Arrange, prepare for and carry out a project assurance review

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Details

An assurance review is an independent review of a portfolio, programme or project at a point in time. A team of independent reviewers assess how likely it is to deliver what it set out to and makes recommendations for the people accountable for it.

A review can happen at any point. Most are timed to inform a major decision, such as the approval of a business case.

The National Infrastructure and Service Transformation Authority (NISTA) arranges assurance reviews for programmes and projects in the Government Major Projects Portfolio (GMPP).

This guidance was made for NISTA’s assurance review process, but you can use them for an assurance review of any portfolio, programme or project, at any stage.

All the guidance, forms and templates are in the NISTA assurance review toolkit on GOV.UK. This page helps you find the ones you need for what you’re doing.

Find out which assurance review you need

The reviews your project or programme needs depend on its level of risk and the approvals it’s working towards. Most are gate reviews, and each one matches a stage in your programme or project’s life. NISTA can also run other reviews, agreed with the senior responsible owner or through your integrated assurance and approval plan.

Risk potential assessment (RPA) form

Assurance starts with the risk potential assessment form (GOV.UK). It assesses how much impact your programme or project would have if it failed, and how complex it I s.

This helps to decide on a low, medium or high risk rating, which decides how much assurance the work needs and who arranges its reviews.

Complete the risk potential assessment form as early as you can, ideally while the policy is still being developed, and update it before each review.

Integrated assurance and approval plans (IAAP)

An integrated assurance and approval plan sets out which assurance reviews and approvals you need and when.

Implementing integrated assurance for major projects (GOV.UK) explains how to put one together.

Gate reviews

Gate reviews look at a programme or project before a decision on whether it can move to its next stage, and give a realistic view of how likely it is to succeed. Your project or programme’s life cycle sets out these decision points, sometimes called gates.

Gate reviews are also known as gateway reviews or NISTA reviews, and HM Treasury calls them stage gate assessments. Reviewers base their questions on the five case business case model outlined in the Green Book.

Gate Review 0 is for programmes. Gate Reviews 1 to 5 are for projects, including projects within a programme. A programme having a Gate Review 0 does not replace gate reviews for its projects.

Each review has its own workbook. The workbook sets out the questions reviewers ask and the evidence they expect to see, grouped under the five cases, with extra questions for infrastructure, transformation, defence and digital projects.

If you’re reviewing a digital project that uses agile ways of working, use assurance for agile delivery of digital services (GOV.UK) alongside the relevant workbook. It applies at every gate and covers what reviewers should look at in the discovery and beta phases. In this case the review team needs at least one reviewer with agile delivery experience.

Reviewers look at benefits at most gate reviews, and they’re the focus of Gate Review 5. The assurance of benefits realisation in major projects guide on GOV.UK sets out the good practice in benefits management that reviewers look for. You can use it to check their approach before a review.

Gate Review 0: Strategic assessment

Gate Review 0 checks that a programme’s outcomes and objectives are clear and that it’s set up to achieve them.

The first one usually happens once you’ve developed the programme brief or initial programme business case. It comes before any public commitment and before the programme board gives authority to proceed.

The first review focuses on why the programme is needed. Later reviews check the business case is still valid and that outcomes and benefits are on track.

Gate Review 0 workbook (GOV.UK)

Gate Review 1: Business justification

Gate Review 1 is the first review for a project. It tests your strategic outline case after you’ve prepared it, before your project board approves it and before any spending approval.

Reviewers check the project fits the programme’s objectives, the strategic outline case is robust and the project is likely to meet its business goals.

Gate Review 1 workbook (GOV.UK)

Gate Review 2: Delivery strategy

Gate Review 2 tests your outline business case and delivery strategy before you make any commitments to suppliers or delivery partners.

Reviewers confirm you’ve chosen an option from your shortlist, fixed the scope and secured funding for the whole project. They check your delivery strategy is robust, your plan to completion is realistic, and the right controls, resources and stakeholder support are in place.

Gate Review 2 workbook (GOV.UK)

Gate Review 3: Investment decision

Gate Review 3 tests your full business case once you’ve been through procurement.

Reviewers confirm your full business case and benefits plan are complete and backed by suppliers, partners and benefit owners, and that you have the funding and authority to go ahead. They check the procurement followed your approved delivery strategy and legal requirements, and that the contract is likely to deliver on time, on budget and with value for money.

Gate Review 3 workbook (GOV.UK)

Gate Review 4: Readiness for service

Gate Review 4 checks your project is ready to go live and move into business as usual. For IT projects, it happens after all testing and before rollout or release. For property and construction projects, it happens once the project has been approved as ready for use.

Reviewers check the business case is still valid, testing is complete, and contingency and continuity plans are in place and tested. They also confirm handover from the SRO to the operational business owner, contract management for the operational phase, and plans for training, communication and support.

Gate Review 4 workbook (GOV.UK)

Gate Review 5: Operations review and benefits realisation

Gate Review 5 checks whether your project is delivering the benefits in its business case. The first one usually happens as the project hands over to business as usual.

You can repeat it during the life of the service, for example 6 to 12 months after handover and shortly before a service contract ends. Reviewers check the strategic objectives have been met, there’s still a business need, and benefits realisation is tracked with clear accountability. They also look at contract management, exit and closure plans, and lessons learned.

Gate Review 5 workbook (GOV.UK)

Prepare for an assurance review

Start with the programme or project team and senior responsible owners briefing note on GOV.UK. It explains your role and what you need to do before and during the review.

The assurance review administration documents on GOV.UK help you organise the review. They include:

• a planning meeting agenda
• an interview schedule
• a letter the SRO can send to interviewees
• guidance on data and information security
• feedback forms for the SRO and the programme or project manager

Use the workbook for your gate review to see the questions reviewers will ask. Most workbooks also list the documents your team should have ready before the review starts, such as your business case, RAID log, benefits statement and recent board papers.

Carry out an assurance review

Start with the review team briefing note on GOV.UK. It explains your role and responsibilities in the review, and reminds you of the main points from your assurance reviewer training.

You’ll also need:

• the workbook for the review
• the guide to preparing an assurance review and report template on GOV.UK, to write up your findings and recommendations
• the assurance review administration documents on GOV.UK, including meeting agendas, an interview schedule, the code of conduct and a feedback form for review team members
• assurance of benefits realisation in major projects on GOV.UK, for good practice in benefits management to look for
• assurance for agile delivery of digital services on GOV.UK, for reviews where agile ways of working are in use

After the review

The review team’s report gives you recommendations and a rating. At a gate review, this is a stage gate assessment of whether your programme or project is ready to move to the next stage. Reviews can also give a delivery confidence assessment.

Assurance of action plan (AAP) reviews

If your programme or project is on the GMPP and gets a red stage gate assessment, the Response to Red process starts. This includes an assurance of action plan (AAP) review and may include a case conference.

The AAP review happens once you’ve acted on the recommendations. NISTA leads it with your department, on behalf of the accounting officer. It checks whether your actions have significantly improved the chances of successful delivery, and HM Treasury uses the result at approval points.

The assurance of action plan guidance and templates on GOV.UK help you prepare.

Review a portfolio

You can use NISTA’s approach to assure a department’s portfolio and how it’s managed. You can also adapt it for a smaller portfolio or one in an arm’s length body.

Start with the assurance workbook for portfolios and portfolio management on GOV.UK.

Become an assurance reviewer

NISTA has a pool of independent, accredited assurance reviewers from the Civil Service and industry. If you’d like to join, the guidance for becoming a NISTA assurance reviewer on GOV.UK explain how.

Get help

For questions about assurance reviews, email the NISTA Gateway helpdesk at [email protected].

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Product Information

Delivery vehicle Portfolio, Programme, Project

Sector Digital and data, Government Transformation and Service Delivery, Infrastructure and Construction, Military Capability

Product type Tools, templates and techniques, Workbooks and guides