level of local contributions for 2020/21. 7.2 Board members are also recommended to agree the outline budget for 2020/21 and to receive a full budget in April 2020. 7.3 It is recommended that the Board note the outline structures for the Annual Report and Business Plan. The final versions of both report will be presented to the Board for sign off in April 2020.
RUPERT CLUBB Lead Officer Transport for the South East
Contact Officer: Rachel Ford Tel. No. 07763 579818 Email: [email protected]
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Appendix 1: TfSE Budget position to end of November 2019 and forecast position at end of March 2019
2019-20 Position
Agreed Budget
Position at end of Nov 2019
Forecast Variance
Brought forward -1,388,530 -1,388,530 -1,388,530
19/20 Contributions -382,000 -382,000 -382,000
DfT Grant -500,000 -500,000 -500,000
-2,270,530 -2,270,530 -2,270,530
Staff costs
Salaries (including on-costs)
503,000 299,762 457,018 45,982
Travel expenses 13,000 10,728 13,000
Training 1,800 494 1,800
Strategy
Transport Strategy 733,603 652,990 733,603
Area Studies 500,000 500,000
Smart Ticketing
Freight, logistics and gateways
75,000 75,000
Integrated Transport Technology
65,880 5,000 60,880
Strategy Design and publication
15,000 7,250 15,000
Communications and Engagement
Proposal to Government
25,000 0 0 25,000
Events 25,000 14,224 20,000 5,000
Advertising and publicity 13,000 7,147 10,000 3,000
Website 7,000 374 5,000 2,000
Stakeholder Database 5,000 0 6,000 -1,000
Licenses / subscriptions 2,500 1,567 2,500
Operational expenses 21,860 10,728 21,860
Total spend: 2,006,643 1,005,264 1,865,781 140,862
TfSE contingency/reserves
263,887 263, 887
Estimated carry forward
£140,862
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Appendix 2: TfSE outline budget – 2020/21
INCOME Notes
Local Contributions £498,000
Subject to approval at the December 2019 meeting of the TfSE Shadow Partnership Board
DfT Grant £1,000,000
Reserves £263,887
Carry forward £140,862 Estimated carry forward, subject to change
Committed funding £575,000 £500,000 on area studies and £75,000 on freight and logistics
TOTAL INCOME £2,477,749
EXPENDITURE
Staffing
Core Policy Team £530,000
7.6 FTE costs covered by Local Authority contributions. Includes on-costs, expenses and training costs
Regional Capacity/Capability £75,000
12 month fixed term contract funded through DfT 2020/21 grant to support technical work on strategy
Transport Strategy
Transport Strategy Work completed in 2019/20
Area Studies - Tranche 1 £500,000 Two orbital studies - committed in March 2020 from DfT 2019/20 grant
Area Studies - Tranche 2 £750,000 Three radial studies - funded through DfT 2020/21 grant
Innovation and Technology £75,000 Future Mobility Strategy - funded through DfT 2020/21 grant
Smart Ticketing Incorporated into Future Mobility Strategy - may need follow up work after Future Mobility Strategy is published
Freight and Logistics £75,000 Freight strategy - committed in March 2020 from DfT 2019/20 grant
Strategic Rail TBC following publication of Williams Rail Review
Other strategy costs £25,000 To cover any design and printing, strategy events and workshops/meetings
Sub national Transport Body Proposal £125,000
Figures to include study into potential structures and some initial legal work in 2020/21. Further costs for 21/22 subject to discussion with DfT
Operational Expenses £16,000
Communications/Engagement £43,500
Reserves £263,249
TOTAL EXPENDITURE £2,477,749
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Appendix 3: Outline Annual Report for 2019/20
Chair’s foreword
Summarising the transformational year we’ve had – draft proposal, transport strategy, political engagement and support etc.
Lead officer’s statement
Key themes include recruitment of a full team, lean and efficient, becoming a trusted partner for government, success built on collaboration, well placed for future success
About TfSE
Who we are, what we do, how we are structured, how we are funded
Our achievements
Publishing our transport strategy Developing our proposal to government Driving roads investment: MRN/LLM and RIS2 Strengthening stakeholder relationships
Looking to the future
Summary of key priorities for 2020-21 Signpost to Business Plan for more detail
Our governance
Structure charts plus summary of governance processes New governance structures to be established in 2020 Short summary re: accountable body and constitution
Financial report
Chart demonstrating income and high level spend categories s151 responsibilities of Accountable Body Future governance and audit arrangements
Risk register
Summary of key risks and mitigations
Our team
Team photos, biogs and contact details
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Appendix 3
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Appendix 4: Outline Business Plan 2020/21
About TfSE Short summary of who we are and what we do
Becoming a statutory body Next steps re: our proposal to government
Our transport strategy:
Turning vision into reality
Area studies
- Orbital studies - Radial studies
Thematic studies - Freight and logistics - Future mobility
Making the case for roads
investment
MRN/LLM priorities and pipeline RIS2 and shaping RIS3
Planning a better railway (tbc)
The content of any rail section will largely be dependent on the outcome of the Williams Review and its implications for the region. Where TfSE is involved in any specific joint working with Network Rail – for example potential work on South coast connectivity – we will highlight these.
Strengthening our
relationships
Widening our reach with stakeholders Private sector engagement on innovation and financing
Enhancing our governance
New governance structures (Governance and Audit Committee, Scrutiny committee) to be established during 2020
Looking to the future
Closing comments from the Chair re: the year ahead and the longer-term vision / ambition
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Appendix 4
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Paper 7 Report to: Shadow Partnership Board – Transport for the South East Date of meeting: 11 December 2019 By: Lead Officer, Transport for the South East Title of report: Communications and Stakeholder Engagement update Purpose of report: To update the board on communications and stakeholder
engagement activity
RECOMMENDATIONS:
The members of the Shadow Partnership Board are recommended to:
(1) Note the high level of engagement and communication activity that has been undertaken in the past 3 months; and
(2) Note the proposed outline for post-election political engagement activity
1. Introduction 1.1 This has been an extremely busy and productive few months on the communications and engagement front, with activity focused primarily on the launch of, and ongoing support for, the draft transport strategy consultation. 1.2 Almost 600 stakeholders from across the region attended a TfSE event in the month of October alone, with significant further engagement at Highways UK in November in addition to bespoke meetings and other interactions. 1.3 A host of new relationships have been developed through this engagement activity and, as a result, interest, awareness and advocacy are at new high levels – evidenced by an increase in our stakeholder database to more than 1400, a 535% increase in social media engagement compared with the previous three months, press coverage in a variety of publications as well as positive quotes, comments and feedback from stakeholders. 1.4 The announcement in October of a general election required changes to our planned comms and engagement activity; however, a new Parliament also provides an opportunity to engage with new MPs and strengthen relationships with returning MPs. 2. Supporting the draft transport strategy consultation ‘Connecting the South East’ stakeholder launch, 10 October 2.1 Aimed at top-tier national and regional stakeholders, our formal launch event at Farnborough International enabled us to present our draft transport strategy to more than 200 attendees from across the public and private sector.
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Agenda Item 9
2.2 In addition to TfSE-led sessions, the agenda included a range of external speakers from partners and other stakeholder organisations including Public Health England, CBI, Natural England, Rail Delivery Group and Transport Focus. 2.3 Transport minister George Freeman MP provided the keynote speech, highlighting the significant synergies between our draft transport strategy and the then government’s objectives around the ‘three Ds’ of decarbonisation, disconnection and digitalisation. 2.4 Q&A sessions, panel discussions and networking opportunities gave the event a strong collaborative feel and feedback from attendees was very positive; 83% of survey respondents rated the event either ‘very good’ or ‘excellent’ and 94% said it improved their understanding of the transport strategy. 2.5 The event was filmed and photographed, with all sessions available on the TfSE YouTube channel in order to widen our stakeholder reach. 2.6 A post-event review has been carried out and will enable us to ensure that future events continue to provide the best value for money and support business objectives. Parliamentary reception, 15 October 2.7 Hosted by Huw Merriman MP (Con, Bexhill and Battle), our Parliamentary reception provided a valuable opportunity for board members to engage with MPs from across the region. 2.8 In total 14 MPs (see Appendix 1 at the end of this paper) were represented (13 in person plus one office staff member) and we were delighted that transport minister George Freeman MP was again able to spare his time to show support for our draft transport strategy. 2.9 All MPs who attended were supportive of TfSE and were keen to understand the impact the strategy could have on their constituencies. 2.10 Following the event a number of MPs, including the minister, used social media to show their support for our work, which we were able to amplify via our own channels. Regional engagement events, 16-24 October 2.11 To help us engage with as wide a range of stakeholders as possible, a series of five regional events were held in partnership with local authorities and LEPs. 2.12 The partnership approach enabled us to provide a strong local perspective, underlining our shared commitment to collaborative working and promoting the potential local benefits of our strategy. 2.13 The events were promoted via media and social media with support from our partners to ensure the correct stakeholders were invited. 2.14 In total, 382 people attended one of our sessions, 300 of which were new contacts. Combined attendance numbers across all sessions were:
Reading - 82
Woking - 36
Canterbury - 74
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Brighton - 118
Southampton - 72 2.15 Feedback on the events was overwhelmingly positive; 95% of survey respondents said they found the event useful and have a better understanding of TfSE as a result, with 75% saying they intend to submit a consultation response. 2.16 We are extremely grateful to all LEP and local authority officers and members who have given time and energy to supporting our engagement activity. It enabled us to present ourselves as a truly collaborative partnership for our region. Media, social media and digital communications 2.17 Media coverage of the draft transport strategy has been wholly positive, with coverage in publications including RAIL, New Civil Engineer, Local Government Chronicle, Local Transport Today and Kent Online. 2.18 A sustained programme of proactive social media has resulted in significant increases in engagement, much of which has driven people to the TfSE website to read more about the transport strategy and take part in the consultation. 2.19 A blog post about the transport strategy by Rupert Clubb for Transport Times was sent to a distribution list of 12,000 transport professionals. A blog for Transport Knowledge Hub has been seen by more than 3,000 people. 3. Highways UK, 6-7 November 3.1 TfSE joined England’s other sub-national transport bodies (STBs) as an exhibitor at Highways UK in Birmingham, an event attended by more than 4,000 industry delegates. Our focus for the event was on promoting our draft strategy and discussing our future work programme. We were also pleased to be joined by two Board Members (Cllr Keith Glazier and Cllr Colin Kemp). 3.2 The STB stands were centred around a shared ‘hub’ space which provided a focal point for presentations and discussions across the two days. These included a session with Cllr Glazier and Mark Valleley looking at our innovative approach to developing the transport strategy, as well as a session on our MRN priority schemes led by Sarah Valentine. 3.3 On the main event stage, Rupert Clubb joined other STB lead officers for a panel discussion on the main stage focusing on sustainability and climate change, providing a valuable opportunity to highlight our strategy’s credentials. 3.4 The TfSE stand was busy throughout with a range of stakeholders keen to discuss our strategy and potential future priorities. A number of valuable new connections were made and follow-up meetings planned. 3.5 We were also pleased to support a networking event organised by Women in Transport, a not-for-profit organisation which promotes a more inclusive transport sector.
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4. Broadening our engagement Private sector 4.1 A number of joint and individual meetings have been held with various private sector organisations, including innovators and disruptors, to explore potential areas for public/private sector collaboration in enabling the effective and affordable delivery of the transport strategy. 4.2 Organisations engaged with include: Telefonica, Grid, Tomorrow’s Journey, Wayra, Dale, KPMG, EHI, Eurovia, Atkins, Amey, Balfour Beatty, Bam Nuttall, Kames, Ferrovial, Bouygues, O2, Enterprise/Liftshare and Aecom. Another meeting will be scheduled for the new year. Universities 4.4 Following feedback from the Forum and the Board, contact was made with the twelve universities in the TfSE region. 4.5 Nine universities attended an inaugural meeting to learn about TfSE and begin to explore possible relationships and opportunities for joint working that could aide delivery of the transport strategy. The meeting was chaired by Cllr Keith Glazier and was held on 2 December at Brighton University. 4.6 The following universities attended: Canterbury Christ Church; Sussex; Brighton; Solent; Surrey; Portsmouth, Kent, Southampton and Chichester. 4.7 We discussed how we could engage with universities as corporate entities, both as major employers and significant users of the South East transport network. We also began to explore opportunities to work together on research and innovation in transport planning, provision and development. 4.8 A further verbal update on the outcomes of this meeting will be given at the Board meeting. 5. Political engagement – new MPs 5.1 Our political engagement plan has been updated to reflect the current situation and the general election on 12 December. 5.2 We will use the opportunity to contact all new MPs, sending them an introductory briefing pack with the offer of a meeting to discuss our work in more detail. Returning MPs will receive a similar letter, building on existing awareness. RUPERT CLUBB Lead Officer Transport for the South East
Contact Officer: Russell Spink / Lucy Dixon-Thompson / Jasmin Barnicoat Tel. No. 07565 012037 / 07702 632455 / 07749 436080 Email: [email protected] / [email protected] / [email protected]
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Appendix 1: List of attendees at TfSE Parliamentary reception, 15 October 2019
George Freeman MP, Minister of State for Transport
Huw Merriman MP (Con, Bexhill and Battle) – host
Lloyd Russell Moyle MP (Lab, Brighton Kemptown)
John Redwood MP (Con, Wokingham)
Damian Hinds MP (Con, East Hampshire)
Sir Roger Gale MP (Con, Margate, Herne Bay & the Villages)
Richard Benyon MP (Con, Newbury)
Jeremy Quin MP (Con, Horsham)
Nus Ghani MP (Con, Wealden)
Tim Loughton MP (Con, East Worthing & Shoreham)
Sir Paul Beresford MP (Con, Mole Valley)
Tom Tugendhat MP (Con, Tonbridge and Malling)
Anne Milton MP (Ind, Guildford) Representatives for:
Sir Michael Fallon MP (Con, Sevenoaks)
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Paper 8
Report to: Shadow Partnership Board –Transport for the South East
Date of meeting: 11 December 2019 By: Interim Chair of the Transport Forum
Title: Transport Forum Update
Purpose: To summarise the Transport Forum meeting of 20 November
2019 and inform the Board of the Transport Forum’s recommendations and actions taken.
RECOMMENDATIONS:
The members of the Shadow Partnership Board are recommended to: (1) Note the recent meeting of the Transport Forum;
(2) Note and consider the comments received on the Transport Strategy and
future area studies;
(3) Note and consider the suggestions and proposed future programme of the Transport Forum; and
(4) Review and agree the recommendations and action taken to date for the operation of the Transport Forum.
1. Introduction 1.1 The purpose of this report is to update the Shadow Partnership Board on the most recent meeting of the Transport Forum, the Forum’s future work plan and the recommendations and action taken for the Forum’s operation.
2. Feedback from Transport Forum Meeting on 20 November 2019 Transport Strategy update
2.1 Mark Valleley spoke in detail about a few key ideas from the draft Transport Strategy and used an interactive website to seek the views of the Forum on some important questions asked in the consultation. This provided a good opportunity for the Forum to discuss and share their thoughts on the draft Transport Strategy.
2.2 Rob Dickin also outlined the proposal for the area studies that TfSE will be procuring shortly and asked the Forum to share their thoughts on what they think should and should not be included in these studies. See the comments received in Appendix 1.
Forward plan
2.3 The Transport Forum work programme was reviewed and suggestions for future topics and external speakers were requested.
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Agenda Item 10
2.4 The Forum felt very strongly that the importance of the links between planning and transport should not be underestimated and they need to be strengthened. Suggestions to invite Homes England and the Ministry of Housing, Communities and Local Government to the Forum have been noted and will be added to the work programme. See Appendix 2 for an updated work programme. Feedback on Proposal to Government consultation 2.5 Jasmin Barnicoat gave an update on the outcome of the recent Shadow Partnership Board discussions regarding the Proposal to Government submission.
Feedback from sub-group on Forum operation
2.6 As agreed at the Shadow Partnership Board meeting in June 2019 the Transport Forum established a small sub-group to review the operations of the Forum to ensure that it is able to support TfSE in the delivery of the Transport Strategy. As part of this, the sub-group of the Transport Forum met (physically and virtually) three times and has reviewed the Forum’s function, role, membership, communications, mechanics and processes.
2.7 The wider Forum discussed and agreed the recommendations from the sub-group at their September and November meetings. The recommendations, proposed solutions and action taken (or will be taken imminently) is attached as Appendix 3.
2.8 Some actions already taken are that the communication between the Partnership Board and the Forum has been strengthened and the communication from TfSE to the Forum has been improved.
2.9 In addition, three Forum members (Phil Dominey, Richard Higgins, Paul Walker) will attend SOG on a rotational basis and will be the Forum’s representatives on that group. They will develop and maintain the relationship with the Senior Officers from LEPs and Local Authorities.
2.10 The membership of the Forum has also been expanded to include representation from environmental groups, user groups and health.
Strategic consultations 2.11 Jasmin outlined the two recent consultations TfSE has drafted responses to so the Forum have an opportunity to view TfSE’s comments on wider strategic issues. Summary of Forum recommendations 2.12 The Forum broadly support the draft Transport Strategy but do have some comments which they would like to be noted in Appendix 1. 2.13 The Forum have identified ideas and challenges they would like to explore in 2020 to aid their understanding of the issues the transport sector is facing. These have been added to the Forum’s work programme in Appendix 2. 2.14 The Forum have identified areas of its operation that could be improved and action has already been taken to carry out these recommendations in Appendix 3.
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3. Future Transport Forum Engagement 3.1 The next meeting of the Transport Forum will be held on Tuesday 31 March 2020. Some Forum members will also be attending stakeholder workshops on future mobility and freight in the coming months.
3.2 A more detailed update on plans for stakeholder engagement is included as ‘Paper 7 – Communications and Engagement Update’.
4. Conclusions and Recommendations 4.1 It is recommended that the Board note the successful meeting of the Transport Forum and the important communication link this provides TfSE with its key stakeholders. It is also recommended that the Board note and consider the future programme of the Transport Forum.
4.2 It is recommended that the Board note and consider the comments received in response to the draft Transport Strategy discussions that took place.
4.3 In addition, the Board is recommended to agree the proposed changes to the Forum operation and note the action taken to date.
GEOFF FRENCH Interim Chair of the Transport Forum Transport for the South East
Contact Officer: Jasmin Barnicoat Tel. No. 07749 436080 Email: [email protected]
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Appendix 1
Feedback from Transport Forum – 20 Nov 2019 Transport Strategy Consultation Questions - comments
The term ‘decide and provide’ feels too controlling, prefer the word ‘influence’ instead.
The scenarios presented (for example sustainable future) could be more extreme.
There was a concern with the ‘our approach – strategy direction’ infographic as it does not clearly depict the urgency of the situation and looks like we have to wait to make the interventions. It is felt the curve is too vague and the stages should be explained.
Freight and communities work and need to continue to work together to be harmonious. The ‘planning for people’ and ‘planning for places’ almost need to be alongside each other.
Are the right people in the room to make the 'planning for places' element happen? These issues cover so many sectors, TfSE needs to be organised and able to bring together the right people.
There is a disconnect between planning policy and transport policy which is causing problems, especially with housing developments.
Something has to change in the hierarchy for example, major planning given to STBs.
It is important that people move to better sustainable options because they want to. We need to make it economically and emotionally right. However, relying on people to do the right thing will not make the achievements needed.
Demand management is necessary and it does come (and is already being used) in many forms. It needs to be utilised better going forward. Need to encourage people in the right direction.
Is demand management reflecting the true cost to society of the various transport modes currently? Answer is no and this should be re-balanced.
Need to understand the best way of approaching the issues we face and what order thee actions should take.
Although agree that the vision is great, how attainable is it? Especially due to population growth.
Area studies – what should or should not be included.
Regional control of traffic - control of connected vehicles and demand management
How we link to development of alternative fuel supplies. e.g., no network of hydrogen yet, but need to ensure not just focussing on one alternative fuel (electric). Need to connect with energy strategy in the region.
Stakeholder engagement - need to ensure there is a mechanism to check in and ensure there is still connection and agreement.
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Appendix 1
Take account of local plans and other existing work. Need to be aware of local authority plans and housing growth plans etc
Also take into account local authority cycling and walking plans.
Also important to ensure TfSE is having an influence on the local transport plans to ensure
they are not remaining business as usual and they do take our strategy into consideration.
They need to reflect the changing agenda and TfSE’s vision for 2050.
Need to ensure there is link up with other STBs and adjoining Local Authorities. This is an integrated wider network to consider and work with. Important for freight.
Need to make sure there is fair and equal access. A fairer system of charging and taxation.
Need to get to grips with the problem with planning and transport policy. Need the detail around this and how we can quickly move this forward.
Need to understand how to improve sustainable transport services as there are roles for bus and train. This area needs greater examination as is rail better for long distance, but bus is key to local travel? Do train stopping services cause problems to longer distance higher speed rail? Or is the western expressway working ok as it is and maybe it is more about capacity rather than altering the type of journey? Would be good to see this analysed in the studies.
It was felt by some that the transport strategy and integrated sustainability appraisal do not really tackle climate change. Need to understand carbon budgeting and research needs to be undertaken to see how we can use the infrastructure to achieve the carbon emissions now. There isn’t much of a carbon budget left, we need to be making reductions from day 1. There needs to be more of a sense of urgency and the targets will not be achievable if we are using the budget to build infrastructure now.
Need to understand how we can encourage the youth to change their behaviour as they
grow into adults. Ensure they make sustainable choices in the future.
2 areas that are not specifically area studies but important and key (all to atleast the
standard of London);
- Integrated ticketing
- Integrated travel information
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Appendix 2
Transport Forum Meetings – Work Programme
(Below is subject to change as it is linked to the TfSE work programme which is also subject to change due to national influences)
Date Venue Agenda Items Guests / Presenters
Tuesday 31 March 2020
- 1-4pm
TBC Feedback from Dec SPB meeting
Transport Strategy consultation outcomes and recommendations
Annual report and business plan
CPT future bus strategy
Presentation from Homes England / MHCLG on how to link with planning policy and ensure big developments properly consider sustainable transport
Williams Rail Review outcomes
Area studies
(Standing item) - forward plan and ideas for future presentations/guests
(Standing item) - strategic consultations
(Standing item) AOB
(Standing item) Next Meeting
Karen Tiley (CPT) ?
Tuesday 30 June 2020 -
1-4pm
TBC Energy concerns with future transport - National Grid - Local community energy - Schemes in place to deal with this issue (e.g. Network Rail’s switch to
green energy for track electricity)
Corporate form of TfSE
(Standing item) - forward plan and ideas for future presentations/guests
(Standing item) - strategic consultations
(Standing item) AOB
(Standing item) Next Meeting
Tuesday 06 Oct 2020 - 1-
4pm
TBC Low Carbon Vehicle Partnerships presentation
How the switch can be made to alternative vehicles and the environmental impact from removing the old vehicles
Real implications from carbon pathway we are to follow to meet the targets
Andy Eastlake?
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Appendix 2
Date Venue Agenda Items Guests / Presenters
(Standing item) - forward plan and ideas for future presentations/guests
(Standing item) - strategic consultations
(Standing item) AOB
(Standing item) Next Meeting
Tuesday 12 Jan 2021 -
1-4pm
TBC Cycling and walking strategies
Motorcycle Action Group – powered 2 wheelers and their impact on the environment
Presentation from another STB
(Standing item) - forward plan and ideas for future presentations/guests
(Standing item) - strategic consultations
(Standing item) AOB
(Standing item) Next Meeting
Unspecified date / ideas to be explored
Implementing some of the recommendations in the strategy
Future of aviation
RIS3
External speaker from abroad
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Transport Forum Sub-GroupRecommendations Issue Proposed Solution Action taken
Transport Forum
members need to know
their views are taken into
account
• Agree at the end of each Forum meeting on points
that need to be raised with the Board
• The Chair of the Forum to include these points in a
written and verbal report to the Board
• If recommendations are not agreed, Board should
provide justification to the Chair and this is reported
back to the Forum
• Standing agenda item at the end of each forum
meeting to agree feedback points for the Chair
• Written report from Chair of the Forum to the Board
including these points
• Note from Chair of the Forum following Board
meeting to provide Board feedback
Function of the Forum
needs to be clearly
defined
• The Sub-group has made some suggestions on how
this could evolve.
• The Forum will adopt the following, which align with
the agreed Terms of Reference;
� Consultative
� Needs to make clear recommendations to the
Board
� Testing role – act as due diligence for strategy
and schemes
� Prioritisation for future work programme, e.g.
area studies
� Prioritisation for schemes, e.g. MRN and RIS
� Collective lobbying – support TfSE and priority
schemes
� Possible role to test procurement briefs
1
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Appendix 3
Issue Proposed Solution Action taken
Profile of the Forum • Include a Transport Forum page on the TfSE
website (including name of representative and
organisation)
• Publish a formal note of the meeting on the
website
• TfSE website currently being redesigned and will include
this
• Notes of the meeting will be published on website
Communications • Publish all papers a week in advance of the
meeting
• Notes from meetings and associated
presentations to be shared within a week of
the meeting date
• All Forum members to receive regular TfSE
newsletter for dissemination to contacts
• Papers to be circulated a week in advance and note of
meeting to be circulated within a week
• All Forum members added to Connections newsletter
database
• Transport Forum newsletter circulated following Forum
meetings
• Note from the Chair following Board meetings with
summary of discussion
Forum meetings • Forum will continue to meet on quarterly basis
• Forum to identify task and finish groups or
already existing sector groups to lead on key
areas if work needs taking forward between
meetings
• Possibly create a small ‘exec’ function to meet
with Chair between quarterly meetings
• Meetings to move around the region
• Agreed to ‘map’ existing groups – with the input from
Forum members. This will be completed Q4 2019/20
• Agreed not to proceed with smaller ‘exec’ function at this
time as hopefully, the attendance of Forum reps at SOG
meetings will help to bridge the communication gap
• Seeking alternative meeting venues in the region
Transport Forum Sub-GroupRecommendations
2
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Issue Proposed Solution Action taken
Forward planning • Forum to have clearly defined work programme
that aligns with TfSE work plan, i.e. understanding
of further strategy plan and what the Forum will be
expected to input
• Suggestions for discussion topics or external
speakers welcomed from all members of the Forum
• Future work programme to end of 2019/20
developed. 2020/21 to be developed alongside TfSE
Business Plan
• Standing item added to Forum agenda for members
to suggest future agenda items / presentations /
guests
Governance • Chair of Transport Forum to continue to attend
quarterly SOG meetings to build relationships with
senior officers and promote the input from the
Forum
• Membership of the Forum to be expanded to
include interest groups that are missing, e.g.
environment, youth, etc
• Reinvigorating business memberships, both from
LEPs and business representation bodies
• Mapping exercise of existing groups
• SOG relationship has evolved – three Forum
members (Phil Dominey, Richard Higgins, Paul
Walker) will attend SOG on a rotational basis and
will be the Forum’s representatives on that group.
They will develop and maintain the relationship
with the Senior Officers from LEPs and Local
Authorities.
• Circulate SOG meeting dates to the Forum so they
can feedback to the reps above before meetings
• Membership invites issued to identified groups
• Identify any additional relevant user groups to invite
to become Forum members
Transport Forum Sub-GroupRecommendations
3
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Paper 9
Report to: Shadow Partnership Board - Transport for the South East Date of meeting: 11 December 2019 By: Lead Officer, Transport for the South East Title: Responses to Consultations Purpose: To endorse draft responses submitted to various
consultations
RECOMMENDATIONS:
The members of the Shadow Partnership Board are recommended to:
(1) Endorse the draft letter of support for Coast to Capital’s Local Industrial Strategy Draft Economic Profile consultation; and
(2) Endorse the draft response to the Highways England A27 Arundel Bypass further consultation.
1. Introduction 1.1 Transport for the South East (TfSE) has prepared responses to a number of recent consultation documents that relate to strategic infrastructure and transport schemes. 1.2 This paper provides an overview of the responses to the following consultations:
Coast to Capital – Local Industrial Strategy
Highways England A27 Arundel Bypass 2. Coast to Capital – Local Industrial Strategy 2.1 In December 2018, Government announced that the entire country will benefit from Local Industrial Strategies (LISs). Local Enterprise Partnerships (LEPs) were asked to lead this process on behalf of local areas through negotiation with Government. All LISs are set to be published by March 2020. 2.2 In September 2019, Coast to Capital LEP published the first draft of their Local Industrial Strategy Draft Economic Profile. This evidence base builds on the analysis set out in Gatwick 360°, Coast to Capital’s Strategic Economic Plan. It provides a new layer of analysis at a more local level. The economic profile collates a broad range of intelligence on the socio-economic position of Coast to Capital over the past five years. 2.3 The deadline for response was 31 October 2019. An officer level response set out in Appendix 1 was submitted before the deadline and members of the Shadow Partnership Board are recommended to agree this response.
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3 Highways England – A27 Arundel Bypass Further Consultation 3.1 Highways England are currently undertaking a further consultation on their A27 Arundel Bypass scheme. Highways England’s A27 Arundel Bypass scheme was identified within the Government’s 2015-2020 Road Investment Strategy (RIS1). 3.2 In autumn 2017, Highways England carried out an initial public consultation exercise on the options that were being considered for improving the A27 Arundel Bypass. In May 2018 Highways England publicised the preferred route for this scheme before deciding to take six options back to a further round on public consultation.
3.3 In response to the consultation, TfSE have highlighted the need for the highest level of environmental mitigation measures to be developed and delivered as part of the scheme. As is stands Highways England have not provided detail around the environmental mitigation measures that would be put in place for each option despite all options having major adverse impacts on the environment.
3.4 TfSE acknowledge that all the options offer some improvements to facilities for non-motorised users (NMU’s – equestrians, cyclists and pedestrians including wheelchair users), but would welcome Highways England to look further into maximising the opportunities that are available for the scheme. By ensuring that any new crossings are accessible to all NMU’s, upgrading existing public rights of way, and providing new NMU facilities on the bypassed section of the A27 as well as new links. Highways England would be able to provide an improved network of routes for multiple modes of transport, which would facilitate more sustainable access to services and employment and increase the health, leisure and community benefits of the scheme. 3.5 The deadline for response was 24 October 2019. An officer level response set out in Appendix 2 was submitted before the deadline and members of the Shadow Partnership Board are recommended to agree this response.
4 Conclusion 4.1 The members of the Shadow Partnership Board are recommended to agree the responses to the two consultations on the Coast to Capital – Local Industrial Strategy Draft Economic Profile and also the Highways England A27 Arundel Bypass. RUPERT CLUBB Lead Officer Transport for the South East
Contact Officer: Benn White Tel. No. 07714 847288 Email: [email protected]
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Appendix 1
0300 3309474 [email protected] transportforthesoutheast.org.uk Transport for the South East, County Hall, St. Anne’s Crescent, Lewes, BN7 1UE
Emailed to: [email protected]
30 October 2019 Dear Sirs Transport for the South East response to the consultation on the Coast to Capital Local Industrial Strategy (LIS) Transport for the South East welcomes the opportunity to respond to the Coast to Capital Local Industrial Strategy (LIS) consultation. Transport for the South East (TfSE) is an emerging Sub-national Transport Body (STB) which is being established in line with provisions of the Local Transport Act 2008 (as amended). As a STB, TfSE’s principal role is to facilitate sustainable economic growth through the development of its transport strategy which will identify the transport infrastructure required to deliver additional housing and employment space across the region. TfSE provides a single voice across its geography on the transport interventions needed to support growth. The South East is crucial to the UK economy and is the nation’s international gateway for people and business. High-quality transport infrastructure is critical to making the South East more competitive, contributing to national prosperity and improving the lives of our residents. We welcome the opportunity to comment on the evidence base for the emerging Coast to Capital LIS. We understand that this is a key stage in the development of the LIS and the early engagement is welcomed. It is crucial for Transport for the South East and Coast to Capital LEP to continue to foster the strong working relationship that has been built to date. Transport for the South East has recently published its draft Transport Strategy for consultation. We feel that this offers a strong evidence base that can be used by LEPs in the production of their LIS. Copies of our Transport Strategy and supporting documents can be found on the TfSE website. The C2C evidence base starts to identify many of opportunities and challenges for transport infrastructure in the Coast to Capital area and the wider south east which are included in the Transport Strategy. Our Transport Strategy seeks to improve connectivity between businesses, improve access to labour markets, and facilitate housing and employment space growth. The strategy work also looks to improve access to the international gateways and accessibility to deprived communities to deliver sustainable economic growth.
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Appendix 1
0300 3309474 [email protected] transportforthesoutheast.org.uk
Transport for the South East, County Hall, St. Anne’s Crescent, Lewes, BN7 1UE
The delivery of the TfSE Transport Strategy and the LIS need bold ambitious interventions to support their delivery. We would welcome the opportunity to be involved in further discussions with the LEP to co-design the next stages of the LIS, particularly focusing on transport and infrastructure, to ensure the important alignment between the two documents. Once again, thank you for giving Transport for the South East the opportunity to respond to the evidence base. Transport for the South East welcomes the opportunity to work closely with the Coast to Capital Local Enterprise Partnership and support the development of the LIS. This is an officer response. The TfSE Shadow Partnership Board meets on 11 December 2019 to consider the draft response and a further iteration of the response may follow. Yours sincerely,
Rupert Clubb, Lead Officer, Transport for the South East
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Emailed to: [email protected]
24 October 2019 Dear Sirs
Response to the A27 Arundel Bypass Further Consultation
Transport for the South East welcomes the opportunity to respond to the A27 Arundel Bypass further consultation.
Transport for the South East (TfSE) is an emerging Sub-national Transport Body (STB) which is being established in line with provisions of the Local Transport Act 2008 (as amended). As a STB, TfSE’s principal role is to facilitate sustainable economic growth through the development of its transport strategy which will identify the transport infrastructure required to deliver additional housing and employment space across the region.
TfSE provides a single voice across its geography on the transport interventions needed to support growth. The South East is crucial to the UK economy and is the nation’s international gateway for people and business. High-quality transport infrastructure is critical to making the South East more competitive, contributing to national prosperity and improving the lives of our residents.
Our Economic Connectivity Review (ECR) published in 2018 provided a detailed analysis of the underlying socioeconomic conditions of the area and showed the key roles that the transport network and its strategic corridors have in driving economic growth in the South East and the UK. The A27 was identified as one of the key strategic corridors where the evidence suggests that economic investment in transport infrastructure should be focussed to generate maximum future return.
The A27 is the only major east-west trunk road south of the M25 and links a number of the cities and ports that are critical to the UK economy. Our consultation draft Transport Strategy published earlier this month has built upon the evidence and analysis conducted in the ECR and confirms the A27 as a key orbital transport corridor across our area. Our draft Strategy recognises that sections of single carriageway road limit capacity and highlights that there are significant areas of congestion on this corridor. Our draft Strategy further identifies that the poor performance of this corridor represents a significant barrier to fostering sustainable growth along the South Coast.
The South East has a varied and highly valued natural environment, parts of which are also designated due to the quality of the environment, and this helps make the area an attractive place to live, work and visit. Our draft Strategy strongly supports economic growth, but not at any cost, and is clear that any intervention in the area’s transport networks must ensure that the environment is protected and where possible enhanced.
0300 3309474 [email protected] transportforthesoutheast.org.uk Transport for the South East, County Hall, St. Anne’s Crescent, Lewes, BN7 1UE
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The South East is a popular location for leisure walking and cycling, and our strategy suggests that there is scope to expand the infrastructure to encourage more sustainable forms of transport, particularly for more local journeys.
The stated objectives of the A27 Arundel Bypass scheme are aligned with the TfSE vision, goals and priorities set out in our Transport Strategy, and therefore TfSE supports the need for intervention on the A27 at Arundel to address the current congestion issue and to remove the constraint to future economic growth. However, we consider that it is not within our remit to comment upon any particular route option. We would expect that in developing the scheme, the highest standards of design are employed that will provide a long term solution that delivers potential economic benefits and successfully mitigate its environmental impacts.
We consider that in accordance with Government policy every effort must be made to ensure that biodiversity net gain is achieved through this project, and we would therefore expect that a high quality package of environmental mitigation measures is developed and delivered as part of the scheme.
We also consider that there are opportunities to provide enhanced infrastructure and provision for non-motorised users and that these should be included in the design of the preferred route.
We note that although £100-£250 million has been allocated for the A27 Arundel Bypass through the Road Investment Strategy only two of the six options are considered broadly deliverable within this budget. The delivery of major highway improvements in or near environmentally designated areas should reflect a need for the highest standard of design, including environmental mitigation. Although this cannot come at any cost, it is considered that the design of the Arundel bypass scheme should be determined by what is needed to fully deliver on Highway England’s strategic objectives, rather than just what is affordable within the current budget.
This is an officer response. The TfSE Shadow Partnership Board meets on 11 December 2019 to consider the draft response and a further iteration of the response may follow.
Please do not hesitate to contact me if you would like to discuss any element of this response.
Yours sincerely,
Rupert Clubb Lead Officer, Transport for the South East
0300 3309474 [email protected] transportforthesoutheast.org.uk Transport for the South East, County Hall, St. Anne’s Crescent, Lewes, BN7 1UE
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