Integrated Assurance

Presentation by

Mark ReillyProject & Contract Assurance, Transport for London, and

APM Specific Interest Group on Assurance

Agenda

Area Timing

Introduction 18:45-18:50

Integrated Assurance next developments

18:50-19:00

Break out sessions 19:00-19:20

Feedback and review of the Guide to Integrated Assurance

19:20-19:50

Next Steps 19:50-20:00

18 Oct 06

Capturing your thoughts

Take 20 minutes in your groups to look at 1 area of the Guide. What we want to know and understand, against that area what:

•Are your experiences of Assurance (giving & receiving)– What went well?– What were the difficulties?– How was it addressed?

•What recommendations would you suggest to improve what you experienced?

•What type of information or training would you need to support you in your role?

18 Oct 06 3

Capturing your thoughts

The 5 Areas we want you to consider are:

•Integrated Assurance - Principles

•Integrated Assurance - for Projects

•Integrated Assurance - for Programmes & Portfolios

•Integrated Assurance - Barriers

•Integrated Assurance - Roles & Responsibilities

18 Oct 06 4

Feedback

18 Oct 06 5

Integrated Assurance - Principles

The coordination of assurance activities where there are a number of assurance providers

Independence Assurance provides an objective view and conclusion that cannot be influenced

Accountability Assurance given due authority with strategic sponsorship and commitment; governance and reporting systems; trust, transparency and visibility.

Planning & coordination

Through an integrated assurance strategy & plan

Proportionate Reduces duplication of effort, tailored to maximise effective use of resources

Risk based Single view agreed between the project, assurance providers and stakeholders

Impact, follow-up and escalation

Share findings, provide a single view of assurance, measure effectiveness18 Oct 06 6

Integrated Assurance – Projects

• Define the enterprise model for assurance

• Agree the need for assurance

• Identify the stakeholders and their assurance requirements

• Agree the level and type of assurance required by the business and the Project (with the Sponsor)

• Define the scope (areas) of assurance for the enterprise and the Project

• Establish a single point for assurance for the project

• Develop the risk and assurance matrix for the project

18 Oct 06 7

Integrated Assurance – Programmes & Projects• Greater complexity and effort in delivering assurance

• Ensure dependencies across projects and programmes are considered in the Integrated Assurance Strategy & Plan

• Provide resources to ensure assurance activities are co-ordinated

• Ensure consistency of assurance activity across all projects and programmes

• Manage the provision of non-project elements that require assurance.

18 Oct 06 8

Integrated Assurance – Barriers

• Lack of senior understanding and sponsorship

• No ownership

• Lack of collaboration between the assurance providers

• Immature Risk Management framework

• Self interest of different assurance providers

• Skills and competency of assurance resources

18 Oct 06 9

Integrated Assurance – Roles & Responsibilities

18 Oct 06 10

Executive/ Board Provide commitment and support; initiate and approve Integrated Assurance Strategy & Plan.

Sponsor / SRO Ensure commitment for the Integrated Assurance Plan; analyse assurance data

Portfolio Manager

Coordinate delivery of Assurance Plan across the portfolio; organise and manage the assurance plan

Project/ Programme Manager

Engage with assurance providers to support delivery of the plan; involved in the development of the plan.

Assurance Manager/ provider

Advise on assurance methods and best practice; undertake assurance activity and deliver the plan

Stakeholders Receivers of assurance output and assurance; supporters of the plan

Next Steps

• Gather the feedback

• Review within the SIG work stream

• Develop training and further guidance

18 Oct 06 11

Additional Feedback Slides

18 Oct 06 12

Principles

• Independence

• Sponsor/Customer of “Assurance activity”

• Pro-active

• An input into continuous improvement

• Actionable

• Skills, knowledge, experience, Practitioners

• Joined up across all lines of defence

18 Oct 06 13

Projects

• What goes well– Valued when seen as useful– Part of Business As Usual– Functional Buy-in & visibility

• When it is difficult– Lack of planning for assurance– Create more standards & documents to get through the need– It is “done to you” not “owned by you” – link to BAU

• How to address– Stakeholder Management & Communication Plans – “red is not dead”– Give PMs ownership & make it part of competency profile– Senior Management support– PRM integration – partnership– AQPs & Governance Management System

• (Standard assurance Workstreams for project lifecycle) – iterative

– Review is as a result of specific triggers– C.U.R.P. – standardized set of questions

18 Oct 06 14

Programmes / Portfolio

• Difference between Programme Management & Portfolio Assurance– Project focus on deliverables and outputs– Programme focus on outcomes– Portfolio focus on Benefits & Value

• How do we assure Outcomes & Benefits?– Clarity on the overlap between Assurance & other

functions (Audit, Risk, Benefits Mgt, etc.)– Interdependencies between projects & Programmes– Stakeholders understanding the different lines of

defence

18 Oct 06 15

BarriersDifficulties / Barrier Ways of workingSenior Management buy-in Well defined business case, facts, data, persuade, influence,

justification

Lack of engagement / communications between levels/functional areas/territorial

Explain the benefitsIncorporate engagement in PM FrameworkClear roles & responsibilities

Conflicting Business Priorities Visibility / TransparencyAligned with business objectivesUse Priority Matrix

Aggressive Timescales Good PlanningRealistic expectations for Business

Too complicated / simple Review Governance / hierarchySet authority levelsUse roles & responsibilities

Doesn't fit the PM Framework Review, define & tailor the process / framework

No understanding of the dependencies Identify & manage the dependencies

Hidden Agendas Determine route causeExplain benefitsInvolve in process more

PMs driven by delivery Provide training / examplesDemonstration

Unclear roles & responsibilities

18 Oct 06 16

Roles & Responsibilities

• Head of Internal Audit– Coordination & Accountability

• Head of Corporate Risk– There to preempt needs in relation to assurance being met – flavour

Corporate Assurance Strategies

• Project Sponsor (Programme / Portfolio Change Initiative)– Accountability, Benefits (dis), Assurance Strategies

• Assurance Providers– Auditors, PM’s, Peer Review

• Assurance Recipients– Authorities, Stakeholders, Board

• Board Level– Setting Assurance - taking responsibility

18 Oct 06 17

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