Transparency data

A66 National Highways SRO appointment letter

Updated 20 February 2024

Sender

Bernadette Kelly, Permanent Secretary of the Department for Transport

Nick Smallwood, Chief Executive Officer of the Infrastructure and Projects Authority

Recipient

Sandie Forte-Gill, Senior Responsible Owner for the A66 Northern Trans-Pennine Project

Letter

29 March 2023

Dear Sandie,

Subject: Appointment as Senior Responsible Owner for the A66 Northern Trans-Pennine Project

We are writing to confirm your appointment as Senior Responsible Owner (SRO) of A66 Northern Trans-Pennine Project with effect from 27 June 2022. This letter sets out your responsibilities and the support you can expect from your department and the Infrastructure and Projects Authority.

The National Highways SRO is accountable to the DfT accounting officer, under the oversight of the National Highways CEO and accounting officers.

The A66 Northern Trans-Pennine Project forms part of the Road Investment Strategy, under the oversight of the National Highways Chief Executive Officer and is included in the Government Major Projects Portfolio (GMPP).

You have personal responsibility for the delivery of A66 Northern Trans-Pennine Project and will be held accountable for the delivery of its objectives, with policy intent and outcomes expected. This encompasses securing and protecting its vision, ensuring that it is governed responsibly, reported on honestly, escalated appropriately and for influencing the context, culture, and operating environment of the A66 Northern Trans-Pennine Project. You are also responsible for ensuring the ongoing viability of the A66 Northern Trans-Pennine Project and recommending its pause or termination, if appropriate. Where issues arise which you are unable to resolve, you are responsible for escalating these to DfT Investment, Portfolio and Delivery Committee.

You remain accountable to ministers and should deliver the project in accordance with the objectives as set out within the Roads Investment Strategy, National Highways delivery plan, and policy intent as set by ministers.

In addition to your internal accountabilities, SROs for GMPP projects and programmes are personally accountable to Parliamentary select committees. This means that, from the date of this letter, you will be held personally accountable to, and could be called by, select committees to account for and explain the decisions and actions you have taken to deliver the A66 Northern Trans-Pennine Project.

It is important to be clear that your accountability relates only to implementation, within the agreed terms in this letter; it will remain for the minister to account for the relevant policy decisions and development. More information on this is set out in Giving Evidence to Select Committees - Guidance for Civil Servants, sometimes known as the Osmotherly Rules. Information on the roles and responsibilities of the SRO are detailed in the Infrastructure and Project Authority’s guidance on the role of the senior responsible owner. You should also make yourself familiar with the Government Functional Standard for Project Delivery, the requirements of the Government Project Delivery Framework, and the guidance and requirements for project delivery as set by National Highways and the Department for Transport, through the National Highways licencing agreement and the organisation’s project control framework (PCF).

Time commitment and tenure

This role will require at least 15% of your time to enable effective delivery of the role and to execute your responsibilities in full.

You are required to undertake this role until achievement of handover into operations and project close out, planned for RIS3. Progress towards this will be reflected in your personal objectives. Any changes to the agreed time commitment or tenure of the role, as set out above, will require both departmental and Infrastructure & Projects Authority consent.

Objectives and performance criteria

The policy intent is supported in the A66 Northern Trans-Pennine Project client scheme requirements, the Road Investment Strategy and the National Highways delivery plan, including where this contributes to enabling a transition to net zero GHG emissions by 2050.

Any proposed changes to scope which impacts on this intent or the realisation of benefits must be authorised at the appropriate level within the Tier 1 governance approvals.

The vision of the A66 Northern Trans-Pennine Project is:

• upgrading the remaining 6 single carriageway sections of the A66 between the A1(M) at Scotch Corner and the M6 at Penrith, creating a continuous dual carriageway across the Pennines, including key junction upgrades

Your personal objectives and performance criteria which relate to the A66 Northern Trans-Pennine Project are set out in the A66 Northern Trans-Pennine Project client scheme requirements.

You are expected to run your project in accordance with the National Highways licencing agreement and the organisation’s project control framework (PCF). Government Functional Standard for Project Delivery, the other Functional Standards as applicable to this A66 Northern Trans-Pennine Project and the requirements of the government Project Delivery Framework.

Extent and limit of accountability

Finance and Controls

HM Treasury spending controls will apply on the basis set out within the department’s delegated authority letter. Where the A66 Northern Trans-Pennine Project exceeds the delegated authority set by HM Treasury, the Treasury Approval Point process will apply, and the details of each approval process must be agreed with your HM Treasury spending team. You should consult departmental finance colleagues on how to go about this.

You should note that where expenditure is considered novel, contentious, repercussive, or likely to result in costs to other parts of the public sector, HM Treasury approval will be required, regardless of whether the programme expenditure exceeds the delegated authority set by HM Treasury. If in doubt about whether approval is required you should, in the first instance, consult departmental finance colleagues before raising with the relevant HM Treasury spending team.

The overall estimated budget, resourcing requirements and tolerances for your project/programme will be agreed as part of the approval process. You will be expected to deliver within these tolerances and report quarterly on these as part of GMPP reporting.

You should operate at all times within the rules set out in managing public money. In addition, you must be mindful of, and act in accordance with, the specific HM Treasury delegated limits and Cabinet Office controls relevant to National Highways and A66 Northern Trans-Pennine Project. Information on these controls can be found here: Cabinet Office controls.

Delegated authority

You are authorised to:

• approve expenditure within the budget and funding approved by the National Highways Investment Decision Committee (NHIDC), National Highways Investment Committee (NHIC), DfT Investment Portfolio Delivery Committee (IPDC), HMT Treasury Approval Point (TAP), and Chief Secretary to the HM Treasury (CST)
• agree project rescheduling within the tolerance levels agreed within the National Highways delivery plan and those set by DfT IPDC. Rescheduling beyond that must be agreed through the appropriate tier 1 governance level
• recommend to the accounting officers and the NHIDC, DfT and HMT the need to either pause or terminate the programme where necessary and in a timely manner

These authority limits are subject to change and other conditions, or tolerances may be set as part of the business case approval and ongoing monitoring processes which you should then operate within. Where issues arise which take you outside of these authority limits which you are unable to resolve, you are responsible for escalating these issues to the appropriate Tier 1 governance level.

Appointments

You should appoint a full time A66 Northern Trans-Pennine Project director to support you in the management of the A66 Northern Trans-Pennine Project and make other appointments as required for the control and delivery of your programme within your delegated authority.

Governance and assurance

You should pay attention to ensuring effective governance for your A66 Northern Trans-Pennine Project, including the establishment of a A66 Northern Trans-Pennine Project committee with appropriate membership and clear terms of reference.

As primary owner, you must ensure that the A66 Northern Trans-Pennine Project secures business case approval from the National Highways and the Department for Transport management board(s) including CO and HMT. You should also ensure that the A66 Northern Trans-Pennine Project remains aligned to the strategic outcomes, costs, timescales, and benefits in line with the approved business case as well as monitoring the context within which the A66 Northern Trans-Pennine Project is being delivered to ensure it remains valid.

Where a change impacts the scope, costs, benefits, or planned delivery milestones agreed as part of an approved business case, you are responsible for following the agreed change request approval process and setting a new, approved, business case baseline.

You should ensure that an accounting officer assessment is completed alongside the approval of the outline business case and that this is published on GOV.UK as part of the government’s transparency requirements on major projects. You are responsible for bringing to the attention of the accounting officer any material changes in the A66 Northern Trans-Pennine Project which could require a new accounting officer assessment to be completed and published. Guidance on completing accounting officer assessments for major projects is available from HM Treasury.

Although you are directly accountable for the A66 Northern Trans-Pennine Project, you are also expected to support delivery of DfT’s and National Highways overall strategic objectives. This means that you are expected to work collaboratively with other SROs and project directors in adjacent projects and programmes and with the National Highways major project portfolio, portfolio management office and portfolio director to manage dependencies, resources, schedules, and funding to support delivery of the overall change the department needs to achieve its strategic objectives.

You should ensure that appropriate and proportionate assurance is in place and agree on the level and frequency of assurance reviews through the maintenance of an integrated assurance and approvals plan. You should develop this plan and its maintenance in collaboration with the departmental assurance coordinator and the Infrastructure and Projects Authority.

A66 Northern Trans-Pennine Project status, reporting and transparency requirements

The A66 Northern Trans-Pennine Project status at the date of your appointment is reflected in the most recent quarterly return on the A66 Northern Trans-Pennine Project to the Infrastructure and Projects Authority and is the agreed position as you assume formal ownership of the programme.

You are responsible for ensuring the honest and timely reporting on the position of the A66 Northern Trans-Pennine Project to the Infrastructure and Projects Authority while it remains on the GMPP and for providing reports and information to the DfT portfolio management office as required. Reporting will be through the quarterly GMPP return template. Information on the A66 Northern Trans-Pennine Project will be published annually by the Infrastructure and Projects Authority.

As part of the government’s commitment to transparency on major infrastructure projects, you are responsible for publishing on GOV.UK:

• a summary of the accounting officer assessment completed in line with the approval of the Outline Business Case and summaries of any subsequent assessments should they be required
• a summary of the HM Treasury approved full business case
• a close out report after the A66 Northern Trans-Pennine Project has completed

Development and support

As SRO of a GMPP A66 Northern Trans-Pennine Project, you are required to complete the Major Projects Leadership Academy, and you have agreed to enrol on a cohort in the near future. The head of profession in National Highways can provide further information on the application process.

To widen experience and understanding of the role, SROs are also expected to become accredited assurance reviewers and to lead or participate in such reviews for other government departments, the wider public sector, and other areas of the DfT as appropriate. Becoming an assurance reviewer and completing a review will form part of your time at the Major Projects Leadership Academy. To maintain your accreditation, you will be required to participate in a review at least once every 12 months.

The department and National Highways will assist you in securing the necessary resources to support the A66 Northern Trans-Pennine Project, and will set clear guidance, requirements and standards, which align to the Government Functional Standard on Project Delivery, the National Highways licencing agreement and its’ Project Control Framework to enable good governance and effective delivery. You will be part of the department’s cohort of major project leaders who will be expected to support each other, share good practice and lessons learned and to collectively develop solutions. You should liaise with the department’s head of profession for project delivery to discuss the maintenance and development of your delivery and leadership skills.

The Infrastructure and Projects Authority will be available to you for support, advice, and assurance throughout the A66 Northern Trans-Pennine Project time on the GMPP.

Following approval of the business case and entry onto the National Highways delivery plan, the NH IDC/IC and DfT IPDC will provide ongoing oversight and support and will take steps to help resolve and escalate risks, issues or constraints that are acting as a blocker to successful delivery.

We would like to take this opportunity to wish you every success in your role as SRO.

Yours sincerely,

[Signed]

Dame Bernadette Kelly DCB

Permanent Secretary, Department for Transport

[Signed]

Nick Smallwood

Chief Executive Officer, Infrastructure and Projects Authority

[Signed]

Nick Harris

Chief Executive Officer, National Highways

Conformation of acceptance of appointment

I confirm that I accept the appointment of Senior Responsible Owner for the A66 Northern Trans-Pennine Project, including my personal accountability for implementation, as set out in the letter above.

[Signed]

Sandie Forte-Gill

29 March 2023