Integrated assurance with group feedback

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A guide to integrated assurance. Presentation by
Mark Reilly, Project & Contract Assurance, Transport for London, and
APM Assurance Specific Interest Group event held on 30th June in London.

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Integrated assurance with group feedback

  1. 1. Integrated Assurance Presentation by Mark Reilly Project & Contract Assurance, Transport for London, and APM Specific Interest Group on Assurance
  2. 2. 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
  3. 3. 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
  4. 4. 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
  5. 5. Feedback 18 Oct 06 5
  6. 6. 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
  7. 7. 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
  8. 8. 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
  9. 9. 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
  10. 10. 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
  11. 11. Next Steps • Gather the feedback • Review within the SIG work stream • Develop training and further guidance 18 Oct 06 11
  12. 12. Additional Feedback Slides 18 Oct 06 12
  13. 13. 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
  14. 14. 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
  15. 15. 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
  16. 16. Barriers Difficulties / Barrier Ways of working Senior Management buy-in Well defined business case, facts, data, persuade, influence, justification Lack of engagement / communications between levels/functional areas/territorial Explain the benefits Incorporate engagement in PM Framework Clear roles & responsibilities Conflicting Business Priorities Visibility / Transparency Aligned with business objectives Use Priority Matrix Aggressive Timescales Good Planning Realistic expectations for Business Too complicated / simple Review Governance / hierarchy Set authority levels Use 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 cause Explain benefits Involve in process more PMs driven by delivery Provide training / examples Demonstration Unclear roles & responsibilities 18 Oct 06 16
  17. 17. 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
  18. 18. This presentation was delivered at an APM event To find out more about upcoming events please visit our website www.apm.org.uk/events

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