The Gateway Journey

Requesting an Assurance Review

The SRO, PM or a designated member of the Project Team should complete a Risk Potential Assessment (RPA) to initiate a Gateway or assurance review.

All Programmes and projects with a value of £5M or greater are required to engage with the Gateway Assurance process by completing a RPA form.

After SRO approval, the RPA should be sent to the relevant Departmental P3O for validation which then will be submitted to the Commercial Delivery Group (CDG).

Departments may have intermediate arrangements in the absence of a P3O.

CDG will review the RPA and contact the PM to arrange an Assessment meeting (usually 12 to 14 weeks ahead of the proposed assurance review).

Gateway Reviews are mandatory for Programmes and Projects with a high risk RPA outcome however medium or low risk Programmes or Projects may choose do a Gateway Review.

Programmes and Projects which are assessed as high risk at the outset will be subject to the Gateway Review Process until Programme/Project closure however there is no requirement to complete a RPA at each gate stage. SROs should request subsequent Gateway Reviews using the Gateway Request for Projects form.

The Role of the Senior Responsible Owner (SRO) and Programme/Project Manager (PM) in an Assurance Review

The SRO is the person accountable for the successful outcome of the project and is CDG’s client. The PM is the person responsible for the day-to-day management and control of the project. They are expected, throughout the review process, to be the interface between the Review Team, the Project Team and CDG.

The SRO will need to:

• attend, or nominate someone to attend, an Assessment Meeting to ensure the appropriate Assurance Review is identified, resourced and scheduled;
• attend the Planning Meeting and be prepared to discuss the project status and issues and the scope of the review;
• discuss their personal view of the project at the start of the review;
• ensure they (or a designated member of the Project Team) are available during the review to discuss emerging findings;
• receive the review report at the end of the review; and
• complete the review feedback form and return it to CDG.

The Programme or Project Manager will need to:

• ensure the SRO attends, or nominates someone to attend an Assessment Meeting to ensure the appropriate Assurance Review is undertaken;
• agree the dates for the Planning Meeting and the review and arrange the venue and necessary facilities or technology if a review is being delivered remotely;
• familiarise themselves with the appropriate guidance for the relevant assurance review;
• discuss with the RTL what documentation is needed before the assurance review;
• agree the Planning Meeting agenda with the RTL;
• attend the Planning Meeting with the SRO;
• brief the Review Team at the Planning Meeting on the status of the project and agree the logistics for the review;
• ensure all those to be interviewed are briefed on the purpose of the review and what is expected of them;
• be prepared to discuss their personal views of the project at the beginning of the review;
• ensure the documentation listed in the appropriate Assurance Review guidance is available during the assurance review;
• arrange the logistics of the review, ensuring availability of interviewees as required by the Review Team;
• ensure the SRO is available to discuss emerging findings during the review (or, if not, ensure a suitable deputy is available);
• ensure the SRO is available at the end of the review to receive the review report; and
• ensure the SRO completes the review SRO feedback form and returns it to CDG.

Role of the DAC:

A representative from CDG will act as the Departmental Assurance Coordinator (DAC).

The DAC will assess the RPA or review the Request for Gateway Form (High Risk only).

The DAC will arrange an Assessment Meeting with the SRO and Programme or Project Team after receiving the RPA.

Following the Assessment Meeting the DAC will assemble a Review Team based on the skills and experience required andidentified in discussion with the SRO.

The DAC will then attend the planning meeting and act as a point of contact during the review dates if required.

On completion of the review and receipt of the final report, the DAC will ensure external reviewers are paid promptly and then request payment for the review. The DAC will request feedback from the SRO on the reviewers and CDG’s performance to close the review process.

Throughout the review the DAC will act as a point of contact and be available to advise both the project and review teams.

The Assessment Meeting

The Assessment Meeting will normally be attended by the SRO, PM and a representative from CDG. The SRO may choose to delegate responsibility to the PM. The purpose of the Assessment Meeting is to:

• confirm the RPA rating;
• obtain an overview of the project’s position, risks, schedule and planned approval points;
• confirm readiness and identify the scope for the review;
• confirm the skills and experience required for the Review Team;
• identify potential stakeholders who will be required to participate in the review; and
• agree the timing of the Assurance Review and its logistics

Note: the Assurance Review will typically be planned 12 to 14 weeks after the Assessment Meeting.

At the Assessment Meeting, the initial list of stakeholders to be interviewed during the review will be developed.

The Project Manager will be responsible for undertaking a number of administrative tasks related to the review, e.g. establishing interview schedules, room bookings or appropriate technology for remote reviews, documentation preparation etc. It is advisable that the person who will be responsible for administrative support also attends the Assessment Meeting.

Following the Assessment Meeting and Before the Planning Meeting

Between the Assessment Meeting and the Planning Meeting (which normally takes place approximately 2 weeks before the review), the Project Team will undertake the tasks agreed at the Assessment Meeting e.g. book the appropriate stakeholders for the Assurance Review and start collating the required documentation needed for the review.

It is important to note that CDG will require a minimum of 12 weeks’ notice, from the Assessment Meeting, to identify and engage a suitably experienced Review Team.

The success of the review largely depends on the detailed preparation carried out during this time and the short period after the Planning Meeting, and the Review itself.

The Role of the RTL and RTM in an Assurance Review

A typical Review Team will comprise an external RTL (selected by the SRO with the assistance of CDG) and two internal RTMs, if available, drawn from the pool of accredited public sector reviewers. There is a cost to the project for the external RTL but no cost for the time and resources of the internal RTMs. The composition of the Review Team may vary for a number of reasons: complexity, sensitivity, availability of internal reviewers etc. Occasionally a Review Team will comprise all public sector staff, sometimes drawn from other jurisdictions if there isno independent expertise available in NI at the time of the Review. CDG will provide a schedule of costs for each scenario.

The RTL will need to:

• review relevant documents that CDG or the project provides prior to the planning meeting and review;
• acquaint themselves with the relevant guidance material e.g. Gateway Workbook;
• contact CDG for an initial briefing on the background and scope of the review;
• contact the RTM(s) (at least 1 week before the planning meeting) to make introductions, discuss the context of the review and the logistics of the planning meeting (date, time, location, platform etc.);
• inform the RTMs of any necessary project or review details;
• speak with the SRO and/or PM to familiarise themselves with the project and discuss the agenda for the planning meeting;
• request any other information from the Project Team before the planning meeting;
• check the planning meeting location and facilities (online or in person);
• check the review location(s) and the facilities available (online or in person);
• check whether security clearance or security passes need to be arranged in advance;
• send the agreed planning meeting agenda to the SRO, PM, RTMs and CDG;
• manage the planning meeting, assisted by the CDG, if necessary;
• provide a briefing to an RTM who may be unavailable to participate at the planning meeting;
• lead the Review Team, carry out the review, ensuring time for information gathering, information sharing, emerging findings discussions, agreement of findings and recommendations and writing the review report;
• present and discuss the review report with the SRO at the end of the review, informing CDG if the SGA is Red;
• send a copy of the final review report to CDG within 5 working days of completion of the assurance review
• return the completed RTM feedback forms to CDG at CDG@finance-ni.gov.uk and to the RTMs; and
• discuss the implications of the SRO feedback and the review report with CDG.

The RTMs will need to:

• review relevant documents that CDG or the project provides prior to the planning meeting and review;
• acquaint themselves with the relevant guidance material e.g. Gateway Workbook;
• discuss the context of the review and the logistics of the planning meeting when the RTL contacts them (at least 1 week before the planning meeting);
• attend and participate in the planning meeting;
• participate fully in the review process, obtaining evidence to support the conclusion and risk based recommendations of the review;
• participate in the emerging findings discussions with the SRO at key points throughout the review;
• assist in the writing of the Assurance Review report; and
• return the RTL feedback form to CDG at CDG@finance-ni.gov.uk and to the RTL.

The Planning Meeting

Prior to the Planning Meeting, the RTL will contact the PM, or the SRO, to introduce themselves and to answer any questions that the SRO or PM may have. The Planning Meeting is an essential part of the review process for a number of reasons. It may be the first time members of the Review Team will have met each other, the SRO, the PM and the Project Team. It gives an opportunity for the review team to discuss how best to work together and establish a Code of Conduct (see below for details) applicable for the review, the review team and the SRO.

The RTL should chair the planning meeting, which is normally divided into four parts (the planning meeting should be scheduled for approximately 3 hours):

• First part: the review team initially meets with a representative from CDG to sort out team dynamics, logistics and consider what approach they will adopt to ensure a successful review. The CDG representative will outline the position and any concerns, if relevant.
• Second part: the SRO and project representatives join the meeting. The SRO will provide an overview of the project, outline the progress, challenges, risks and areas of concern they would like addressed during the review. This information will help the review team to familiarise themselves with the project and identify the key potential issues to be addressed during the review. This will also enable any Terms of Reference (ToR) for the review to be finalised and agreed and to identify the key stakeholders to be interviewed.
• Third part: the Project Team and the review team finalise the interviewee list, documentation requirements and logistical matters for the review (the SRO is not necessarily required for this session but may choose to participate).
• Fourth part: the Project Team leave the meeting, and the review team and CDG representative agree on the review plan and any personal logistics.

The Planning Meeting is used to finalise the logistics for the review, interview schedules and documentation needs and is also used to answer any concerns the SRO, PM or the Project Team may have. It is critical that the review team have access to key project documents within a timeframe that allows for appropriate understanding to be gained.

As the RTL is accountable for the review, they are expected to chair the planning meeting. A CDG representative will normally attend to facilitate or assist where necessary, provide the latest view of the project from a CDG perspective and ensure that the correct process for the review is followed. The CDG representative will complete a checklist and record minutes of the meeting.

As the SRO is accountable for the project, their presence is essential so that they can give the review team a strategic overview of the environment the project is operating within and to ensure that any concerns can be raised. Occasionally this element of the meeting can be facilitated in other ways if there are pressures on the SRO’s diary or availability.

A generic planning meeting agenda will be provided for the RTL. The SRO/PM and the RTL will agree to the sequence of the meeting.

Code of Conduct for Assurance Reviews

The Code of Conduct is a statement of principles that the review team will adopt to ensure that a consistent professional approach is adopted throughout the review. It will be agreed by the review team at the start of the planning meeting, written down and then discussed with the SRO. Establishing a code of conduct is essential to ensure that the review team and the SRO adopt uniform working practices and standards.

• Supportive and Focused – The Gateway process is pro-project. The review team has a strong and determined focus so that it can produce a report that adds the maximum value to the project. Assurance is not an audit function.
• Open and Honest – The review team will provide regular feedback throughout the review to ensure there are no surprises. The report will be based on evidence gathered during the review. Any factual inaccuracies (e.g. figures, dates) can be amended, however the findings and recommendations will not be changed.
• Confidential and non-Attributable – What is said to the review team during the review will help inform the final shape of the report. Confidentiality is paramount to a successful review outcome so nothing in the report will be attributable to any individual.
• Professional and Mutual Respect – The review team will work and interface with the Project Team in a business-like and professional manner. Diversity and differences will be valued because everyone’s goal is a successful project!
• Objective and Factual – The review team will gather and triangulate relevant information to confirm accuracy. The review team will value best practice as well as identifying areas for improvement. The report will be objective, evidence-based and factual.
• Flexible and Timely – Time is tight and the review team has a lot to cover. Changing circumstances (for example interview rescheduling) can be accommodated if necessary. The review team will present the draft report before it leaves on the final day.

Assurance Review

Throughout the review, the review team will collaborate with all key stakeholders on behalf of the SRO, the client. The review will entail a series of interviews with key stakeholders and the review team. Workshop sessions may also be used but this would need be agreed at the Planning Meeting.

The PM and SRO will need to make themselves available at the beginning of the review for the review team to hear their views.

The review is a partnership between the SRO and the review team to increase the project’s chances of success. Being open and honest with the review team is key to the success of the review and the PM and the SRO should expect the same in return.

The PM may be asked during the review for sight of key documents. Therefore it is vital that the processes are in place to ensure the timely provision of requested documents.

Emerging Findings Process

Emerging findings meetings are intended to enable the review team to share their early thoughts with the SRO on the way the review is progressing. The SRO will be kept abreast of any emerging findings, may provide clarification to any points of uncertainty and any misinterpretation or correct any factual inaccuracies.

Typically, emerging findings meetings are held at the end of each day of the review. a deputy (perhaps the Project Manager) may attend if the SRO isn’t available although this should be only in exceptional circumstances.

The SRO must, however, be available for feedback of the draft report on the final day.

On rare occasions, an ad hoc Emerging Findings discussion may be needed so that:

• additional information or evidence can be shared with the review team, or
• an additional stakeholder has been identified for interview.

Review Feedback

The SRO/RTL/RTM should complete a Feedback Form which asks for feedback on various aspects of the review. Completed Feedback Forms should be returned to CDG at Gateway.CPD@finance-ni.gov.uk. Comments are an important way of ensuring that best practice is maintained and that CDG learns from your experiences.

Note that the feedback process is an open process and reviewers are entitled to see the feedback form.

Documents

Planning Meeting Agenda;
Assurance Report Template;
RTL Feedback – Assurance Reviews Template;
RTM Feedback – Assurance Reviews Template; and
SRO Letter to Interviewees for Gateway Review

Departmental Assurance Co-ordinators

• Departmental Assurance Co-ordinators

Infrastructure & Project Authority (IPA) Gateway Workbooks

• Infrastructure & Project Authority (IPA) Gateway Workbooks