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Integrated assurance and the role of the PMO, Roy Millard

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Association for Project Management
Association for Project Management

Presentation by Roy Millard at the APM PMO SIG conference, Assurance and its relationship with the PMO on 5th March 2014

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Integrated Assurance and the role of the PMO Presentation by Roy Millard, Senior Audit Manager, Transport for London, and Chairman of APM Specific Interest Group on Assurance for Assurance and its relationship with the PMO conference, 5th March 2014
A little bit of background... Assurance Specific Interest Group Audit Committee 18 Oct 06 2
“I need assuran ce because. ... ...I need to know that everything is under control”. ...I need to know whether what I am being told is correct”. ...I need to be confident that I am going to get what I want”. ...I need to know whether the project is going to finish on time and within budget”. ...I need to know if things are going horribly wrong and whether I should can the project!”. 18 Oct 06 3
But what exactly is assurance? • assurance n. Emphatic declaration, guarantee; self-confidence, assertiveness; insurance esp. of life; certainty. (Source: The Pocket Oxford Dictionary.) • assurance noun 1. the act of assuring 2. the state of being assured; sureness; confidence; certainty 3. something said or done to inspire confidence, as a promise, positive statement, etc.; guarantee (Source: www.yourdictionary.com) • P3 assurance The process of providing confidence to stakeholders that projects, programmes and portfolios will achieve their scope, time, cost and quality objectives, and realise their benefits. (Source: APM) 18 Oct 06 4
Internal Audit Independent Engineer reviews Health & Safety PMO/PMCoE Quality Assurance NAO Control Self Assurance OGC GatewayTM 18 Oct 06 Policies Contract Audits Standards Systems Project Audits External Audit Peer Reviews Processes 5
Internal Audit Independent Standards Engineer Audit reviews Project Boards / SROs Committees Aargh Health & ! PMO/PMCoE Programme Boards Safety Investors Quality Public & Assurance media NAO Systems Governing Bodies Project External Control Self Audits Audit MDs & Assurance Directors Sponsors Peer Reviews Policies OGC Processes Contract GatewayTM Audits Shareholders 18 Oct 06 Oct 06 18 6 6
Project assurance scope Requirements Capture Scope Definition Closure Management Organisation & Governance Planning Procurement and Letting of contracts Progress monitoring and control Risk management Quality Management Configuration management Change Control E&I Management Stakeholder management Benefits management Filing and records management DDA Compliance Financial Control Fraud risk Security/counter terrorism risk HS&E Management DPA/FOI Engineering Risk Approval & Initiation 18 Oct 06 7
Project assurancePMO scope Approval & Initiation Requirements Requirements Approval & Closure Capture Capture Initiation Management Scope Definition Scope Definition Closure Management Organisation & Governance Procurement Organisation & and Planning Planning Governance Letting of contracts Procurement and Letting of contracts Progress monitoring and control Progress Risk Risk Quality monitoring and management management Management control Quality Management Configuration management Change Control Configuration E&I E&I Stakeholder management Management Management management Change Control Stakeholder management Benefits management Filing and Filing and Benefits DDA records records management Compliance management management DDA Compliance Financial Control Security/counter Financial Control Fraud risk Fraud risk terrorism risk Security/counter terrorism risk HS&E Management 18 Oct 06 DPA/FOI HS&E Engineering DPA/FOI ManagementRisk Engineering Risk 8
Project assurancePMO scope Internal Audit Approval & Initiation Requirements Requirements Requirements Approval & Approval & Closure Closure Capture Capture Capture Initiation Initiation Management Management Scope Definition Scope Definition Scope Definition Closure Management Organisation & Governance Procurement Procurement Organisation & Organisation & and and Planning Planning Planning Governance Governance Letting of Letting of contracts contracts Procurement and Letting of contracts Progress monitoring and control Progress Progress Risk Risk Quality Risk Quality monitoring and monitoring and management management Management management Management control control Quality Management Configuration management Change Control Configuration Configuration E&I E&I Stakeholder E&I Stakeholder management management Management Management management Management management Change Control Change Control Stakeholder management Benefits management Filing and Filing and Filing and Benefits DDA Benefits DDA records records records management management Compliance Compliance management management management DDA Compliance Financial Control Security/counter Security/counter Financial Control Fraud risk Fraud risk Financial Control Fraud risk terrorism risk terrorism risk Security/counter terrorism risk HS&E Management 18 Oct 06 DPA/FOI HS&E Engineering HS&E Engineering DPA/FOI DPA/FOI ManagementRisk ManagementRisk Engineering Risk 9
Project assurancePMO scope Internal Audit PMO & Internal Audit Approval & Initiation Requirements Requirements Requirements Requirements Approval & Approval & Closure Approval & Closure Closure Capture Capture Capture Capture Initiation Initiation Management Initiation Management Management Scope Definition Scope Definition Scope Definition Scope Definition Closure Management Organisation & Governance Procurement Procurement Procurement Organisation & Organisation & and Organisation & and and Planning Planning Planning Planning Governance Governance Letting of Governance Letting of Letting of contracts contracts contracts Procurement and Letting of contracts Progress monitoring and control Progress Progress Progress Risk Risk Quality Risk Quality Risk Quality monitoring and monitoring and monitoring and management management Management management Management management Management control control control Quality Management Configuration management Change Control Configuration Configuration Configuration E&I E&I Stakeholder E&I Stakeholder E&I Stakeholder management management management Management Management management Management management Management management Change Control Change Control Change Control Stakeholder management Benefits management Filing and Filing and Filing and Filing and Benefits DDA Benefits DDA Benefits DDA records records records records management management Compliance management Compliance Compliance management management management management DDA Compliance Financial Control Security/counter Security/counter Security/counter Financial Control Fraud risk Financial Control Fraud risk Fraud risk Financial Control Fraud risk terrorism risk terrorism risk terrorism risk Security/counter terrorism risk HS&E Management 18 Oct 06 IIPAG DPA/FOI HS&E Engineering HS&E Engineering HS&E Engineering DPA/FOI DPA/FOI DPA/FOI ManagementRisk ManagementRisk ManagementRisk Engineering Risk 10
Integrated Assurance Framework (or Strategy) • Content: – Purpose and Overview – Background – Scope of the Framework – Principles and Standards – Protocols and Behaviours – Roles and Responsibilities – Derivation – Assurance Plan Structure – Framework and Plan Approval and maintenance – References – Appendix – Statutory and Regulatory Requirements 18 Oct 06 11
Integrated Assurance Framework (or Strategy) • Principles and Standards – Proportionality – Risk based planning – Independence – Competence – Engagement planning – Documentation of evidence – Reporting – Action – Follow up – Spreading good practice – Quality control 18 Oct 06 12
10 criteria: •Client & scope •Risks & opportunities •Planning and scheduling •Organisational capability and culture •Supply Chain •Solution •Finance •Social responsibility and sustainability •Performance •Governance 18 Oct 06 13
Three Lines of Defence Model for Assurance 18 Oct 06 14
Assurance maps 18 Oct 06 15
Assurance SIG • There are four work streams currently under way: – Integrated assurance • Developing an approach to collaborative working between assurance providers – Project Auditing • Sharing approaches and experiences in project auditing, and developing best practice guidance – Measures for Assuring Projects • Investigating and developing guidance on measures that can be used to gain assurance – Assurance of Agile projects • Development of guidance to applying assurance principles in fast-moving Agile environments 18 Oct 06 16

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Integrated assurance and the role of the PMO, Roy Millard

  • 1. Integrated Assurance and the role of the PMO Presentation by Roy Millard, Senior Audit Manager, Transport for London, and Chairman of APM Specific Interest Group on Assurance for Assurance and its relationship with the PMO conference, 5th March 2014
  • 2. A little bit of background... Assurance Specific Interest Group Audit Committee 18 Oct 06 2
  • 3. “I need assuran ce because. ... ...I need to know that everything is under control”. ...I need to know whether what I am being told is correct”. ...I need to be confident that I am going to get what I want”. ...I need to know whether the project is going to finish on time and within budget”. ...I need to know if things are going horribly wrong and whether I should can the project!”. 18 Oct 06 3
  • 4. But what exactly is assurance? • assurance n. Emphatic declaration, guarantee; self-confidence, assertiveness; insurance esp. of life; certainty. (Source: The Pocket Oxford Dictionary.) • assurance noun 1. the act of assuring 2. the state of being assured; sureness; confidence; certainty 3. something said or done to inspire confidence, as a promise, positive statement, etc.; guarantee (Source: www.yourdictionary.com) • P3 assurance The process of providing confidence to stakeholders that projects, programmes and portfolios will achieve their scope, time, cost and quality objectives, and realise their benefits. (Source: APM) 18 Oct 06 4
  • 5. Internal Audit Independent Engineer reviews Health & Safety PMO/PMCoE Quality Assurance NAO Control Self Assurance OGC GatewayTM 18 Oct 06 Policies Contract Audits Standards Systems Project Audits External Audit Peer Reviews Processes 5
  • 6. Internal Audit Independent Standards Engineer Audit reviews Project Boards / SROs Committees Aargh Health & ! PMO/PMCoE Programme Boards Safety Investors Quality Public & Assurance media NAO Systems Governing Bodies Project External Control Self Audits Audit MDs & Assurance Directors Sponsors Peer Reviews Policies OGC Processes Contract GatewayTM Audits Shareholders 18 Oct 06 Oct 06 18 6 6
  • 7. Project assurance scope Requirements Capture Scope Definition Closure Management Organisation & Governance Planning Procurement and Letting of contracts Progress monitoring and control Risk management Quality Management Configuration management Change Control E&I Management Stakeholder management Benefits management Filing and records management DDA Compliance Financial Control Fraud risk Security/counter terrorism risk HS&E Management DPA/FOI Engineering Risk Approval & Initiation 18 Oct 06 7
  • 8. Project assurancePMO scope Approval & Initiation Requirements Requirements Approval & Closure Capture Capture Initiation Management Scope Definition Scope Definition Closure Management Organisation & Governance Procurement Organisation & and Planning Planning Governance Letting of contracts Procurement and Letting of contracts Progress monitoring and control Progress Risk Risk Quality monitoring and management management Management control Quality Management Configuration management Change Control Configuration E&I E&I Stakeholder management Management Management management Change Control Stakeholder management Benefits management Filing and Filing and Benefits DDA records records management Compliance management management DDA Compliance Financial Control Security/counter Financial Control Fraud risk Fraud risk terrorism risk Security/counter terrorism risk HS&E Management 18 Oct 06 DPA/FOI HS&E Engineering DPA/FOI ManagementRisk Engineering Risk 8
  • 9. Project assurancePMO scope Internal Audit Approval & Initiation Requirements Requirements Requirements Approval & Approval & Closure Closure Capture Capture Capture Initiation Initiation Management Management Scope Definition Scope Definition Scope Definition Closure Management Organisation & Governance Procurement Procurement Organisation & Organisation & and and Planning Planning Planning Governance Governance Letting of Letting of contracts contracts Procurement and Letting of contracts Progress monitoring and control Progress Progress Risk Risk Quality Risk Quality monitoring and monitoring and management management Management management Management control control Quality Management Configuration management Change Control Configuration Configuration E&I E&I Stakeholder E&I Stakeholder management management Management Management management Management management Change Control Change Control Stakeholder management Benefits management Filing and Filing and Filing and Benefits DDA Benefits DDA records records records management management Compliance Compliance management management management DDA Compliance Financial Control Security/counter Security/counter Financial Control Fraud risk Fraud risk Financial Control Fraud risk terrorism risk terrorism risk Security/counter terrorism risk HS&E Management 18 Oct 06 DPA/FOI HS&E Engineering HS&E Engineering DPA/FOI DPA/FOI ManagementRisk ManagementRisk Engineering Risk 9
  • 10. Project assurancePMO scope Internal Audit PMO & Internal Audit Approval & Initiation Requirements Requirements Requirements Requirements Approval & Approval & Closure Approval & Closure Closure Capture Capture Capture Capture Initiation Initiation Management Initiation Management Management Scope Definition Scope Definition Scope Definition Scope Definition Closure Management Organisation & Governance Procurement Procurement Procurement Organisation & Organisation & and Organisation & and and Planning Planning Planning Planning Governance Governance Letting of Governance Letting of Letting of contracts contracts contracts Procurement and Letting of contracts Progress monitoring and control Progress Progress Progress Risk Risk Quality Risk Quality Risk Quality monitoring and monitoring and monitoring and management management Management management Management management Management control control control Quality Management Configuration management Change Control Configuration Configuration Configuration E&I E&I Stakeholder E&I Stakeholder E&I Stakeholder management management management Management Management management Management management Management management Change Control Change Control Change Control Stakeholder management Benefits management Filing and Filing and Filing and Filing and Benefits DDA Benefits DDA Benefits DDA records records records records management management Compliance management Compliance Compliance management management management management DDA Compliance Financial Control Security/counter Security/counter Security/counter Financial Control Fraud risk Financial Control Fraud risk Fraud risk Financial Control Fraud risk terrorism risk terrorism risk terrorism risk Security/counter terrorism risk HS&E Management 18 Oct 06 IIPAG DPA/FOI HS&E Engineering HS&E Engineering HS&E Engineering DPA/FOI DPA/FOI DPA/FOI ManagementRisk ManagementRisk ManagementRisk Engineering Risk 10
  • 11. Integrated Assurance Framework (or Strategy) • Content: – Purpose and Overview – Background – Scope of the Framework – Principles and Standards – Protocols and Behaviours – Roles and Responsibilities – Derivation – Assurance Plan Structure – Framework and Plan Approval and maintenance – References – Appendix – Statutory and Regulatory Requirements 18 Oct 06 11
  • 12. Integrated Assurance Framework (or Strategy) • Principles and Standards – Proportionality – Risk based planning – Independence – Competence – Engagement planning – Documentation of evidence – Reporting – Action – Follow up – Spreading good practice – Quality control 18 Oct 06 12
  • 13. 10 criteria: •Client & scope •Risks & opportunities •Planning and scheduling •Organisational capability and culture •Supply Chain •Solution •Finance •Social responsibility and sustainability •Performance •Governance 18 Oct 06 13
  • 14. Three Lines of Defence Model for Assurance 18 Oct 06 14
  • 16. Assurance SIG • There are four work streams currently under way: – Integrated assurance • Developing an approach to collaborative working between assurance providers – Project Auditing • Sharing approaches and experiences in project auditing, and developing best practice guidance – Measures for Assuring Projects • Investigating and developing guidance on measures that can be used to gain assurance – Assurance of Agile projects • Development of guidance to applying assurance principles in fast-moving Agile environments 18 Oct 06 16