Governance and accountability

Status as an Executive Agency means that Transport Scotland has autonomy in carrying out its executive functions within the terms of this framework, whilst remaining directly accountable to the Scottish Ministers for the standards of its work.

Transport Scotland also has responsibility for providing honest, impartial and objective advice to the Scottish Ministers on policy in relation to transport.

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

The Chief Executive

The Chief Executive is a civil servant who is personally accountable to the Scottish Ministers for the economic, effective and efficient operation of Transport Scotland. The Chief Executive is also appointed by the Principal Accountable Officer for the Scottish Administration (the Permanent Secretary) as the Accountable Officer for the agency, and the responsibilities of that role are set out below.

The Chief Executive has overall responsibility for the delivery of the functions of Transport Scotland, as set out at paragraph 7 above, in accordance with the aims, policies and priorities of the Scottish Ministers. In fulfilling this responsibility, the Chief Executive will lead the agency and:

  • set strategic and operational plans to deliver the functions of Transport Scotland, focusing on how the work of Transport Scotland can most effectively contribute to achievement of the outcomes in the National Performance Framework, the Programme for Government and Scotland’s Economic Strategy in collaboration with the SG and other public bodies;
  • lead the activity of Transport Scotland to deliver 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, with support from the Audit and Risk Committee, ensure that key risks are identified and managed;
  • approve the annual report and accounts and ensure they are laid before the Scottish Parliament timeously;
  • manage the budget for Transport Scotland in line with Scottish Government Finance guidance, policies and procedures, including the Scottish Public Finance Manual, the principles of Best Value, and ensure that appropriate financial appraisal and evaluation techniques are followed (see the Appraisal and Evaluation section of the SPFM) to inform financial decisions;
  • agree with the Portfolio Accountable Officer or other senior civil servant acting under delegated authority by the Portfolio Accountable Officer what information is required to enable scrutiny of the performance of Transport Scotland and progress against overall strategic and business plan aims and objectives, and ensure that the agreed information is provided and that it is both accurate and timely;
  • where appropriate will manage relationships with the Portfolio Accountable Officer, with other SG officials who have an interest in the work of Transport Scotland and other key stakeholders; and
  • promote the health and wellbeing, learning and development of staff and ensure that Transport Scotland meets the Agency staff management responsibilities described in the section below.
  • ensuring that effective arrangements are in place to provide assurance on risk management (including in respect of personnel, physical and cyber risks/threats/ hazards), governance and internal control
  • reply to correspondence from Elected Representatives on operational issues within the Agency’s responsibilities and supporting Ministers by preparing Ministerial briefing and responses to Ministerial correspondence and Written or Oral Parliamentary Questions
  • document management arrangements – the Chief Executive’s delegated authority and performance management arrangements

The Chief Executive in both their overall leadership role and the specific responsibilities of the Accountable Officer role will pay particular attention to the Key Governance Issues highlighted in the section on Governance and Risk below, and will ensure that the Portfolio Accountable Officer is notified as soon as possible if a significant risk or issue is identified relating to any of these matters.

The Accountable Officer

The Principal Accountable Officer for the Scottish Administration will designate the Chief Executive of Transport Scotland as the Accountable Officer. The Accountable Officer is personally responsible for the propriety and regularity of the public finances of Transport Scotland and ensuring that its resources are used economically, efficiently and effectively, as required by section 15 of the Public Finance and Accountability (Scotland) Act 2000 and may be called to give evidence to the Public Audit Committee of the Scottish Parliament.

The responsibilities of the Accountable Officer are set out in full in the Memorandum to Accountable Officers for Parts of the Scottish Administration in the Scottish Public Finance Manual.

The DG Portfolio Officer will approve the appointment of the Chief Executive in accordance with the Scottish Government’s resourcing policy and will hold them to account for the performance of Transport Scotland and its use of resources. Ministers are ultimately accountable to the Scottish Parliament for the performance of Transport Scotland.

The Scottish Ministers

The Scottish Ministers will:

  • agree the strategic aims, objectives and key targets of Transport Scotland as part of the corporate planning process, and regularly scrutinise progress made towards the aims, objectives and targets;
  • agree the budget for Transport Scotland, secure the necessary Parliamentary approval and scrutinise the agency’s overall financial performance;
  • approve the Framework Document and any revisions made to it

SG Portfolio Accountable Officer

The Principal Accountable Officer for the Scottish Administration (the Permanent Secretary of the SG) has designated the Director General for Net Zero as the Portfolio Accountable Officer (AO) for the SG portfolio budget which will provide funding for Transport Scotland. 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 is not directly accountable for Transport Scotland, but is responsible for ensuring that there is an effective framework in place for scrutiny of the operational and financial performance of Transport Scotland and the financial and other management controls applied to Transport Scotland. This document is the basis of that framework.

The Portfolio AO will:

    1. make sure this framework document is reviewed every 3-4 years and subsequently agreed to with the Scottish Ministers, and oversee the operation of the roles and responsibilities set out;
    2. ensure that financial and other management controls being applied by Transport Scotland are appropriate and sufficient to safeguard public funds and conform to the requirements both of propriety and of good financial management;
    3. ensure that the Chief Executive and Accountable Officer participates fully in DG risk assessment and assurance activity, including regular DG assurance meetings;
    4. ensure that the Chief Executive and/or senior agency staff with policy advice responsibility are routinely involved in relevant policy discussions in SG, including ensuring they are members of relevant cross-cutting or policy coordination groups, to ensure the overall coherence of policy advice being provided to the Scottish Ministers
    5. support regular and effective engagement between Transport Scotland and the relevant Scottish Minister(s); and
    6. appoint and performance appraise the Chief Executive

The Portfolio AO remains personally answerable to the Scottish Parliament for the effectiveness of this framework.

Audit and Risk Committee

The Chief Executive will be supported in their role by an Audit and Risk Committee. The Audit and Risk Committee non-executive Members are appointed by the Chief Executive to bring an independent, external perspective to the work of the Agency. The role of the Audit and Risk Committee, set out in its Terms of Reference, includes providing support and challenge to the Chief Executive and senior leadership team on strategy, significant operational issues, Best Value and overall governance.

Non-executive members are not regulated public appointments, but the Chief Executive will ensure that they are recruited through fair and open competition and will particularly focus on promoting diversity by encouraging applications from less represented groups, including younger people, people from minority ethnic backgrounds and people with disabilities.