Governance and Accountability

NSTAB does not carry out its functions on behalf of the Crown.

The remainder of this section summarises the specific responsibilities and accountabilities of the key people involved in governance of NSTAB.

NSTAB

Members of NSTAB, including the Chairperson, are non-executives appointed by the Scottish Ministers. Members of NSTAB are accountable to the Scottish Ministers and also to the Scottish Parliament, and may be required to give evidence to Parliamentary Committees.

NSTAB has overall responsibility for the delivery of its functions, as set out at paragraphs 6 to 10 above, in accordance with the aims, policies and priorities of the Scottish Ministers. In fulfilling this responsibility, individual members, under the leadership of the Chairperson, will:

  • set strategic and operational plans to deliver the functions of NSTAB, focusing on how the work of NSTAB can effectively contribute to achievement of Scottish Government objectives, including the Second National Transport Strategy.
  • regularly scrutinise current and projected performance against the aims, objectives and targets set out in plans and take decisions on remedial action where required;
  • ensure that effective governance is established and maintained, including ensuring that decision-taking is open and transparent and that key risks are identified and managed;
  • promote the efficient, economic and effective use of resources consistent with the principles of Best Value, and regularly scrutinise financial performance and compliance with financial guidance issued by the Scottish Government.

The Chairperson will:

  • lead NSTAB, ensuring that all members have suitable induction to understand the role and their responsibilities, that the skills and experience of all members are used effectively and that NSTAB undertakes regular self-assessment of its performance;
  • ensure that the performance of each member is reviewed at least once per year and that every member and/or individual members undertake development activity when required to ensure the effectiveness of NSTAB;
  • ensure that NSTAB reviews its effectiveness annually;
  • ensure that a Code of Conduct (aligned to the Model Code of Conduct for Board Members) is in place, that corporate actions are taken to implement it as required and that members understand their responsibilities, using the guidance provided by the Standards Commission;
  • work with the Portfolio Accountable Officer or their delegate(s) on succession planning for NSTAB, action necessary to fill vacancies as they arise, skills requirements and promoting diversity by encouraging applications from less represented groups, including younger people, people from minority ethnic backgrounds and people with disabilities.

Specific guidance on how the Chairperson and other NSTAB members should discharge their duties will be provided in their appointment letters and helpful information can be found in On Board – A Guide for Members of Statutory Boards. Guidance on governance good practice is available in the Scottish Public Finance Manual and from the Sponsor Team, who may consult the SG Governance and Risk Team. A list of key aspects of governance to consider is included in the Governance and Risk section below.

NSTAB Secretariat

The NSTAB Secretariat are civil servants on SG terms and conditions of employment. They are required to comply with the Civil Service Code and SG HR policies, but their primary responsibility for all operational matters is to the Board and it will not be possible for the Portfolio AO, Senior Sponsor, members of the Sponsor Team or other SG officials to instruct the staff of NSTAB in the performance of their duties except by agreement with the Chairperson or the Board.

The Secretariat will be the principal adviser to NSTAB on the discharge of its functions and is accountable to it. The role of the Secretariat is to ensure that NSTAB’s aims and objectives are met, its functions are delivered, and its targets are met through effective and properly controlled executive action.

The specific duties of the Secretariat are set out below, and agreed with the Senior Sponsor and used in the performance appraisal process.

  • dealing with the everyday administrative matters relating to the Board and providing day-to-day support as required.
  • monitoring the Board’s mailbox, ensure correspondence is dealt with and shared as necessary, in a timely manner.
  • ensuring monthly fees and expenses claims are processed and paid to members on time.
  • monitoring the Board’s finances, ensuring their spending is tracked and shared with the Chairperson.
  • ensuring, when required, due to unforeseen circumstances, the Board are supported to facilitate meetings via on-line forums such as video conferencing to hold hybrid meetings as a reasonable adjustment for members and invited guests.
  • acting as an initial point of contact and ensuring effective relationships with the Transport Scotland Sponsor Team.
  • ensuring the Board adheres, where appropriate, to Scottish Government’s policies.
  • liaising with stakeholders and facilitating relationships across Transport Scotland and wider Scottish Government departments as necessary.
  • facilitating the Board’s engagement with Ministers; including where appropriate, arranging for Ministers to attend NSTAB meetings and producing supporting briefs.
  • assisting in the preparation of board papers, assisting with the drafting, production and publication of NSTAB Annual Report and assisting with the production and publication of reports and consultations as required.
  • securely storing and managing all the Board’s correspondence, papers and data in the Scottish Government’s secure data storage system.
  • updating and maintaining the NSTAB pages of the Transport Scotland website.

In addition to any other specific duties, the Secretariat will:

  • advise NSTAB on the discharge of its responsibilities – as set out in this Framework Document, in the founding legislation and in any other relevant instructions and guidance issued by or on behalf of the Scottish Ministers;
  • implement or oversee implementation of the decisions of NSTAB;
  • manage the Secretariat resource for NSTAB in line with guidance, policies and procedures in place in the SG, and ensure their wellbeing and development (where appropriate);
  • manage the budget for NSTAB in line with Finance guidance, policies and procedures, including the Scottish Public Finance Manual;
  • agree with NSTAB and the Portfolio AO or Senior Sponsor what information is required to enable NSTAB and SG to scrutinise the performance of NSTAB and progress against overall strategic and work programme aims and objectives, and ensure that the agreed information is provided and that is both accurate and timely;
  • manage the day-to-day relationship with the Senior Sponsor and/or Sponsor Team, with other SG officials who have an interest in the work of NSTAB and other key stakeholders, including staff of other public bodies.

In advising NSTAB, the Secretariat will ensure that the key governance issues highlighted in the Governance and Risk section below are addressed.

The Scottish Ministers

The Scottish Ministers appoint the Chairperson and other NSTAB members, and hold NSTAB to account for its performance and its use of resources. Ministers are ultimately accountable to the Scottish Parliament for ensuring that NSTAB is discharging its duties effectively, although the Parliament will scrutinise the performance of NSTAB directly as it does with all public sector bodies. The Scottish Ministers are not directly responsible for the operation of NSTAB.

The Scottish Ministers will:

  • agree the strategic aims, objectives and key targets of NSTAB as part of the work programme planning process;
  • agree the budget for NSTAB, and secure the necessary Parliamentary approval, where necessary;
  • approve the Code of Conduct of NSTAB members;
  • carry out responsibilities specified in the 2023 Regulations such as working with NSTAB to approve a work programme.

SG Portfolio Accountable Officer

The Principal Accountable Officer for the Scottish Administration (the Permanent Secretary of the SG) has designated the Chief Executive of Transport Scotland as the Accountable Officer (AO) for the SG portfolio budget which will provide funding for NSTAB.

The Portfolio AO’s duties are to establish a framework for the relationship between SG and a public body, oversee the operation of that framework, ensure the public appointments to the body are made appropriately and ensure that appropriate assurance is provided on the performance and governance of the body. These activities are known collectively as ‘sponsorship’. In practice, the Portfolio AO is likely to delegate some or all sponsorship duties to the Director of Bus, Accessibility and Active Travel, and/or to other officials in a ‘Sponsor Team’. The responsibilities of a Portfolio Accountable Officer are set out in detail in the Memorandum to Accountable Officers for Parts of the Scottish Administration.

The Portfolio AO will:

  • make sure this framework document is agreed between the Scottish Ministers and NSTAB, reviewed regularly and oversee the operation of the roles and responsibilities set out;
  • ensure that financial and other management controls being applied by NSTAB are appropriate and sufficient to safeguard public funds and conform to the requirements both of propriety and of good financial management;
  • ensure that public appointments are made in good time and secure appropriate skills, experience and diversity amongst board members, working with the Chairperson on succession planning; that there is effective induction for new appointees; and ensure that there is continuous assessment and annual appraisal of the performance of the Chairperson;
  • support regular and effective engagement between NSTAB and the relevant Scottish Minister(s); and
  • make sure there is clear, documented delegation of responsibilities to a Senior Sponsor and/or Sponsor Team and that NSTAB members are aware of these delegated responsibilities.

The Portfolio AO remains personally answerable to the Scottish Parliament for the effectiveness of sponsorship activity.