Planning and Reporting

Work Programme

As set out in regulation 8 of the 2023 Regulations, NSTAB will prepare a draft work programme setting out how it intends to perform its statutory functions, and such other matters relating to NSTAB’s functions as it considers appropriate, for the next one to three financial years. The draft work programme is to be submitted to the Scottish Ministers for their consideration, and NSTAB must work with the Scottish Ministers on the draft programme until it is approved by the Ministers. The final, approved work programme should be published on the NSTAB pages of the Transport Scotland website.

The first work programme prepared by NSTAB must relate to any remainder of the current financial year in addition to the “relevant period”, and the “relevant period” means at least the next full financial year but not more than the next three full financial years. The first work programme must be submitted to the Scottish Ministers as soon as reasonably practicable, and not later than six months after the first meeting of NSTAB.

In particular, the programme should:

  • Reflect NSTAB’s strategic aims and objectives as agreed with the Scottish Ministers.
  • Set the key objectives for the period of the programme and what advice NSTAB intends to issue to the Scottish Ministers.
  • Outputs that are expected and how these outputs will be tested.
  • Highlight the key work streams and areas of engagement.
  • Demonstrate how NSTAB contributes to the National Transport Strategy 2.
  • Include a longer-term strategic plan, outlining the longer-term aims of NSTAB, to supplement short-term goals.

The work programme, and any subsequent amendments, should be shared with the Sponsor Team. The Board may revise a programme from time to time and must submit any revised programme to the Scottish Ministers for approval.

All work programmes subsequent to the first must be submitted to the Scottish Ministers not later than three months before the expiry of the period to which the current programme relates.

The Scottish Ministers may:

  • approve a programme without modification,
  • approve a programme with modifications agreed with NSTAB, or
  • reject a programme.

If the Scottish Ministers reject a programme, NSTAB must submit a revised programme to the Scottish Ministers within such period as the Scottish Ministers require.

The respective responsibilities in the work programme process are as follows:

  • Chairperson – Manage the process for establishing the contents and strategy of the work programme, including drafting and overall responsibility for its quality.
  • Board Members – Provide input to the content of the work programme.
  • Secretariat – support NSTAB in the creation of the work programme, including compiling advice, NSTAB operational statistics (e.g. finance, appointments), and drafting of relevant sections related to the Secretariat duties. Review the draft prior to submission to the Sponsor Team. Publishing the work programme on the NSTAB pages of the Transport Scotland website, on behalf of NSTAB.
  • Sponsor Team – Support the Chairperson with the strategic development of the work programme in the context of Scottish Government policy. Sense check the draft prior to submission to the Scottish Ministers.
  • Scottish Ministers – Choose whether or not to approve the work programme with or without modifications, as per paragraph 39.

Annual Report

NSTAB will prepare an annual report on its work, including progress against its current strategic aims, objectives and targets. The annual report must be submitted to the Scottish Ministers by 30 June each year, and it should report on the activities of NSTAB and any working groups it formed during the previous financial year. In accordance with regulation 10 of the 2023 Regulations, the annual report must also do the following:

  • measure NSTAB’s success in respect of the financial year by such methods as the Scottish Ministers may intimate from time to time
  • collate all advice given and recommendations made by NSTAB to the Scottish Ministers during that financial year, including any dissenting opinions communicated to the Scottish Ministers by dissenting voting members.

A copy of the report should be provided to the Scottish Ministers via the Sponsor Team. NSTAB must also publish the annual report on the NSTAB pages of Transport Scotland’s website as soon as reasonably practicable after it is submitted to the Scottish Ministers. A copy of the report should also be provided to the Scottish Parliament, usually by way of a letter from the Chairperson to the Convener of the Net Zero, Energy and Transport Committee either in advance of, or on the day of, publication.

The respective responsibilities in the annual report process are as follows:

  • Chairperson – Manage the process for establishing the contents and strategy of the annual report, including drafting and overall responsibility for its quality.
  • Board Members – Provide input to the content of the annual report.
  • Secretariat – support NSTAB in the creation of the annual report, including compiling advice, NSTAB operational statistics (e.g. finance, appointments), and drafting of relevant sections related to the Secretariat duties. Review the draft prior to submission to the Sponsor Team. Publishing the annual report on the NSTAB pages of the Transport Scotland website, on behalf of NSTAB
  • Sponsor Team – Support the Chairperson with the strategic development of the annual report in the context of Scottish Government policy. Sense check the draft prior to submission to the Scottish Ministers.
  • Scottish Ministers – Take receipt of the annual report, noting its completion and contents. If Scottish Ministers consider it appropriate, intimate methods by which NSTAB should measure its success in the annual report.

Submissions of advice to Scottish Ministers

Formal advice can be issued by NSTAB to the Scottish Ministers at any time the members consider appropriate. This advice must fall within the scope of the statutory functions of NSTAB as provided by section 27C of the 2001 Act. These are:

  • To advise the Scottish Ministers in relation to their functions insofar as they relate to smart ticketing arrangements.
  • To advise the Scottish Ministers in relation to their functions insofar as they relate to the national technological standard for smart ticketing.
  • To advise and give recommendations to the Scottish Ministers in relation to the strategic development of smart ticketing in Scotland.

Advice should, at least, set out clearly:

  • The issue being discussed
  • The options considered and preferred option/solution
  • The reasons for the board’s determination with views from members, and with an overview of impacts to those relevant (e.g stakeholders, industry, passengers, government)
  • The voting record for the submission of the advice, including how many voted for or against it
  • The proposed next steps

Formal advice and recommendations from NSTAB to Scottish Ministers will be processed via the standard communication channel, outlined in paragraph 61. Advice and recommendations should follow a consistent structure, and the secretariat can support NSTAB with the creation of this, in line with Scottish Government processes.

Where a voting member does not agree with advice from NSTAB, the voting member may communicate their dissenting opinion to the Scottish Ministers on an individual basis or acting collectively with other dissenting voting members.

Publication

As per the 2023 Regulations, NSTAB must publish any advice it provides to the Scottish Ministers, and any recommendations it makes to the Scottish Ministers, on the NSTAB pages of Transport Scotland’s website.

Meetings and Voting

The purpose of the Board meetings will be to:

  • Agree objectives and proposed annual workplan for the Board
  • Identify likely key challenges and opportunities in relation to the work
  • Identify and agree the required evidence/input in order to make a decision on the Board objectives.Review evidence in order to make a decision on the next stage of programme development
  • Make a decision on progress required for next Board meeting and what should be submitted for review

All NSTAB members (other than the Chairperson) will be subject to the same terms, conditions and remuneration. NSTAB is formed of voting members, non-voting advisory members, and an additional non-voting member appointed as Chairperson.

The voting membership, as provided in regulation 3(2) of the 2023 Regulations, is specifically balanced between the needs of different operators, passengers and the public sector.

In order to provide the Scottish Ministers with the best possible advice, three non-voting posts have been embedded into the board, to provide technical advice.

The Chairperson is also a non-voting member in a neutral position, directly accountable to the Scottish Ministers. However, despite being a non-voting member, the Chairperson will have a casting vote in the case of a split vote (per regulation 6(5) of the 2023 Regulations)

As per regulation 6(6) and (7) of the 2023 Regulations, the quorum for all meetings of NSTAB is a majority of the current voting membership. A resolution is passed when a majority of the voting members attending the meeting have voted in favour of it.

Minutes must be kept of the proceedings of every meeting of NSTAB and must include a record of any resolution passed (per regulation 6(8) of the 2023 Regulations).

Voting is required on at least the following matters (per regulation 6(3) of the 2023 regulations):

  • Advice and recommendations from NSTAB to the Scottish Ministers
  • Content of the work programme and annual report

As per regulation 6(4) of the 2023 Regulations, non-voting members are not entitled to vote on the matters noted in paragraph 58(a) and (b) above.

In the event that the Chairperson is absent from a meeting, the members must appoint a member to act as the Chairperson for that meeting only (the “acting Chairperson”). The members must appoint an acting Chairperson at the start of the meeting in question and the standard rule concerning quorum for meetings applies (as noted in paragraph 55). The NSTAB Secretariat should manage the appointment process at the meeting. In accordance with regulation 6(7) of the 2023 Regulations, a member is appointed acting Chairperson for a meeting when a majority of the voting members attending the meeting have voted in favour of the member. In the first instance, the members should seek to appoint a non-voting member as the acting Chairperson, so as to maintain the structure of the voting membership and the clarity of voting members’ positions. If a non-voting member does not receive a sufficient number of votes to be appointed, the members should seek to appoint a voting member as the acting Chairperson in order to allow the meeting in question to go ahead. If a voting member is appointed acting Chairperson, they will only have their normal right to vote as a voting member; they do not have a casting vote in the case of an equality of votes. The Chairperson only has a casting vote in the case of an equality of votes and, therefore, if there is a tied vote at a meeting with an acting Chairperson, the disputed matter must be referred to the Chairperson for a decision.

Communication

With the NSTAB Secretariat

  • All day-to-day operational matters including expenses, minuting, agendas, meeting logistics, drafting of papers, in line with paragraph 23.
  • The NSTAB Secretariat can escalate any issues to the Sponsor Team.

With Sponsor:

  • Engagement with the Sponsor Team should be treated as a regular informal process. Should the secretariat not be able to answer any operational questions, these can be escalated to the Sponsor Team. The Sponsor Team will also be able to answer any questions on the strategic development of NSTAB.
  • The Sponsor Team will not be used as a communication channel with the Scottish Ministers, but can be consulted with prior to engaging with the Ministers.

With the Scottish Ministers (Minister for Transport)

  • Correspondence will be sent by the secretariat from the NSTAB mailbox, and the Sponsor Team will be copied in.
  • The secretariat will provide an opportunity for the relevant Scottish Government policy team to provide additional information to be sent to the Scottish Ministers together with the NSTAB advice, in order to provide efficient Ministerial communication.

With external parties

  • NSTAB will establish its process for engaging with external parties. It is expected that all NSTAB members who are industry/sector representatives will relay information between NSTAB and their sector groups.

Media Handling

  • NSTAB may respond to requests from the media without permission from the Sponsor Team. The Chairperson will be the spokesperson for NSTAB.

Communication examples

The NSTAB Secretariat should be communicated with on the following issues:

  • Development of work programme and annual report
  • Process for expenses and remuneration
  • Day-to-day operation of NSTAB including publication, mailbox, preparation for board meetings and board papers
  • Any need for legal or Freedom of Information advice

The Sponsor Team should be communicated with, via the NSTAB Secretariat, on the following issues:

  • Strategic development of NSTAB’s operation (including governance, expenses, time commitments), including the development and updating of the Framework Document.
  • Appointments and resignations of members
  • If NSTAB chooses, informal development of advice and recommendations

Scottish Ministers should only receive, via the NSTAB Secretariat:

Formal advice and recommendations by NSTAB, prepared in accordance with the 2023 Regulations, on:

  • Matters within scope of the statutory functions of NSTAB as set out in paragraph 7
  • Appointments and resignations (after discussing with the Sponsor Team)
  • Formal responses to requests by the Scottish Ministers.