This presentation discusses integrated assurance and covers the following topics: 1. The agenda includes an introduction, discussions on developments in integrated assurance, breakout sessions for feedback, and next steps. 2. The breakout sessions ask participants to provide experiences and recommendations for different areas of integrated assurance like principles, projects, programs/portfolios, barriers, and roles/responsibilities. 3. Key aspects of integrated assurance discussed include coordination, independence, accountability, planning, risk-based approaches, and ensuring activities are proportionate.

1. Integrated Assurance
Presentation by
Mark Reilly
Project & Contract Assurance, Transport for London, and
APM Specific Interest Group on Assurance

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. 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. 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. Feedback
18 Oct 06 5

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. 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. 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. 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. 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. Next Steps
• Gather the feedback
• Review within the SIG work stream
• Develop training and further guidance
18 Oct 06 11

12. Additional Feedback Slides
18 Oct 06 12

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. 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. 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. 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. 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. This presentation was delivered
at an APM event
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