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E: Implementation

111. This section sets out some general guidance on the implementation of the strategy, particularly where this is related to the requirements set out in the Transport (Scotland) Act 2005. The RTS itself should include an implementation plan although with only an appropriate level of detail. More detailed (and non-statutory) plans will almost certainly be needed.

(i) Delivery plans

112. Each RTP will also need delivery plans consistent with the overall strategy and geared towards achieving interim targets, milestones and agreed levels of performance. These should be distinct from the RTS which is intended to be a high-level document. Those partnerships with stronger operational powers will need more detailed operational and/or investment plans. An example of a hierarchy of plans is below.

• RTS: 10-15 year strategy reviewed, revised and refreshed every 4 years in line with the local government electoral cycle.
• Investment Plan: investment plan covering the first 5 to 10 years of the strategy that sets out a programme of capital investment required for the successful implementation of the RTS. This would need to be updated when the RTP judged it appropriate.
• Delivery or business plan: 3-year plan for the implementation of the RTS, updated annually to reflect local and central government planning and funding cycles. Includes plans for revenue and capital spending and borrowing.
• Annual report: Yearly update of progress (see paragraph 133).

(ii) Transport functions

113. The RTS should identify leading and supporting delivery agents for each of its component parts.

114. The RTP itself will have powers to perform some statutory transport functions ¹⁵. Section 11 of the Act specifies that any functions the RTP has must be carried out in a way that will contribute to the fulfilment of the RTS. All RTPs already have certain powers - for example to give grants or loans to any person for any purposes that will contribute to the implementation of the RTS.

115. The strategy should also identify any other statutory transport functions that an RTP will itself need in order to ensure that the strategy is delivered. These could be transport functions currently exercised by its constituent councils, by the Scottish Executive and Transport Scotland, or by other public bodies. Section 10 of the 2005 Act gives an illustrative list of some of the functions that could be conferred upon an RTP. These are:

• making quality partnership and quality contract schemes;
• establishing voluntary ticketing arrangements or binding ticketing schemes;
• providing bus service information;
• installing bus lanes;
• providing subsidised bus services;
• making and implementing road user charging schemes;
• operating ferry services;
• managing tolled bridges;
• operating airports and air services;
• entering into public service contracts ( e.g. for the provision of ferry and air services).

116. When functions are identified, the RTP should then draw up a request to the Scottish Ministers for an order conferring these functions on the partnership. Functions can be conferred concurrently - so that the RTP can exercise the function without taking it away from whoever currently exercises it - or can be transferred to the RTP. This is clearly an important decision so section 10 of the Act puts in place a number of steps which must be gone through.

• The proposal to confer or transfer a function must clearly flow from the regional transport strategy.
• The RTP must consult specifically on this point with its constituent councils. This is important even if the functions to be conferred are not ones currently exercised by the councils as there could be financial implications. The RTP could also consult with other interested parties.
• The RTP must agree to making the request to Ministers. Only the councillor members of RTPs will be able to vote on this matter.
• The Minister, on receiving the request, will consult with the constituent councils of the RTP and with other interested parties.
• The Executive will submit the draft order to Parliament, who will have the final say on whether or not the conferring or transferring of functions takes place.

117. Once functions have been conferred on an RTP, it should take responsibility for ensuring that relevant providers, users and other stakeholders are aware that this change has been made.

118. Wherever a full transfer of functions takes place, there will be implications for the staff currently employed in the delivery of that function. In such cases, section 15 the Act provides that protection is afforded through the application of the Transfer of Undertaking (Protection of Employment) Regulations 1981. Section 15 also makes provision for the transfer of relevant property, rights and liabilities which are necessary for the continued performance of the function (or, particularly in the case of liabilities, would not be appropriate for the former body to retain).

(iii) Functions models

119. Scotland's Transport Future stated (paragraph 5.18) that: "We envisage that there will be two or three partnership models with varying degrees of power and responsibility, and we will consult further on these before publishing guidance. Each partnership, once formed, will be expected to agree which of these models they wish to follow."

120. It is envisaged that model 1 would confer only a limited number of statutory functions on RTPs to be exercised concurrently with local authorities. Model 2 will include some transfers of functions from constituent councils or the Scottish Ministers to RTPs. Model 3 will require a significant transfer of public transport functions from constituent councils to the RTP. This will be the case in the west of Scotland where the Transport Partnership, (as the successor body to SPT), and not the local authorities will exercise the statutory functions relevant to public transport. Those RTPs consisting of just one local authority plus other members (South-West of Scotland and Shetland) will also be model 3 partnerships ¹⁶.

121. RTPs will also be able to act as agents of some or all of their constituent councils or of the Scottish Ministers. This would, for example, enable local authorities to achieve economies of scale in the exercise of certain transport functions through the RTP without losing direct political control. Equally, an RTP could delegate the exercise of one of its statutory transport functions to its constituent councils. This would enable policy decisions to be taken at the regional level, with operational management decisions being taken at the local level. However, this would risk the loss of economies of scale and the building of a strong operational capacity in the RTP. It is also questionable whether this offers any benefit over retaining powers with the local authorities who will in any case have to exercise their transport functions consistently with the RTS.

(iv) Functions requests: form and content

122. Section 10(4) of the Act requires an RTP when making a request for the conferring on it of transport functions to have regard to any guidance from the Scottish Ministers on the form and content of such requests. Such a request should be in the form of a written submission ¹⁷ from the Chair of the RTP. Requests should specify, with detailed reference to the legislation concerned, which statutory functions are to be conferred on the RTP, what exceptions (if any) are required and what consequential amendments (if any) to primary or secondary legislation are required. Copies of the submission should be sent to the all the RTP's constituent councils.

(v) Duty on councils, health boards and others to perform transport functions consistently with the RTS

123. Section 8 of the Act places a duty on the constituent councils, so far as possible, to perform their transport functions, and other functions which impact on or are affected by transport, consistently with the RTS.

124. Councils will have to aim to perform, so far as possible, any of their functions that relate to transport, affect transport or are affected by transport in a way which is consistent with the RTS. That means that areas of council responsibility other than transport but which, for example, rely on or generate transport should also take close account of the RTS and feed into its development. These include, for example, education (school transport but also decisions on the location of schools and other educational facilities) and land-use planning. It is accepted that there will be times when the RTS cannot, for whatever reason, be strictly adhered to, particularly where other statutory requirements are concerned. However, councils should strive to deliver all their services in line with the RTS and should reflect on this when inputting to the RTS in the first place.

125. In a similar way, there are health boards and other public bodies who provide, generate, demand or otherwise impact on transport in the region and whose actions will help or hinder the achievement of the regional transport strategy. Section 8 of the Act enables Ministers to place an obligation on named health boards and public bodies to adhere to the RTS in the same way as councils are required to. Before bringing forward draft secondary legislation to the Scottish Parliament that sets out the specified health boards and other public bodies that should adhere to each RTS, the Scottish Executive will consult those health boards and public bodies.

(vi) Funding

126. The RTP will need resources to implement its strategy and to carry out its functions. Some funding will come from the Scottish Executive to contribute to core staffing and administrative costs. Other funding will come from the Executive to fund particular projects or services - there is already a commitment to provide an additional £35m (in 2006-07 and 2007-08) capital funding to be shared between the RTPs. The Executive has already announced these allocations and has made clear that the regional transport strategies, once in place, will play a part in determining the future level of funding to be received by each Transport Partnership. Each RTS should therefore make the case for funding beyond that currently anticipated - though it should be noted that the approval by Ministers of a strategy does not represent a commitment to funding the whole of the strategy or to be the individual projects or other interventions it contains. Other stakeholders may make contributions. The remainder will have to be provided by the constituent councils. The RTP will decide how much of its remaining funding should be provided by each council. However, this should not be an arbitrary decision and must be informed by the regional transport strategy. Section 3 of the Act provides the mechanism for this and operates in the same way as the provisions applying to Joint Police Boards and Joint Fire Boards.

127. Section 3(7) and Schedule 1, paragraph 15(5) of the Act provides that RTPs may borrow money for the purpose of financing their capital expenditure. They will be able to borrow money under CIPFA's Prudential Code for capital finance in the same way that local authorities can and subject to the same objectives and prudential indicators as set out in the Code. It will also be open to any constituent local authority or authorities to use Prudential borrowing to fund capital projects that form part of the regional transport strategy. An RTP with appropriate functions will also be able to engage in revenue-generating activities. Larger-scale projects may, if they are to proceed after the Strategic Projects Review (see paragraph 43), receive direct funding from the Executive.

(vii) Monitoring

128. Section 5(2)(g) of the Act requires that RTPs include in the RTS a plan for measuring and monitoring progress towards its achievement. Section 12(1)(b)(ii) places a duty on the RTP to undertake the measuring and monitoring set out in the RTS. Monitoring should, in particular, track progress against and achievement of objectives, targets and performance indicators adopted in the strategy.

129. The consultation on the National Transport Strategy will include proposals for a series of national transport indicators. If these are adopted as part of the final NTS, it is suggested that RTPs reflect these in their regional indicators.

130. In line with SEA requirements, RTPs will need to monitor the significant environmental effects of the strategy, plan or programme in a manner which enables them to identify any unforeseen adverse effects at an early stage and to enable them to undertake appropriate remedial action.

(viii) Review

131. Section 7 of the Act requires RTPs to keep their strategy under review and, as necessary, make modifications or draw up a new strategy from scratch. The RTS should be reviewed and rolled forward every 4 years. If Ministers think a strategy is overdue for renewal, they can instruct the RTP to do this (it is not expected that this would happen other than in exceptional circumstances).

132. When modifying or renewing its strategy, the RTP will need to go through most of the same steps as when it drew up its original strategy - in particular it will need to consult with its constituent councils and others and seek approval from Ministers. It will need to carry out a further Strategic Environmental Assessment. One difference is that there is no timescale fixed in the legislation for the strategy's production. Certain parts of the original strategy should also stand the test of time - the vision should continue to command support and the objectives may not need a great deal of change, except insofar as some have been achieved during the previous 4 years and some new ones may be needed to reflect changes in the challenges and opportunities arising in the region.

(ix) Reporting

133. Schedule 1, paragraph 14(a) of the Act requires each RTP to provide the Scottish Ministers with an annual report. This should cover the operational and financial year to 31 March. This report should include a report of performance against the objectives, targets and performance indicators set out in the RTS and should also be sent to constituent councils and others who have provided funding.

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