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Independent Assurance Review Options

 

 
Review Characteristics

Scottish Government Starting Gate

Scottish Government Gateway Review Gate 0

Scottish Government Gateway Review Gates 1-5

Scottish Government Healthcheck

Who commissions the review?

Senior Policy Owner (SPO) or Senior Responsible Owner (SRO) if already appointed

Senior Responsible Owner (SRO) Senior Responsible Owner (SRO) Senior Responsible Owner (SRO)
When should the review happen in the project lifecycle?

Early stage in the policy or business change development cycle before delivery is underway, and often before the SRO is appointed.

Ideally before completion of Strategic Outline Business Case.

If necessary the review can be repeated.

A repeatable review that is scheduled within a programme at relevant points in its lifecycle, to inform funding decisions and at key stages in the procurement process.

Gate 0 is specifically designed for the assurance of programmes, but can be adapted for projects.

A series of reviews that are scheduled within the project’s Integrated Assurance Plan at five generic progression points in the lifecycle of the project.

Each of the five reviews is repeatable.

A Healthcheck can be carried out in place of one or all of Gates 0-5, if bespoke terms of reference are required.
Characteristics of the project to be reviewed

A major policy initiative or business change that is likely to be delivered through the vehicle of a Major Project.

Can also be used at portfolio level, to review the overall change agenda.
A programme that fulfils the criteria for a Major Project, even though some or all of its component projects may not be individually considered ‘major’. A Major Project that is being delivered using a standard methodology, with clear approval and progression points. A Major Project to which Gates 0 to 5 cannot be appropriately applied and therefore the assurance review requires bespoke terms of reference.
Primary purpose of the review

Explore five mandatory areas, plus additional exploration as relevant to the individual initiative.

Provide assurance to the SPO and Accountable Officer on deliverability of the policy or business change, with a focus on whether any emerging options/ solutions will deliver the required outcomes.

Avoid risk of undeliverable commitments being made to the public

Assessment of Delivery Confidence.

Provide findings and recommendations to the SRO.

Assessment of Delivery Confidence.

Provide findings and recommendations to the SRO.

Assessment of Delivery Confidence.

Provide findings and recommendations to the SRO.
How is the review arranged?

A Scottish Government Director General or Director identify a policy change that merits support and directs the SPO to the Scottish Government’s Programme and Programme and Project Management - Centre of Expertise (PPM-CoE).

An assessment meeting is held between the PPM-CoE and the SPO/SRO to clarify the assurance requirements before a Review Team can be booked.

The Review Team hold a planning meeting with the SPO/SRO to agree Terms of Reference for the review and to arrange logistics including outline interview schedule.

Key documents are provided to the Review Team as pre-reading.

The review will normally take place six to eight weeks after the assessment meeting.

A Risk Potential Assessment Form (RPA-2) is submitted to the Scottish Government's PPM-CoE.

An assessment meeting is held between the PPM-CoE and the SRO to clarify the assurance requirements before a Review Team can be booked.

The Review Team hold a planning meeting with the SRO to agree Terms of Reference for the review and to arrange logistics including outline interview schedule.

Key documents are provided to the Review Team as pre-reading.

The review will normally take place ten to twelve weeks after the assessment meeting.

A Risk Potential Assessment Form (RPA-2) is submitted to the Scottish Government's PPM-CoE.

An assessment meeting I held between the PPM-CoE and the SRO to clarify the assurance requirements before a Review Team can be booked.

The Review Team hold a planning meeting with the SRO to agree Terms of Reference for the review and to arrange logistics including outline interview schedule.

Key documents are provided to the Review Team as pre-reading.

The review will normally take place ten to twelve weeks after the assessment meeting.

A Risk Potential Assessment Form (RPA-2) is submitted to the Scottish Government's PPM-CoE.

An assessment meeting I held between the PPM-CoE and the SRO to clarify the assurance requirements before a Review Team can be booked.

The Review Team hold a planning meeting with the SRO to agree Terms of Reference for the review and to arrange logistics including outline interview schedule.

Key documents are provided to the Review Team as pre-reading.

The review will normally take place ten to twelve weeks after the assessment meeting.

Standard review team (excluding assessment and planning meetings) Three reviewers x three days Three reviewers x three days Three reviewers x three days Three reviewers x three days
Format of the review

A series of confidential and non-attributable interviews with policy team and stakeholders.

Daily progress meetings with the SPO/SRO.

A draft report submitted at the end of the on-site review period and agreed within a week of completion.

A series of confidential and non-attributable interviews with policy team and stakeholders.

Daily progress meetings with the SRO.

A draft report submitted at the end of the on-site review period and agreed within a week of completion.

A series of confidential and non-attributable interviews with policy team and stakeholders.

Daily progress meetings with the SRO.

A draft report submitted at the end of the on-site review period and agreed within a week of completion.

A series of confidential and non-attributable interviews with policy team and stakeholders.

Daily progress meetings with the SRO.

A draft report submitted at the end of the on-site review period and agreed within a week of completion.
Who receives the review report?

SPO/SRO

PPM CoE

Wider circulation within the business area and Scottish Government by the SPO/SRO.

Specific Professional Leads as appropriate: CIE, Director of Procurement, Head of Infrastructure Investment and the Accountable Officer

 

SRO

PPM CoE

Wider circulation within the business area and Scottish Government by the SRO.

Specific Professional Leads as appropriate: CIE, Director of Procurement, Head of Infrastructure Investment and the Accountable Officer

 

SRO

PPM CoE

Wider circulation within the business area and Scottish Government by the SRO.

Specific Professional Leads as appropriate: CIE, Director of Procurement, Head of Infrastructure Investment and the Accountable Officer

 

SRO

PPM CoE

Wider circulation within the business area and Scottish Government by the SRO.

Specific Professional Leads as appropriate: CIE, Director of Procurement, Head of Infrastructure Investment and the Accountable Officer

Format of the report Standard format covering the five mandatory topics, with some flexibility for tailoring and inclusions of additional areas of exploration. Standard format, with some flexibility for tailoring and inclusions of additional areas of exploration. Standard format, with some flexibility for tailoring and inclusions of additional areas of exploration. Standard format with some flexibility for tailoring to reflect the bespoke Terms of Reference.
How is the report used?

Informs discussions about viability of the potential project.

SPO/SRO uses report findings and recommendations to design and develop a project.
SRO actions findings and recommendations. SRO actions findings and recommendations. SRO actions findings and recommendations.
Action Plans SPO submits an Action Plan to the Accountable Officer within three weeks of the review. - - -