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

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

15. Assurance maps
18 Oct 06
15

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