Swansea University - Integrated Assurance Case Study, Ciaran Whyte, Shamala Govindasamy, APM Assurance Specific Interest Group, Integrated Assurance - how to achieve it real organisations conference

1. Swansea University
Integrated Assurance Case Study
Shamala Govindasamy
Ciaran Whyte
Major Projects Team
May 2016

5. A Diverse Range of Projects

6. Why it’s different in Higher Education
• Biggest pressure is financial and reputational risk from
external audits.
• Our assurance challenges are both structural and political
• Universities are structured to deliver research and educate
students. Projects are considered ‘3rd mission’.
• Academic Colleges grow specialist knowledge and act as
autonomous decision making units

7. Why it’s different in Higher Education
• Collegiate management style with lack of decision
hierarchies
• Projects mainly delivered by Colleges but need the support
of Professional Services.
• Professional Services e.g. finance, marketing , procurement,
HR often do not always understand project requirements

8. Why it’s different in Higher Education
• Project Management as a profession only just starting to get
recognised in Higher Education
• Recruitment against industry standards now possible
through Corporate Accreditation process.
• APM qualifications available through the university
• Project management knowledge needs building at all levels
of the organisation.

9. APM Guide to Integrated Assurance Principles
1) Independence
2) Accountability
3) Planning and Coordination
4) Proportionate
5) Risk-based
6) Impact, follow up and escalation

10. 1) Independence – Major Projects Team
Provides a project assurance and risk management resource in order to ensure
the successful delivery of externally funded projects and activities critical to the
delivery of the Strategic Plan
Administering the risk assessment process
Oversight management of all major projects in delivery
Ensuring more active risk management across the university
Fostering and growing the project management community and culture

11. 1) Independence – Project Portfolio Manager
Linked to Academic College project portfolios to support project managers
and academics.
Proactively assisting with project start-up
Gathering status, monitoring of variances and reporting to
Major Projects Board
Supporting active management of risks on the project
Responsive support to academics in risk assessments of
new proposals
Mentoring of project managers to improve delivery capability
Collating and sharing of good and bad practices

12. 1) Independence – Stakeholders
Who are our stakeholders and how do we access them?
• Senior Management Team  Major Projects Board
• Heads of Colleges  College Managers
• Funders  Research Support department
• Individual project managers and lead academics  project governance
• External organisations and companies project manager
• Other PS departments, e.g. HR  regular reviews

13. 2) Accountability - Oversight
Finance Committee
Senior Management
Team (SMT)
Major Projects Board
Head of College/School (HoC) /
School/College Manager
Major Projects
Team
Project Manager
Principal Investigator (PI)
Director of Finance (chair)
Science & Engineering PVC
HoC & Hub representatives
(Engineering, Medicine, Science)
REIS Director
REIS post-award team leader
PSPU Director
Major Projects Programme Manager
Project Portfolio Managers
Summary
Reporting
by Chair Issue
Escalation
Issue Log
RAG reporting
Monitoring /
Issue Support

14. 2) Accountability – Project Governance
External Project
Steering Group
Project Steering
Group
- Head of College - OWNER
- Principal Investigator (PI)
- Project Manager (PM)
- Key University stakeholders
University Senior
Management
Team (SMT)
Major
Projects
Board
Finance Infrastructure R&D Business Marketing
Academic Activity External/OutputsBudget Building/ICT Communications
Major project split into
sub-projects or work packages
•Direction & guidance
•Provide resources
•Secure funding
•Liaison to Exec groups
•Approve outputs
•Resolve issues
•Manage risks
•Policy decisions
•Scope changes
•Manage contingency

15. 2) Accountability – Project Governance

16. 3) Planning and Coordination
• Why do we need integrated assurance?
• Variety of perspectives and skills e.g. contractual, HR,
financial, funder, external evaluations to build a balanced
picture.
• Integrated Assurance Plans being developed for all projects
and coordinated across departments
• Use of Assurance (Health) checks

17. 3) Planning and Coordination
Health Check areas aligned to 3.1 of APM Guide:-
• Client and scope
• Risks and opportunities
• Planning and scheduling
• Organisational capability and culture
• Supply chain
• Solution
• Finance
• Social responsibility and sustainability
• Performance
• Governance

18. 3) Planning and Coordination
• Attendance and input at project boards
• Keep in contact with a wide range of stakeholders for
a 360 degree perspective.
• Support all project management staff through
coaching, mentoring and access to training and
membership
• Central project control tools and templates available
to tailor for each project

19. 4) Proportionate
• Assurance activities proportionate to risk assessment carried
out by Major Projects Board.
• The funder dictates the level of assurance required
according to project performance. Will engage audit teams
when deemed necessary.
• Assurance delivered by the right department

20. 5) Risk-based
• Proposal stage
 Checklists used to conduct risk assessments with formal recording of risks and
mitigation before approvals
 Level of assurance decided on level of risk
 EU funded requires high assurance
 Research Councils mostly will be low assurance
• Projects in delivery must have Risk registers
 mandated through a Risk Management Policy
 escalation interlock between risk registers for each project and risk registers for
relevant management BAU functions
• Online risk register tool to monitor end ensure active management of risks
• At highest level Corporate risk register (owned by VC) used to define
yearly programme of internal audit activity (owned by Audit Committee)

21. 6) Impact, follow up and escalation
• Health Checks – work with Project Managers
with escalation to Major Projects Board
• Budget Review – record and work on issues
with escalation to Director of Finance
• Internal Audits - management approved action plans.
• External (funder) Audits – improvement actions formally
communicated.

22. What’s Next?
• Early stage of integrated assurance. What’s next?
• 10 new multi £ projects with integrated assurance plans
• University review on internal audit function.
• Level of scrutiny and controls for publicly funded projects has
increased.
• 1st line of defence investment – improving pm skills and capability.

23. Contacts
Ciaran Whyte
Major Projects Programme Manager & University Risk Administrator
c.m.whyte@swansea.ac.uk
Shamala Govindasamy
Project Portfolio Manager
s.govindasamy@swansea.ac.uk
(01792) 295701

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