National Productivity Investment Fund
for the Local Road Network
The level of information provided should be proportionate to the size and complexity of the
project proposed. As a guide, for a small project we would suggest around 10 -15 pages
including annexes would be appropriate.
One application form should be completed per project and will constitute a bid. Applicant Information
Local authority name(s)*:
*If the bid is for a joint project, please enter the names of all participating local authorities and
specify the lead authority.
Bid Manager Name and position:
Name and position of officer with day to day responsibility for delivering the proposed project.
Contact telephone number: Email address:
If the bid is from an authority within a Combined Authority, please specify the contact, ensure
that the Combined Authority has provided a note ranking multiple applications, and append a
copy to this bid.
Name and position of Combined Authority Bid Co-ordinator:
Contact telephone number: Email address:
When authorities submit a bid for funding to the Department, as part of the Government’s
commitment to greater openness in the public sector under the Freedom of Information Act
2000 and the Environmental Information Regulations 2004, they must also publish a version
excluding any commercially sensitive information on their own website within two working days
of submitting the final bid to the Department. The Department reserves the right to deem the
business case as non-compliant if this is not adhered to. Please specify the weblink where this bid will be published:
SECTION A - Project description and funding profile
A1. Project name:
A2 : Please enter a brief description of the proposed project (no more than 50 words)
Please provide a short description of area covered by the bid (no more than 50 words)
OS Grid Reference:
Please append a map showing the location (and route) of the project, existing transport
infrastructure and other points of particular relevance to the bid, e.g. housing and other
development sites, employment areas, air quality management areas, constraints etc. A4
. How much funding are you bidding for? (please tick the relevant box): Small project bids
(requiring DfT funding of between £2m and £5m)
Large project bids
(requiring DfT funding of between £5m and £10m)
. Has any Equality Analysis been undertaken in line with the Equality Duty?
If you are planning to work with partnership bodies on this project (such as Development
Corporations, National Parks Authorities, private sector bodies and transport operators) please
include a short description below of how they will be involved.
A7. Combined Authority (CA) Involvement
Have you appended a letter from the Combined Authority supporting this bid?
A8. Local Enterprise Partnership (LEP) Involvement and support for housing delivery
Have you appended a letter from the LEP supporting this bid?
For proposed projects which encourage the delivery of housing, have you appended supporting
evidence from the housebuilder/developer?
SECTION B – The Business Case
B1: Project Summary
Please select what the project is trying to achieve (select all categories that apply)
Ease urban congestion
Unlock economic growth and job creation opportunities
Enable the delivery of housing development
Improve Air Quality and /or Reduce CO2 emissions
Incentivising skills and apprentices
Other(s), Please specify -
Please provide evidence on the following questions (max 100 words for each question):
a) What is the problem that is being addressed?
b) What options have been considered and why have alternatives been rejected?
c) What are the expected benefits/outcomes? For example, could include easing urban
congestion, job creation, enabling a number of new dwellings, facilitating increased GVA.
d) Are there are any related activities that the success of this project relies upon? For example,
land acquisition, other transport interventions requiring separate funding or consents?
e) What will happen if funding for this project is not secured - would an alternative (lower cost)
solution be implemented (if yes, please describe this alternative and how it differs from the
f) What is the impact of the project – and any associated mitigation works – on any statutory
environmental constraints? For example, Local Air Quality Management Zones.
Please complete the following table. Figures should be entered in £000s
(i.e. £10,000 = 10).
Table A: Funding profile (Nominal terms)
DfT funding sought
Local Authority contribution
Third Party contribution
1) Department for Transport funding must not go beyond 2019-20 financial year.
2) Bidders are asked to consider making a local contribution to the total cost. It is indicated that
this might be around 30%, although this is not mandatory.
B4 : Local Contribution & Third Party Funding :
Please provide information on the following
questions (max 100 words on items a and b):
a) Provide an outline of all non-DfT funding contributions to the project costs, the level of
commitment, and when the contributions will become available.
b) List any other funding applications you have made for this project or variants thereof and the
outcome of these applications, including any reasons for rejection.
B5 Economic Case
This section should set out the range of impacts – both beneficial and adverse – of the project.
The scope of information requested (and in the supporting annexes) will vary, including
according to whether the application is for a small or large project. A) Requirements for small project bids (i.e. DfT contribution of less than £5m)
a) Please provide a description of your assessment of the impact of the project to include:
- Significant positive and negative impacts (quantified where possible) including in relation to
air quality and CO₂ emissions.
- A description of the key risks and uncertainties;
- If any modelling has been used to forecast the impact of the project please set out the
methods used to determine that it is fit for purpose
* Small projects bids are not required to produce a Benefit Cost Ratio (BCR) but may want to
include this here if available.
b) Small project bidders should provide the following in annexes as supporting material:
Has a Project Impacts Pro Forma
Has a description of data sources / forecasts been appended?
Has an Appraisal Summary Table
Other material supporting your assessment of the project described in this section should be
appended to the bid. * This list is not necessarily exhaustive and it is the responsibility of bidders to provide sufficient
information to demonstrate the analysis supporting the economic case is fit-for-purpose.
B) Additional requirements for large project bids (i.e. DfT contribution of more than £5m)
c) Please provide a short description (max 500 words) of your assessment of the value for
money of the project including your estimate of the Benefit Cost Ratio (BCR) to include:
- Significant monetised and non-monetised costs and benefits
- Description of the key risks and uncertainties and the impact these have on the BCR;
- Key assumptions including: appraisal period, forecast years, optimism bias applied; and
- Description of the modelling approach used to forecast the impact of the project and the
checks that have been undertaken to determine that it is fit-for-purpose.
d) Additionally detailed evidence supporting your assessment, including the completed
Appraisal Summary Table, should be attached as annexes to this bid. A checklist of
material to be submitted in support of large project bids has been provided.
Has an Appraisal Summary Table been appended?
- Please append any additional supporting information (as set out in the Checklist). *It is the responsibility of bidders to provide sufficient information for DfT to undertake a full
review of the analysis.
B6 Economic Case:
For all bids the following questions relating to desirable criteria
Please describe the air quality situation in the area where the project will be implemented by
answering the three questions below.
i) Has Defra’s national air quality assessment, as reported to the EU Commission, identified
and/or projected an exceedance in the area where the project will be implemented?
ii) Is there one or more Air Quality Management Areas (AQMAs) in the area where the project
will be implemented? AQMAs must have been declared on or before the 31 March 2017
iii) What is the project’s impact on local air quality?
- Please supply further details:
iv) Does the project promoter incentivise skills development through its supply chain?
- Please supply further details:
B7. Management Case - Delivery (Essential)
Deliverability is one of the essential criteria for this Fund and as such any bid should set out,
with a limit of 100 words for each of a) to b), any necessary statutory procedures that are
needed before it can be constructed.
a) A project plan (typically summarised in Gantt chart form) with milestones should be included,
covering the period from submission of the bid to project completion.
Has a project plan been appended to your bid?
b) If delivery of the project is dependent on land acquisition, please include a letter from the
respective land owner(s) to demonstrate that arrangements are in place to secure the land
to enable the authority to meet its construction milestones.
Has a letter relating to land acquisition been appended?
c) Please provide in Table C summary details of your construction milestones (at least one but
no more than 6) between start and completion of works:
Table C: Construction milestones
Start of works
Completion of works (if different)
d) Please list any major transport projects costing over £5m in the last 5 years which the
authority has delivered, including details of whether these were completed to time and
budget (and if not, whether there were any mitigating circumstances)
B8. Management Case – Statutory Powers and Consents (Essential)
a) Please list if applicable, each power / consent etc. already obtained, details of date acquired,
challenge period (if applicable), date of expiry of powers and conditions attached to them.
Any key dates should be referenced in your project plan.
b) Please list if applicable any outstanding statutory powers / consents etc. including the
timetable for obtaining them.
B9. Management Case – Governance (Essential)
Please name those who will be responsible for delivering the project, their roles (Project
Manager, SRO etc.) and responsibilities, and how key decisions are/will be made. An
organogram may be useful here.
B10. Management Case - Risk Management (Essential)
All projects will be expected to undertake a Quantified Risk Assessment (QRA) and a risk
register should be included. Both should be proportionate to the nature and complexity of the
project. A Risk Management Strategy should be developed that outlines how risks will be
managed. Please ensure that in the risk / QRA cost that you have not included any risks associated with
ongoing operational costs and have used the P50 value.
Has a QRA been appended to your bid?
Has a Risk Management Strategy been appended to your bid?
Please provide evidence on the following points (where applicable) with a limit of 50 words for
a) What risk allowance has been applied to the project cost?
b) How will cost overruns be dealt with?
c) What are the main risks to project timescales and what impact this will have on cost?
B11. Management Case - Stakeholder Management (Essential)
The bid should demonstrate that the key stakeholders and their interests have been identified
and considered as appropriate. These could include other local authorities, the Highways
England, statutory consultees, landowners, transport operators, local residents, utilities
companies etc. This is particularly important in respect of any bids related to structures that may
require support of Network Rail and, possibly, train operating company(ies).
a) Please provide a summary in no more than 100 words of your strategy for managing
stakeholders, with details of the key stakeholders together with a brief analysis of their
influences and interests.
b) Can the project be considered as controversial in any way?
If yes, please provide a brief summary in no more than 100 words
c) Have there been any external campaigns either supporting or opposing the project?
If yes, please provide a brief summary (in no more than 100 words)
d) For large projects only please also provide a Stakeholder Analysis and append this to your
Has a Stakeholder Analysis been appended?
e) For large projects only please provide a Communications Plan with details of the level of
engagement required (depending on their interests and influence), and a description of how
and by what means they will be engaged with.
Has a Communications Plan been appended?
B12. Management Case – Local MP support (Desirable)
e) Does this proposal have the support of the local MP(s);
Name of MP(s) and Constituency
B13. Management Case - Assurance (Essential)
We will require Section 151 Officer confirmation (Section D) that adequate assurance systems
are in place.
Additionally, for large projects please provide evidence of an integrated assurance and approval
plan. This should include details of planned health checks or gateway reviews.
SECTION C – Monitoring, Evaluation and Benefits Realisation
Please set out, in no more than 100 words, how you plan to measure and report on the
benefits of this project, alongside any other outcomes and impacts of the project. A fuller evaluation for large projects may also be required depending on their size and type.
SECTION D: Declarations
D1. Senior Responsible Owner Declaration
As Senior Responsible Owner for [project name
] I hereby submit this request for approval to
DfT on behalf of [name of authority
] and confirm that I have the necessary authority to do so.
I confirm that [name of authority
] will have all the necessary statutory powers in place to
ensure the planned timescales in the application can be realised.
D2. Section 151 Officer Declaration
As Section 151 Officer for [name of authority
] I declare that the project cost estimates quoted
in this bid are accurate to the best of my knowledge and that [name of authority
- has allocated sufficient budget to deliver this project on the basis of its proposed
- accepts responsibility for meeting any costs over and above the DfT contribution
requested, including potential cost overruns and the underwriting of any funding
contributions expected from third parties
- accepts responsibility for meeting any ongoing revenue requirements in relation to the
- accepts that no further increase in DfT funding will be considered beyond the
maximum contribution requested and that no DfT funding will be provided for this bid in
- confirms that the authority has the necessary governance / assurance arrangements in
place and, for smaller project bids, the authority can provide, if required, evidence of a
stakeholder analysis and communications plan in place
- confirms that if required a procurement strategy for the project is in place, is legally
compliant and is likely to achieve the best value for money outcome
HAVE YOU INCLUDED THE FOLLOWING WITH YOUR BID?
Combined Authority multiple bid ranking note (if applicable)
Map showing location of the project and its wider context
Combined Authority support letter (if applicable)
LEP support letter (if applicable)
Housebuilder / developer evidence letter (if applicable)
Land acquisition letter (if applicable)
Projects impact pro forma (must be a separate MS Excel)
Appraisal summary table
Project plan/Gantt chart