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UK Project Governance Routemap Guide

The Project Routemap is a tool developed by the UK Infrastructure and Projects Authority to help set up major projects for success by incorporating best practices and lessons learned from past projects. It includes eight modules covering various aspects of project management, such as governance, risk management, and delivery planning, and emphasizes the importance of early-stage planning for achieving desired outcomes. The Routemap also addresses cross-cutting themes like economic value, skills, and digital integration to ensure comprehensive project success.

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0% found this document useful (0 votes)

27 views35 pages

UK Project Governance Routemap Guide

Uploaded by

atlan.wyxj

We take content rights seriously. If you suspect this is your content, claim it here.

Available Formats

Download as PDF, TXT or read online on Scribd

Project Routemap

Setting up projects for success Interactive

document

Governance
UK Module

Requirements Governance Systems Organisational Procurement Risk Asset Delivery

Integration Design & Management Management Planning

RM AM DP
Development

Rq Gv SI 01 02 03
OD Pr 04 05 06 07 08
Gv Project Routemap: Governance 2

Contents
03 Preface Governance

04 Introduction to the Routemap modules

08
Cross-cutting themes projects can’t ignore

Governance, and why it’s important

Gv 02
09 Typical findings

10 Pillars of effective governance

11 Considerations

19 Good practice examples

30 Suggested further reading

32 Glossary

34 Acknowledgements

Cover image
Wellingborough Prison where the approach to
offsite manufacture and digital technologies
provided a blueprint for the Ministry of Justice’s
future 10,000 prison places programme.

Acknowledgements
Ministry of Justice Prison Infrastructure Team

Preface Introduction to Cross-cutting Governance, and Typical findings Pillars of effective Considerations Good practice Suggested further Glossary Acknowledgements
Routemap modules themes projects why it’s important governance examples reading
can’t ignore
Gv Project Routemap: Governance 3

Preface
Project Routemap is the Over the coming years there will be more investment in Routemap has been used by many of the UK’s biggest, most
Infrastructure and Projects infrastructure and major projects than ever before, backed complex and high-profile projects since its first publication
Authority’s (IPA) support tool for by both public and private sectors. This investment will be a in 2014 and more recently it has also been applied to projects
novel or complex major projects. catalyst to building back better and stronger. Infrastructure internationally. However, the project delivery system and the
It helps sponsors and clients and major projects will play a critical role in fuelling economic way projects are delivered has evolved. That is why the UK
understand the capabilities growth and improving the lives of people right across the Routemap handbook and accompanying modules have been
needed to set projects up for country. updated to incorporate new and emerging best practice in
success, incorporating learning project delivery and to align with standards, including the
from other major projects and With greater investment comes greater responsibility Government Functional Standard for Project Delivery and the
programmes. and we must ensure we have a strong delivery record that United Nations Sustainable Development Goals.
demonstrates real value. This means setting projects up for
The IPA is the centre of success from the very start, so that they come in on time and Building on its success with economic infrastructure, Routemap
expertise for infrastructure budget, and deliver on their promises - to the benefit of the has also been expanded to cover social and defence-related
and major projects, sitting at citizens of the UK. infrastructure projects and includes guidance for application to
the heart of government and other types of projects.
reporting to the Cabinet Office Although setting up projects for success can take more time
and HM Treasury in the UK. at the start, this will be repaid many times over in the delivery Applying Routemap to more of our projects will be another
phase. Projects that focus enough attention on the early stages step towards realising our ambition of world-class delivery
are much more likely to achieve their intended outcomes later standards. Whatever the project, applying Routemap will give
on and display world-class delivery standards. confidence to the people delivering them, those approving
them, and those investing in them.
That’s why the IPA developed the Project Routemap
(“Routemap”) - a support tool that provides practical advice The IPA would like to thank all those organisations and
based on learning from other major projects and programmes. individuals who have contributed to the development, of both
the original, and these updated UK Routemap handbook and
There is no doubt that complex projects can test the limits accompanying modules.
of organisational capability, but if applied in the most crucial
early stages of project development, Routemap will ensure
that best practice and learning about the most common
causes of project failure and principles for project success are Nick Smallwood
incorporated. This will result in benefits ranging from selection Chief Executive Officer of the Infrastructure and
Projects Authority and Head of Government’s
of the most appropriate delivery model, to clearer governance Project Delivery Function
arrangements, proper risk allocation and accelerated decision-
making.

Introduction: What are the Routemap modules?

The Routemap modules provide practical advice to help set up projects for success. The modules have been The best practice and learning contained in the modules reflect the collective experience of public and
developed by the UK government in collaboration with industry and academia. They capture best practice privately funded projects from the infrastructure and defence sectors. However, most of the principles apply
and learning from common causes of project failure and success over the past decade from £300bn of to all projects, including digital and transformation projects.
capital programmes.
These modules are aligned with the government’s Project Delivery Capability Framework and help projects
These modules sit alongside the Routemap handbook. The handbook explains how Routemap can be applied comply with the Government Functional Standard for Project Delivery. They also help projects to align with
to identify gaps in project capability and build an action plan to close those gaps. other recognised standards and guidance, including the United Nations Sustainable Development Goals.

There are eight modules, one covering each of the following areas: They are useful whether you are using the Routemap to undertake a Full Project Review or a Modular Deep
Dive, as detailed in the Routemap handbook. They can also be a useful standalone reference to identify
Requirements Procurement potential risks and improvements in project capability development, and relevant good practice from other
Requirements Procurement
Delivering strategic project Understanding how the project projects.

Rq Pr
outcomes and realising the will buy goods and services.
benefits. The modules are not a complete guide to project development, nor a substitute for business case
01 05 development. Instead, they provide considerations to challenge your thinking and to launch your project
on the path to success. The project team will need to consider their project’s individual characteristics and
context and identify what will be most helpful to them.
Governance Governance Risk Risk Management
Establishing clear accountability Management
Managing uncertainties and

Gv RM
and empowering effective opportunities.
decision-making.
02 06

Systems Systems Integration Asset Asset Management

Integration
Making multiple systems work Management
Balancing costs and risks to

SI AM
as one. maximize whole life benefits.

03 07

Organisational Organisational Design & Delivery Delivery Planning

Design &
Development Planning
Readying the project for

DP
Development

OD
Organising the project team to transition into delivery.
deliver successfully.
04 08

Introduction: How do you use the Routemap modules?

This table summarises how different
Setup Diagnosis Action planning
module sections support the three key Determine the scope and timing of the Gather information and identify where Collaborative development of practical
stages of the Routemap methodology. Routemap, which can be project-wide or capabilities need to be enhanced solutions to enhance capability
targeted to specific areas of capability
The modules are useful when applying Routemap approach
the Full Project Review and Modular Deep
Dive approaches, which are described in Determine if there is value in using Routemap to Determine which modules may help. Apply best practice and learning from the
the Routemap handbook. Full Project Review support project-wide capability development. modules and any other major project examples.

Determine if there is value in using specific There is likely to be one module in particular Apply best practice and learning from the
Routemap modules to support development of that focusses on your selected area of modules and any other major project examples
Modular Deep Dive a specific area of capability. capability. However, there may be value in in the selected area of capability.
consulting other interfacing modules too.

Module section
Key project documents You may find it helpful to review these types Cross-checking this document list against You may find that developing or enhancing
Documents that will help you of project documents, to define the areas of existing project documents may also help you to these types of documents will help to close
understand the governance interest in the Routemap scope. identify capability gaps. capability gaps.
arrangements for your project.

Typical findings If these indicators are apparent even before you You may find it helpful to review these when If your findings contain statements like these,
Indicators that issues might arise start applying Routemap, this should inform the identifying issues and articulating your findings. this module could help strengthen capability.
during delivery. areas of interest in the Routemap scope.

Pillars of effective governance Comparing your project with these character- Not applicable to this stage Comparing your project with these
Hallmarks of successful project set up. istics of good practice may help you to identify characteristics of good practice may help you
areas of interest in the Routemap scope. set goals for your action plan.

Considerations Not applicable to this stage This section lists a series of questions that can Working through these questions can help you
Detailed list of questions to understand help you to test the effectiveness of existing understand the root causes of the findings and
root causes and suggest improvements. arrangements. develop solutions.

Good practice examples and Not applicable to this stage Not applicable to this stage You may find these good practice examples and
suggested reading suggested reading useful in developing actions
Context to support your wider to address capability gaps.
understanding.

Introduction: How do the modules map to the project life cycle?

This diagram maps the Routemap modules
to the stages of a project life cycle. Strategic Outline Full
Outline Case Business Case Business Case
It shows when each of the modules should
be used to support planning during project
set up. It also suggests the stages when
the modules’ principles are expected to
have been applied.
Assess Appraise and Operate, embed
Project stages Policy
feasibility select Define Deliver and close
Operations

Requirements

Governance

Systems Integration

Project Organisational
Routemap Design & Development
modules Procurement

Risk Management
Key
When you should plan Asset Management
When you apply
Delivery Planning

Project Routemap provides most value for projects at the front end Project Routemap can also inform projects
through later stages

Cross-cutting themes projects can’t ignore

Six cross-cutting themes emerged from
our engagement with major projects Benefits and outcomes focus People and skills Behaviour and culture
and industry, which have informed the adopting a whole life perspective whilst managing planning ahead for the right skills, experience and realising project success with a capable, diverse and
updated Routemap modules. These place the project capacity to deliver the project integrated team
complex demands on project teams, and
if overlooked during set up, can create n H
ave you got a clear vision of the target outcomes, which n H
ave you undertaken activity-based resource planning n Is there a plan for how desired behaviours and values will
issues during the later stages of the is aligned across the sponsor, client, asset manager and to ensure you have the people with the right skills, be cascaded and embedded through the sponsor, client,
project life cycle. market? knowledge, experience and behaviours at the right time to asset manager organisations and the supply chain?
deliver the project?
n H
ave the project outcomes been effectively n H
ow are the desired behaviours and culture promoted in
These themes include the need for focus communicated to key stakeholders and the supply chain? n A
re these plans reviewed on an ongoing basis? And do the project?
on behaviours and culture, consideration they incorporate skills development and succession
n Has the project set realistic and transparent targets? n D
oes the project have a culture that empowers
of wider economic, environmental, and planning to ensure continuity in key roles and to meet
constructive challenge and diversity of thought?
social value and the increasing use of n A
re you able to measure the realisation of benefits evolving needs?
throughout the whole life cycle? Including any potential H
ow is the project planning to build relationships and
digital systems and tools to enable a
n
n H
ave you considered the time commitment of your project
early releases? invest in creating the right environment to realise project
systems-focused approach. leaders to ensure they have the right capacity to deliver
outcomes?
the project?
Planning ahead for the right skills, n If using delivery partners or third parties, do they have the
experience and capacity to address these capacity and expertise to support the project as required?
themes is key to success.

To help you navigate these themes, we

Economic, environmental and social value Digital and technology Transitions
have developed a series of prompts. embedding systems and approaches at the front end planning for change and developing the required
You can use these prompts to check taking in a wider view of the project’s impact
to maximise project productivity capability before progressing to the next life cycle stage
whether your project is set up to meet the
challenges ahead.
n H
ave you considered how the project will generate n H
ave digital and modern methods been considered at the n D
oes the project have a clear plan for how they will
economic, environmental, and social value? Has it been earliest point in the life cycle to maximise their impact on transition from one life cycle stage to the next?
hardwired into the business case, with a clear link to the benefits?
n D
oes the plan set out the changes needed to
UN Sustainability Development Goals?
n H
ow has the project assessed and addressed digital organisational and governance arrangements?
n Is your project aspiring to leave a “net positive” impact on capability within the sponsor, client, asset manager and
n D
oes the project have the necessary capability to
the natural environment to combat the impacts of climate market?
transition to the new organisational and governance
change?
n H
as the project considered how information, data and arrangements for the next life cycle stage? Including the
n H
ow are you maximising benefits for project affected knowledge will be shared across the project, including change management capability required to embed the
communities and contributing to levelling up? with the supply chain? changes?
n Is there clear accountability for the economic, n W
hat consideration has been given to potential changes n Is the project clear on how the relevant documents and
environmental, and social benefits and outcomes? in technology that may influence benefits realisation? people will carry knowledge and learning across life cycle
stage boundaries?

Governance, and why it’s important Governance

Gv
“Accurate, timely and relevant information is crucial to guide and monitor the delivery of programmes. Transparency and honesty are also the basis for constructive challenge of delivery
bodies by sponsors, as well as from Parliament and wider society”.

“...sponsors should remain alert to when their current governance approach may not be working and be prepared to amend arrangements to enable them to carry out their responsibilities as 02
appropriate”.
Lessons learned from major programmes - National Audit Office 2020

Why governance matters What are the key project documents?

Poorly designed governance is one of the most common reasons why major or complex projects fail to If you are seeking to find out more or to review the existing governance
meet their time, cost and outcome delivery objectives. However, there isn’t a ‘one size fits all’ governance arrangements on your project, the typical documents or reports set out below
design. The optimal arrangements will depend on the scale, complexity and specific requirements of your may contain information that will help.
project.
■ Business case, in particular the strategic and management cases
To establish and enable an effective governance framework, it is important to consider two perspectives: ■ Sponsor’s requirements (Brief)
■ Governance – the rules established for prioritising, authorising, directing, empowering and overseeing ■ Integrated assurance and approval plan
management, and assuring and reviewing performance. ■ Project delivery plan
■ Governing – the ongoing culture, behaviours, values and relationships, which enable effective ■ Terms of reference for decision bodies, including role descriptions
governance.
■ Scheme of delegation (delegated authorities)
Having good governance will enable key decisions to be made with confidence throughout the project life
cycle and therefore should be in place as early as possible. Governance arrangements will also probably ■ RACI matrix (Responsible, Accountable, Consulted and Informed)
evolve during the project, so you should revisit them at major transition points or approval points. This ■ Stakeholder map and engagement plan
will make sure that there is an appropriate ‘single controlling mind’ for the project by establishing, at ■ Corporate charters or codes of conduct
each stage, the right levels of accountability and authority. It will also ensure the expectations of key
stakeholders are managed throughout. ■ Contracts and third-party agreements
■ Funding arrangements
Although project governance exists only for the life of the project, it must align with the wider and long-
term corporate governance of the sponsor organisation. For government projects, their governance ■ Change control procedure
should also comply with government and departmental policies and directives and with the Government Not all projects will have all of these documents, particularly in the earliest
Functional Standard for Project Delivery. stages of development.
This module can help to assess whether existing or proposed governance arrangements are suitable for
the scale or the complexity of your project.

Typical findings Primary module

Other relevant modules

Typical findings relating to Governance Relevant modules

This list describes situations that might arise and would indicate that the approach to developing project governance needs improvement. Other

Requirements

Organisational

Procurement

Management

Management
Development
Governance

Integration
relevant modules may also help you close identified capability gaps.

Systems

Planning
Design &

Delivery
Asset
Risk
A new delivery model (for example, setting up a new standalone delivery body) is proposed that the sponsor/client organisations have not used
before, and so they may need capabilities they currently do not have.

Existing corporate governance frameworks are insufficient to host a project of this complexity.

There are too many layers, or unclear decision routes. This can make it difficult and time consuming to gain approvals.

It is not clear where accountability lies and who has authority for what type of project decision, so decisions are being revisited or overturned.

There is a lack of transparency in decision-making, leading to reduced confidence and trust in the project.

Key stakeholders have not been fully identified, so governance arrangements cannot be designed to ensure their expectations are managed.

Governance arrangements are not evolving to reflect the changing needs of the project. For example, as new project partners join or as the project
progresses from one life cycle stage to the next.

Assurance activities, reporting and actions are duplicative, lack objectivity or are not focused on the areas of greatest risk.

Outcomes from assurance activities are not followed up with appropriate rigour and discipline to ensure they have been effectively addressed and
closed out.

The desired project culture is not being role-modelled by the behaviours within the governance structures. For example, in programme boards.

There is a tendency towards groupthink and optimism bias. This could cause unrealistic expectations for project design and delivery.

Project reporting arrangements are not clearly understood, and appropriate information is not reaching the right people to enable timely and
effective decision-making.

Pillars of effective governance

The four pillars below summarise the characteristics of effective governance.

Pillar 1: Allocating and exercising 1 Pillar 2: Empowering 2 Pillar 3: Maintaining alignment with 3 Pillar 4: R
eporting effectively and 4
accountability decision-making corporate strategy embedding assurance

■ Clearly defining and agreeing the ■ Assigning authority to empower and ■ Checking ongoing alignment between ■ Defining and enabling the disclosure of
accountability of individuals and facilitate effective decision-making. corporate strategy, objectives and information to assure stakeholders that
organisations for: ■ Decision makers have sufficient standards and those of the project. the project is set to meet its objectives.
– defining the project’s objectives capability to make timely and appropriate ■ Recognising and responding to any ■ A determined process for reporting
– ensuring the objectives align to decisions (or can seek advice to help areas of misalignment, especially with and other communications between all
corporate strategy them). key stakeholders and jointly sponsored organisations.
Sufficient autonomy to allow decisions projects. A defined system for assurance.
– successfully delivering the objectives ■ ■
and managing the associated risks to be made at the lowest possible level to
enable efficient delivery.
■ A collaborative culture and effective
working relationship across the
organisations involved.

These four pillars underpin an effective governance framework for projects. If one pillar is missing or Governance arrangements will probably evolve during the project, so you should revisit the considerations at
out of balance, project governance will likely be ineffective or inefficient. The pillars are expanded in the major transition points or approval points, or as plans change.
considerations section of this module.
Governance arrangements should evolve as:

■ more information becomes available, the sponsor increases their understanding of risk and the
effectiveness of the project’s risk management arrangements is demonstrated
■ the project team and their processes develop and embed
■ the project progresses through its life cycle, from design and planning through implementation to
operation

Module Pillars The considerations questions help you understand the root causes of the capability gaps and suggest improvements. You may not
need to review all the considerations, just use the most relevant ones for your project.

12 Pillar 1 Allocating and exercising accountability

Sponsorship
Requirements setting Project Routemap: Name of module

Delivery strategy
Benefits realisation
Considerations: Considerations
Pillar 1 title here
Risk management strategy Each pillar is expanded into a number of
Considerations What may help
consideration questions. These questions will
14 Pillar 2 Empowering decision-making
Sub-Heading 1
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Types of authority
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n to review and validate existing governance

auctantemque poris.
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arrangements
Decision-making bodies Sub-Heading 2

n to target areas for improvement

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auctantemque poris.

Decision-making routes
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n to test the design of new governance
Behaviour
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morte caec maio. arrangements
Sub-Heading 3
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auctantemque poris. What may help
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Alignment and integration of organisations

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Signposts other related material which
Alignment of funders’ requirements
morte caec maio.

Sub-Heading 4
you might find helpful. These include other
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relevant modules with related content, key
17 Pillar 4 Reporting effectively and embedding assurance auctantemque poris.
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project documents, good practice examples
Reporting morte caec maio.
and suggested further reading.
Transparency
Assurance

Routemap uses four primary roles to describe the key areas of responsibility in the early stages of project development. These are sponsor, client, asset
manager and market. Before reading through the detailed considerations, you should familiarise yourself with these definitions in the glossary and
consider which organisation is fulfilling which role for your project. Sometimes an organisation can fulfil more than one of these roles, for example both
the sponsor and client roles. Also, where a project is still at an early stage, a role might not yet be filled by any organisation, for example the market role.

Considerations:
Pillar 1 Allocating and exercising accountability
Considerations What may help

Sponsorship Requirements Organisational

Design &
Development

■ Is the sponsoring organisation (in Routemap known as the sponsor) clearly identified? Is this documented? Rq 01
OD 04
■ Does the sponsor clearly understand their accountability for delivering the project outcomes including the wider economic, environmental and social aspects? Is it clear who is
accountable within the sponsor organisation, for example, a nominated senior responsible owner? Sponsor’s requirements
■ Is the role of the sponsor understood by other stakeholders involved in the project?
Examples 2, 3 and 4
■ Is it clear which individual has final accountability for successful delivery of the project? For example, for all government projects this accountability rests with the senior responsible
owner who is accountable to the sponsoring organisation. Is this documented? Suggested reading 1 , 2 and 3
■ Is it clear which organisation (or part of an organisation) is responsible for delivering the sponsor’s requirements? Is it clear how they are held to account by the sponsor?
■ Does the governance framework clearly show who is accountable for setting and implementing the relevant corporate policies and organisational strategies with which the project must
comply?
■ If any of these policies or strategies are jointly owned, is it clearly documented how the project is jointly governed? For example, is there a joint board with clear accountabilities?
■ Have the wider economic, environmental and social policies, as well as the strategies for implementing them, been included in the governance framework and communicated to the
sponsor and all members of the project team?
■ Has a decision been made about the most appropriate delivery model (the structural and commercial arrangements) for the project? Does the governance framework reflect this
decision?

Requirements setting Requirements Asset

Management

■ Does the governance framework clearly show who is accountable for setting requirements? Rq 01
AM 07
■ Have the sponsor’s requirements and success criteria been clearly defined and communicated to stakeholders? Including those relating to economic, environmental and social aspects?
■ Who is accountable for decisions about the balance between time, cost, quality and benefits? Business case (strategic) and
■ Is there a target operating model for after completion of the project? Does it define who will own, operate, maintain and fund the asset? sponsor’s requirements

Example 5

Considerations:
Pillar 1 Allocating and exercising accountability
Considerations What may help

Delivery strategy Organisational

Design &
Delivery
Planning

DP
Development

■ Does the governance framework clearly show who is accountable for the delivery strategy? OD 04 08
■ How is the delivery strategy controlled through the project’s life cycle? For instance, updates and approvals. Is this process documented?
■ Is it clear which individuals or organisations are accountable for decision-making, and who should be consulted or informed of the decision? Is this documented? For example, in a RACI Project delivery plan, business case
matrix (Responsible, Accountable, Consulted and Informed). (management) and RACI matrix
■ Is there clear allocation of roles and responsibilities for every aspect of project delivery? Example 1
■ How will external (third party) advisors be engaged across the project’s life cycle? Has the approach been documented?

Benefits realisation Requirements Asset

Management

■ Does the governance framework define who is accountable for benefits delivery? Rq 01
AM 07
■ Is it clear who is responsible for the impact and distribution of benefits to project affected communities? For example, skills development, employment opportunities or share schemes.
■ Are there metrics in place for monitoring and reporting benefits realisation? Do these metrics include environmental and social metrics? Business case (strategic)

Example 5

Risk management strategy Risk

Management
Procurement

■ Does the governance framework establish clearly defined roles, accountabilities, responsibilities and reporting lines for the management of risk? RM 06
Pr 05
■ Is the risk allocation between the sponsor, client, market and asset manager understood and clearly documented?
■ Has the risk allocation considered the capacity, willingness (risk appetite) and authority of these organisations? RACI matrix

Example 9

Suggest reading 4

Considerations:
Pillar 2 Empowering decision-making
Considerations What may help

Types of authority RACI matrix, scheme of delegation

(delegated authorities) and
■ Does the governance framework include a system of delegation defining the types of authority that can be delegated? For example, business case approval, allocation/draw-down of integrated assurance and approval
funds or entering into contracts. plan
■ Are there clear lines of escalation that enable issues to be raised and dealt with at the appropriate level of authority?
Examples 7 and 8

Delegation Organisational
Design &
Development

■ Does the governance framework set out the limits of delegation for decision-making, such as spending limits, or the release of cost or schedule contingency? OD 04
■ Does the delegation of authority enable timely decisions?
■ Does the governance framework evolve as the project transitions through the life cycle? For example, with review points to give authority to the appropriate parties and transfer Terms of reference for decision
authority, if and when required. bodies, including role descriptions

Examples 7 and 8

Decision-making bodies Business case (management),

project delivery plan and terms
■ Does the governance framework give the project manager the ability to make decisions or obtain approvals in time to meet the project schedule? of reference for decision bodies,
■ Do decision-making bodies meet at appropriate intervals to suit the project schedule and contract commitments? including role descriptions
■ Are decisions taken appropriately transparent to stakeholders?
Example 10
■ Do the decision-making bodies have appropriate skill, experience and authority to take decisions on behalf of the project?
■ Do the decision-making bodies have agreed terms of reference?
■ Are those responsible for environmental and social issues members of appropriate decision-making bodies?
■ Do the parties of the decision-making bodies have enough time and access to resources to fulfil their role? Including appropriate specialist skills.

Decision gates Integrated assurance and approval

plan
■ Are the project’s life cycle stages separated by decision points? Are appropriate levels of authority required to decide whether the project is ready to progress to the next stage?
■ How are decisions about early termination or changes to participating organisations managed? Is this documented? Examples 5, 7 and 8

Considerations:
Pillar 2 Empowering decision-making
Considerations What may help

Decision-making routes Risk

Management

■ Are decision-making routes clear and efficient? Is specialist advice being sought where appropriate? RM 06
■ Is there an integrated approvals framework that shows a clear plan, across all parties involved, for planning, coordinating and making approvals throughout the project’s life cycle?
■ Does the governance framework clearly identify the triggers for intervention by higher-level decision makers? For example, impacts beyond defined tolerances to the project’s wider Project delivery plan, integrated
outcomes and benefits. assurance and approval plan and
change control procedure

Example 9

Behaviour Organisational
Design &
Development

■ Have the project’s desired behaviours, culture and values been defined? OD 04
■ Is the project required to align with specific behavioural or cultural requirements? For example, the project requires compliance with the values of integrity, honesty, objectivity and
impartiality, as set out in the Civil Service Code. Corporate charters or codes of
■ Does the project’s governance framework support the behaviours and culture required? conduct
■ Are there mechanisms to measure behaviours and culture? Do these mechanisms highlight behaviours and culture that are different from what’s expected and address them? For Example 6
example, the use of periodic surveys.
Suggested reading 1 and 5
■ Does the leadership style support and incentivise the desired behaviours and culture?
■ Has the governance framework been developed in consideration of behavioural and cultural characteristics of all organisations involved, including jointly owned projects?
■ Is there training in place to reinforce the behaviours and culture expected?
■ Do project team members feel safe to challenge or to share their concerns? Are whistle blowing policies in place?
■ Is constructive challenge encouraged? For example, modifying existing processes or coming up with innovative ideas to improve efficiency and effectiveness.
■ Is there an accessible grievance mechanism to report concerns and complaints related to inappropriate behaviours and culture for all stakeholders including the project team? How is
this process managed and overseen?

Considerations:
Pillar 3 Maintaining alignment with corporate strategy
Considerations What may help

Alignment of policy, legislation, strategy and priorities Requirements

■ Is the overall regulatory framework conducive to good governance of the project? Is there coordination between regulatory bodies and are the roles of regulators aligned with the Rq
approvals process? 01

■ Does the governance framework describe how to assess how well the project’s outcomes and benefits align with policy, strategy, standards, legislation and other projects in the Sponsor’s requirements
investment portfolio? Particularly where there is shared benefit or interdependencies with other organisations or projects.
Examples 2 and 3
■ Does the governance framework ensure that mandatory requirements or expectations are considered early to avoid potentially costly changes later in the project? For example,
adoption of modern methods of construction like off-site manufacturing. Suggested reading 1 and 6
■ Is it clear who owns the risk from change in policy and legislation? Is this documented?
■ Does the wider investment portfolio depend on this project? Does the governance framework reflect this?

Alignment and integration of organisations Requirements Organisational

Design &
Development

■ Does the governance framework explain whether the project can be delivered within the existing corporate governance framework (for example standing orders/company Rq OD
incorporation)? What changes or exceptions to corporate governance does the project need for it to be delivered effectively and efficiently? 01 04

■ Is there a documented process for assessing and maintaining alignment with stakeholder interests (particularly where there are significant economic, environmental and social risks or Terms of reference for decision
shared benefits)? For example, is there a stakeholder engagement plan for the whole life of the project and also post-completion, if appropriate? Does this include procedures for when bodies, including role descriptions
stakeholder interests do not align? and stakeholder map and
engagement plan
■ Are stakeholders and industry partners considered in the governance framework? For example, engaged in joint boards.
■ Is it clear whether you are delivering a single project, a number of projects or a programme? Examples 2 and 3
■ If your project is part of a programme or portfolio, or your programme is part of a portfolio, are the governance arrangements fully aligned?

Alignment of funders’ requirements Funding arrangements and

integrated assurance and approval
■ Are funders appropriately recognised in the governance framework, including where there are multiple funders? plan
■ How will compliance with the funders’ economic, environmental and social requirements be ensured?
Example 1
■ Have funders’ (and other key stakeholders) internal governance arrangements been recognised within the project’s governance? Have appropriate modifications been agreed to ensure
efficient decision-making and approvals in order to meet the project’s schedule?

Considerations:
Pillar 4 Reporting effectively and embedding assurance
Considerations What may help

Reporting Risk
Management

■ Does the reporting process provide appropriate information to the right governance forums to enable timely and effective decision-making? Are these reporting requirements RM
documented? 06

■ Does the reporting provide both leading and lagging indicators of performance? Integrated assurance and approval
■ Is there a requirement for reporting to be punctual, factual and evidenced-based? plan and RACI matrix
■ Is there an efficient system to collect relevant financial and non-financial data and metrics? Examples 7 and 10
■ Is reporting fed from master data (controlled and auditable) that is not contradicted by other sources?
Suggested reading 1 and 3
■ Is the accuracy of reporting information assured?
■ Do reporting tools effectively minimise manual data entry and re-entry in the reporting process?
■ Is the reporting hierarchy between projects, programmes and portfolios clear and documented? Does this take into account any co-ownership of the project?
■ Does routine reporting include the extent, nature and any changes in risk profile? Including wider economic, environmental and social risks.
■ Are there any ongoing reporting requirements that need to continue after delivery of the project has completed? For example, for benefits realisation, environmental and social risks or
risks to project affected communities.
■ Are there clear and appropriate protocols to engage with and collect data from project affected communities?
■ Is there a system to respond to project information requests from the public and to manage personal information?

Considerations:
Pillar 4 Reporting effectively and embedding assurance
Considerations What may help

Transparency Organisational
Design &
Development
Risk
Management

■ Does the governance framework describe requirements for transparency of how, when and by whom decisions are made? OD 04
RM 06
■ Does the governance framework have procedures that identify and address personal bias and conflicts of interest? Including a requirement to declare any actual or perceived conflicts
of interest. Project delivery plan and corporate
■ Does the governance framework describe assurance and record keeping requirements for information upon which decisions are made? Are there clear requirements for keeping charters or codes of conduct
sensitive information confidential? For example, the Data Protection Act. Suggested reading 5 and 6
■ Is there an ethics and bribery policy? Has this been consulted upon and discussed with all parties? Is there evidence of effective and rigorous policing in place?
■ Is there a workers’ rights and non-discrimination and harassment policy? Has this been consulted upon and discussed with all parties? Is there evidence of effective and rigorous
policing in place?
■ Are there measures to maximise diversity and inclusion in the project?
■ Are there transparent mechanisms in place for project related disclosure, communication and grievances, including with project affected communities? Are these mechanisms
accessible to all stakeholders? For example, in all relevant languages.
■ Are there grievance and redressal processes for both workers and project affected communities, which allow anonymous reporting? Are responsibilities defined to address these
grievances?

Assurance Risk
Management

■ Do assurance activities balance the depth, breadth and rigour of assurance with the strategic importance and complexity of the project? RM 06
■ Is there an approved integrated assurance and approvals plan?
■ Is it clear how the assurance approach will be reviewed so that it remains fit for purpose during the various stages of the project’s delivery? Is this documented? Integrated assurance and approvals
■ Is there a process ensuring that continual risk mitigation remains appropriate and assured? plan and scheme of delegation
(delegated authorities)
■ Does the assurance process include an appropriate mix of assurance types based upon an understanding of the level of risk? For example, health checks, deep dives, gateways and
embedded assurance. Examples 7, 8 and 9
■ Are there trigger conditions identified that lead to further investigation, support or intervention from the sponsor or others? Suggested reading 6 and 7
■ Do planned assurance activities include effective and independent expert challenge? Do they include externally required assurance and approval requirements?
■ Is the assurance process proactive, pre-emptive and does it drive the right behaviour? For example, undertaking a readiness review before commencing a major activity.
■ Are the findings and recommendations of assurance activities openly discussed and considered within the appropriate governance forums?
■ How are the outcomes of the assurance process being managed to ensure improvements are implemented on a timely basis?
■ Is there a technical assurance process that covers the physical and digital delivery to ensure technical quality, coherence and interoperability at each delivery stage?

Good practice examples

Good practice examples Pillar

Pillar 2: Pillar 3: Pillar 4: Reporting

It is important to assess how applicable each example is to your specific project, and tailor it as appropriate. This table shows which of the four Pillar 1: Allocating
Empowering Maintaining effectively and
and exercising
pillars of good practice are characterised by each example. accountability
decision-making alignment
with corporate
embedding
assurance
strategy

1 2 3 4

Example 1
Understanding the implications of delivery decisions

Example 2
Aligning project and existing corporate governance arrangements (Part 1)

Example 3
Aligning project and existing corporate governance arrangements (Part 2)

Example 4
Projects delivering through multiple organisations

Example 5
Governance through a project life cycle

Example 6
Using alliancing in delivery: An Anglian Water case study

Example 7
Transitioning authority from corporate to project governance

Example 8
Transitioning from corporate to project governance: A Crossrail case study

Example 9
Three lines of defence approach to assurance

Example 10
Using digital data on projects

Good practice examples

Example 1
Understanding the implications of delivery decisions
This example demonstrates the thought process
required when aligning project governance Target operating model Delivery model Client model Procurement model
Accountability: Accountability: Accountability: Accountability:
arrangements with the wider corporate governance Sponsor/Asset manager Sponsor/Funder Client Client
arrangements (sometimes referred to as institutional
frameworks).
The target operating model should be the first The next consideration is what is the optimum delivery For the selected delivery model, what is the optimum For the selected client model, what is the optimum
consideration: model (financing/commercial/legal structure) for client model for delivery? procurement model to engage, align and incentivise the
The example shows the iterative nature of delivery: supply chain?
How will the asset be used? What is the client capability to deliver?
dependencies, from one decision to the next. ill ownership need to be transferred in the future? For
W What is the optimum risk allocation?
Who will ultimately own, operate, maintain the asset? W
hat are the critical client responsibilities that cannot
example, sale of the completed asset
be outsourced? For example, to a delivery partner or Market capability to deliver?
It recognises the implications and constraints placed How will it be funded?
What level of control/influence is required? other supplier.
Packaging considerations?
on the design of the delivery model, by the target H
ow will the risks relating to the political,
W
hat structure provides the best governance A
re there recruitment and retention issue. For example,
social, technological, legal and environmental aspects Timing of contractor involvement?
operating model. of the model be balanced?
environment and powers? pay constraints or career limitations?

Such decisions determine which elements are best

This includes the design of the optimal financing and delivered by the public sector, private sector or shared –
legal structure. therefore determining the most ideal delivery model. Contracting options Procurement options

Existing delivery body, for example department, In-house Cost reimbursement Design and build
It also shows how the design of the delivery model Public ownership
agency or local authority
influences decisions on the client model, which in turn
has implications for the choice of procurement model Ownership Regulated asset Management contract Traditional
Regulated or licensed provider Mixed with outsourced delivery partner
and contracting strategy. Operation
Maintenance Concession Target price with Construction
incentives management
Funding
New delivery body such as a new agency, government Outsourced
Private ownership owned company or trading fund Fixed price Management
contracting

The target operating model refers to how the asset or The delivery model is the form of structural and The client model refers to how the client structures It is important to be conscious of risk when transferring
change will be funded, owned, operated and maintained commercial arrangements to be deployed to meet the and resources the project. The model will set out how responsibilities to the market. See also Procurement
once the project has closed. These decisions will sponsor’s requirements. The selected model should be delivery, transition and operational activities will be module for further support on procurement models.
influence which delivery model is most appropriate. the best option from those available, taking into account split between the client, advisors/partners and supply
the capabilities and constraints of the project. For chain (in-house versus external) to ensure a successful
Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting example, the creation of an arm’s-length body like High outcome and realisation of the sponsor’s goals.
and exercising Empowering Maintaining effectively and Speed 2 or the formation of a special purpose vehicle as
accountability decision-making alignment embedding has been used to deliver Thames Tideway Tunnel.
with corporate assurance
strategy
1 2 3 4

Good practice examples

Example 2
Aligning project and existing corporate governance arrangements (Part 1)
The examples on this page show the different ways in
which the project governance can be aligned to the Example 1: Example 2: Example 3: Example 4:
existing corporate governance arrangements. Corporate governance arrangements are Corporate governance arrangements are Corporate governance arrangements are There are multiple sponsoring organisations,
sufficient to host the project in a way that it insufficient to host the project in a way that insufficient to host the project in a way that it with no single organisation having sufficient
The module considerations list a series of questions can be delivered within the risk appetite of the it can be delivered within the powers and risk can be delivered within the risk appetite of the corporate governance arrangements to host
that can be used to design or test if existing organisation. appetite of the organisation; however, it is organisation, and it is not possible to change the project within their risk appetite. The
possible to change the corporate governance the corporate governance arrangements. sponsoring organisations will need to create
governance is likely to support the successful delivery arrangements. A special purpose vehicle will need to be a collaboration or joint venture to host the
of the project objectives. established to deliver the project outside of the project jointly on their behalf.
organisation.
If the answers to these questions indicate that
governance needs to improve, these examples might
be a useful starting point to understand the approach

Corporate governance

Corporate governance
that will work best for your project. The examples may

Corporate governance configured for project delivery

Government department agency or Government department agency or Government department agency or Government Government
corporate board corporate board corporate board department agency department agency
need to be modified to meet the specific needs of your or corporate board or corporate board

Corporate governance
project. Established
authorities Delegation of authority Delegation of authority Delegation of authority

Sponsor Sponsor Sponsor

Project specific governance

Sponsor

Project specific
governance
Established
Delegation of authority Contract
authorities

Project specific
governance
Client (established function Client (new function or team Client (SPV SPV Client
in organisation) established in organisation) delivery consortium
organisation) members

Contract
Contract Contract Contract

Market: agencies/industry partners/ Market: agencies/industry partners/ Market: agencies/industry partners/ Market: agencies/industry partners/
contractors contractors contractors contractors

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

and exercising Empowering Maintaining effectively and
accountability decision-making alignment embedding
with corporate assurance Sponsoring organisation possesses Sponsoring organisation creates Sponsoring organisation contracts Multiple sponsoring organisations
strategy integrated delivery capability. internal capability for a specific for delivery. (collaboration/joint ventures).
1 2 3 4 project.

Good practice examples

Example 3
Aligning project and existing corporate governance arrangements (Part 2)
This flow diagram is another way to assess an existing or Start
proposed governance system. It looks at the relationship
between corporate governance and risk capacity, to inform
your choice of project governance arrangements.

It looks at the relationship between corporate governance

and risk capacity, to inform your choice of project Are the risks to the department/ Are the risks shared with
governance arrangements. corporate objectives, arising Yes other sponsors? No
from the commitment to the
project, understood?
It is not definitive, but it does help signpost which of the
four template models on the previous page might suit a
No Yes
particular project.
Are the multiple sponsors Does the existing corporate Does the existing organisation
prepared to allow a single governance have the capacity have or wish to develop the
organisation to govern the Yes to allocate the project risk? No skills and capabilities No
project and is that organisation necessary to manage the
prepared to do so? project risk?
No Yes Yes

Establish a delivery vehicle and Execute the project within Supplement the existing Establish a delivery vehicle and
align its governance with the existing governance. Normally corporate governance with align its governance with the
combined risk allocated to it. reserved for existing project specific governance. risk allocated to it.
infrastructure client.

Example 4 Example 1 Example 2 Example 3

Keep the governance under

review, testing it to ensure it
remains appropriate as the
project progresses
Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting
and exercising Empowering Maintaining effectively and
accountability decision-making alignment embedding
with corporate assurance Stop Continue
strategy
1 2 3 4

Good practice examples

Example 4
Projects delivering through multiple organisations
The example shows the relationships between the sponsor, client, market and asset manager roles for some well-known UK projects, programmes and portfolios:

Sponsor Client Market Asset manager Description

Crossrail Jointly sponsored by Department for Crossrail Ltd Private sector organisations Network Rail (a government owned arm’s length body), London The Elizabeth line (Crossrail) will stretch more than 60 miles
Transport (government department) and (a wholly owned subsidiary of Transport Underground Ltd and Rail for London Ltd (Transport for London from Reading and Heathrow in the west through central tunnels
Transport for London (a local government for London) subsidiaries) – for different parts of the line. across to Shenfield and Abbey Wood in the east.
organisation responsible for most aspects of
The Crossrail service is operated by Rail for London Ltd via a
London’s transport system)
concession let to MTR Corporation (Crossrail) Ltd.

London Olympics Department for Culture, Media and Sport Olympic Delivery Authority (ODA) (non- CLM, a consortium of CH2M Hill, Laing O’Rourke London Legacy Development Corporation (a mayoral development The London 2012 Games were centred around the Olympic Park
– Venues and (government department) departmental public body of Department and Mace appointed as delivery partner by the ODA. corporation) is responsible for the future development of the Olympic in east London, which is the site of a number of new sports
for Culture, Media and Sport established Many organisations in the supply chain. Park. venues. Up to 180,000 spectators a day entered the Park to
Infrastructure Greater London Authority
in 2006 by an Act of Parliament) enjoy the Games, making it the principal focus of Olympic
activity.

Highways England Department for Transport Highways England Private sector organisations Highways England 5-year funding settlement which allows Highways England
- 5 Year Roads (non-departmental public body, and its supply chain to plan their work efficiently and provided
established by statute, in the form of a the confidence needed for them both to invest in people and
Investment
government owned company) equipment.
Strategy

High Speed 2 Department for Transport High Speed 2 Ltd Private sector organisations The High Speed 2 line will be operated by the West Coast operator, High Speed 2 is a major programme to deliver a new high speed
(non-departmental public body, currently the West Coast Partnership. rail network across the UK. It comprises multiple phases (1, 2a
sponsored by the Department for and 2b), with a new railway running from London, Birmingham,
Transport) Manchester and Leeds, including construction of new stations
and refurbishment of existing assets.

Thames Department for Environment, Food and Environment Agency (non-departmental Jacobs and Balfour Beatty (private sector Environment Agency Climate change, an ageing asset base and population growth
Estuary Asset Rural Affairs (government department) public body, sponsored by the organisations) contracted partners to provide mean that tidal flood risk is increasing, the TEAM2100
Department for Environment, Food and programme management, engineering and programme aims to protect 1.3 million people and £275 billion
Management
Rural Affairs) construction services. Other organisations in the worth of property and infrastructure from this increasing risk.
2100 (TEAM 2100) wider supply chain.
Programme

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

and exercising Empowering Maintaining effectively and In UK public sector terms, the sponsor is nearly always the relevant government department (except for a small number of cases where a separate
accountability decision-making alignment
with corporate
embedding
assurance
standalone body is set up to take on the sponsor role).
strategy
1 2 3 4

Good practice examples

Corporate governance Project governance Corporate governance
Example 5
Governance through a project life cycle
Realisation
This “V Diagram” shows a project in both a time dimension (left to right) and Policy/
of policy/
Strategy
an organisational dimension (top to bottom). strategy

Department/Corporate
It illustrates how the governance system provides the thread that runs

Governance - accountability, decision-making, aligning, reporting and assuring.

(Asset manager)
Prioritised Assurance
through both dimensions, ensuring that the outcomes remain consistent investment Benefits
with the original objectives and that benefits are not eroded through portfolio
inefficient or ineffective decision-making.

The diagram is useful as it helps define the primary responsibilities of the Project
objectives
parties involved and at which point in the decision-making they are most
active. It can be used during initiation activities to facilitate discussions
Target
between the parties regarding accountabilities, authority, alignment, operating
Business Delivery Project outcomes
case model (operational capability)
disclosure and management of risk. model

Sponsor
Sponsor’s Assurance
Project outputs
requirements

Delivery plan

Client
Scope Procurement Systems Commercial
Client model
definition model integration integration

Delivery strategy

Contract
Contract
outputs
(Supply chain)

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

Market

and exercising Empowering Maintaining effectively and

accountability decision-making alignment embedding
with corporate assurance Build works/
strategy deliver
1 2 3 4 service

Good practice examples

Example 6
Using alliancing in delivery: An Anglian Water case study
One of the most effective ways to deliver outcomes is to create contracting
environments that promote collaboration and reduce waste (Suggested Reading 8).
This example shows how an alliancing model was used to create an integrated team Sweco
Skanska
with aligned cultures, values and behaviours that facilitated a focus on delivery of
outcomes and benefits. MWH
Treatment Supply chain
Anglian Water delivers capital investment through five-year Asset Management
Periods using an alliance of partners, incentivised through outperformance and MMB
sharing best practice. In addition to harnessing the areas of specialism required
(such as digital transformation, health and safety or inclusion), the alignment
of partner culture, values and behaviours was an important part of the partner
selection process. Barhale
Tier 1 Partners
This mix of common values and areas of individual specialism contributed to the
alliance model where each partner was able to both offer and learn simultaneously, Balfour
working to deliver a common goal with which everyone was in agreement. This Beatty
model extended into the lower tiers of the supply chain through long-term Customers
frameworks, transparency of pricing and early engagement. An environment has
now been created where 80% of work is completed by framework or contracted
suppliers, all sharing the same values. Alliance collaborative leadership structure

This streamlined way of working has enabled @one Alliance to consistently Anglian Water
outperform against its targets since its inception in 2004, meaning greater value Alliances Client
Alliance Board
and less disruption for customers. There have also been industry-leading carbon governance
reduction savings against challenging targets, which support Anglian’s journey to
reach net zero carbon by 2030. Partner Alliance Senior
Management Leadership Team

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

and exercising Empowering Maintaining effectively and
accountability decision-making alignment embedding
with corporate assurance
strategy
Shared services Delivery teams Support teams
1 2 3 4

Good practice examples

Example 7
Transitioning authority from corporate to project governance
This example describes how trust and confidence can be Lever to increase authority Implications
built to enable a transition of authority from corporate
governance to project-specific governance. Demonstrate increased capability of the project team n H
ow long will it take to build the required capabilities?
n identify the capabilities required by the project n W
hat evidence or assurance does the corporate body require of the increased
Regardless of delivery model, projects are most successful n build capabilities capability levels?
when the levels of delegation mean that lasting decisions are n a
ssess and provide evidence of the increased capability, for example through key
made efficiently and effectively. performance indicators or assurance

Existing corporate or departmental governance often Increase the degree of assurance n W

ill increased assurance place an increased load on project leaders and slow
direct the first stages of a project. When considering the n thoroughness of assurance down the project?
delivery model options, you may decide that project-specific n frequency of assurance n W
ill there be sufficient time to close out actions between assurance reviews?
governance is appropriate. This decision creates a transition n choice of assurers n W
ill expert assurers simply add another expert ‘opinion’ to cloud judgements?
type of assurance (non-evidence based, evidence based, verified) n H
ow will the degree of assurance vary depending on risk and performance?
point from corporate to project governance. n

There are a number of levers for optimising the degree of Introduce more decision ‘gates’ for formal approval through corporate n I s the approval process efficient enough to increase the number of approval
delegation, to improve confidence and build trust. You can governance points without slowing down the project?
apply these together, in part or mix and match those relevant design fix n W
hat’s the cost and time commitment required to prepare for each approval
n budget fix n
to your project. n procurement decisions n drawdown of risk/contingency point?
n scope fix
Increase degree of reporting n What’s the increased cost of reporting?
n c
overage/transparency, reporting on decisions that have been taken using n C
an reporting content be sufficiently contextual to avoid misinterpretation?
delegated authority n Will increased reporting slow down the project?
n frequency of reporting progress on deliverables and milestones n Will a wider pool of reviewers cloud judgements?
n increase the number of stakeholders who receive reporting deliverables

Seek conditional authority n With whom and how to check the conditions are being met?
n timescale to close out issues/concerns
n s etting tolerance (for time, cost, risk, quality, scope, benefits) within which the
Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting
project must remain to have continued authority
and exercising Empowering Maintaining effectively and n d raw-down of contingency is distinct from draw-down of approved budget
accountability decision-making alignment embedding
with corporate assurance
strategy Seek increased authority stage by stage n Are
there clear expectations on what is needed for the project to proceed?
1 2 3 4 n p
ropose that authority limits are increased on a stage-by-stage basis, subject to n What will inspire confidence?
passing each gate on time

Good practice examples

Example 8
Transitioning from corporate to project governance: A Crossrail case study
Example 7 describes various levers which can be applied to build
confidence and trust. This example describes how Crossrail Ltd
applied them in practise. Step 1 Step 2 Step 3 Step 4
For Crossrail, the transition to project governance required the
Timing Jul 2008 2008 Sep 2009 – Mar 2010 Apr 2010
sponsors (Department for Transport and Transport for London)
to yield a degree of control to the project delivery company,
Crossrail Ltd. From the sponsors’ perspective, this required
trusting an unproven team, unproven client model and a new Step Royal assent for the Crossrail Signing of the core project Various assurance activities to Final withdrawal point for
governance framework. While not described as such at the time, Bill. documents (Project delivery provide confidence in detailed the sponsors. Crossrail Ltd
the sponsors agreed with Crossrail Ltd an enhancement plan in agreement, Sponsors’ cost estimates, programme granted full operational
which Crossrail Ltd entered into an incremental process to give agreement and Network Rail schedule and the development powers including tendering
the sponsors confidence that the governance transition could protocol). of Crossrail Ltd’s programme contracts and managing
take place. management processes. contingency.

That process was designed to:

Governance Parliament grants the powers These documents established The sponsors concluded that Authorities granted with
■ provide evidence of organisational capability evolution required by government to the roles and responsibilities planning was well advanced, conditions for Crossrail
■ demonstrate increased confidence in the forecast project build Crossrail. of the sponsors and delivery and provided Crossrail Ltd Ltd to fulfil to strengthen
outcomes bodies. with clear direction on how programme controls. These
to improve its programme conditions were all met in
■ agree the basis for intervention should Crossrail Ltd fail
management processes to 2011.
■ establish appropriate sponsor oversight meet the requirements for
Step 4.

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

and exercising Empowering Maintaining effectively and
accountability decision-making alignment embedding
with corporate assurance
strategy
1 2 3 4

Good practice examples

Example 9
Three lines of defence approach to assurance
The purpose of assurance is to provide, through a systematic set
of actions, confidence to senior leaders and stakeholders that Governing bodies
work is controlled and supports safe and successful delivery of
policy, strategy and objectives.
Senior management
Organisations should have a defined and established approach
to project delivery assurance, which should be applied
proportionately to the risk and value of the activity, and which is
integrated with the organisation’s overall assurance framework. 1st Line of Defence 2nd Line of Defence 3rd Line of Defence
Concept Concept Concept
Typically, assurance should be on at least three separate and
By, or on behalf of operational management By, or on behalf of senior management, By independent audit, or other impartial
defined levels, as shown in this example. These levels are often independent
that own and manage risk to ensure Application on aof operational management
project body, to provide senior management with
referred to as the three lines of defence (Suggested Reading 6). appropriate standards are being used to ensure
Project teamfirst level offor
responsible assurance isof
the delivery properly
the an objective opinion on the effectiveness of
designed,
project’ in place,
s objectives. and
They operating
make as intended
the day-to-day governance, risk management, and internal
management decisions on behalf of the project. controls, including the effectiveness of the
n Deliver assets, products or services first and second levels
n Identify, assess, own and manage risks and
opportunities
Examples of application on a project: Examples ofand
n Implement application on a project:
maintain effective internal control Examples of application on a project:
n a
n inspection of works carried out as
measures
n t he design authority checks the management n a
n appointed challenge group or body
required by the management procedures S
upervise delivery
n procedures haveand monitor
been adherence within the
applied reviews the outcome and processes applied
project team
n s
egregation of duties when ordering and n a
functional review of the procurement n a
n independent panel reviews the adequacy
n Implement corrective actions to address
paying for services strategy to confirm it has followed all process
deficiencies
of the 1st and 2nd levels of defence, as well
and procedures and responded to market as scrutinising critical areas of the project.
place feedback For example, the IPA conducts reviews of
government’s most complex and high risk
projects.

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

and exercising Empowering Maintaining effectively and
accountability decision-making alignment
with corporate
embedding
assurance
Independence from management
strategy
1 2 3 4
Responsibility for delivery management

Good practice examples

Example 10
Using digital data on projects
Digital delivery throughout the project life cycle needs robust governance to ensure that there is
appropriate use of data, information and knowledge. This model adapted from the Cambridge Centre
for Smart Infrastructure (Suggested Reading 10) shows the flow of data through system interfaces to

ng
enable interventions and timely decision-making.

aki
Rule-based

-m
automation
At the base of the model, various sources create large volumes of raw data, such as hardware,

ion
enterprise software, social media and unstructured documents. As data flows through the value

cis
Improved
Decision
chain, refinement occurs as this data is fed into systems and tools, creating information that

De
support
Machine decisions
learning
facilitates interpretation. At each stage assurance is required to ensure the data remains accurate. tools
Finally, only the most valuable data remains, converted into information about the present state of
Optimisation
project delivery, facilitating effective decision-making. algorithms

Project setup is a good opportunity to reflect on whether existing behaviours and working practices Decreasing data
will enable high quality data collection, storage and processing, to support proactive management volume, increasing
data value
and control of project delivery. This should involve the asset manager from the outset to ensure that
data requirements are effectively defined, and information is properly handed over upon completion

g
kin

Learning
of the project. Improved

ma
Big data Data intelligence
Modelling Analytics

nse
Digital capability extends beyond IT proficiency and data literacy. You should think about the analysis mining

Se
capabilities and understanding of the project team, as well as the accessibility needs of key
stakeholders and project affected communities. The most effective organisations will reuse data,
capturing cost, time, benefits and risk benchmarking information to inform future investments.

t
en
em
Data Data Data

ag
cleaning structure storage

anm
Assets Customers Costs Activities

ta
Da
Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting
and exercising Empowering Maintaining effectively and
accountability decision-making alignment embedding
with corporate assurance
strategy
1 2 3 4 SCADA
systems
Customer
billing
GPS Ticketing/
counting
Social
media
Sensors Drone
surveys
Laser
surveys
Satellite
imagery
GIS &
BIM
Manufacturer’s
data
CCTV Scanned
images
Control
systems

Assurance Delivery model

A general term for the confidence that can be derived from objective information over the successful The delivery model is the form of structural and commercial arrangements to be deployed to meet the
conduct of activities, the efficient and effective design and operation of internal control, compliance with sponsor’s requirements. The selected model should be the best option from those available, taking into
internal and external requirements, and the production of insightful and credible information to support account the capabilities and constraints of the project. For example, the creation of an arm’s-length
decision-making. body like High Speed 2 or the formation of a special purpose vehicle as has been used to deliver Thames
Tideway Tunnel.
Benefits
In the context of project delivery, benefit is the measurable value or other positive impact resulting from Delivery strategy
an outcome perceived as an advantage by one or more stakeholders, and which contributes towards one The delivery strategy describes how the selected delivery model will be implemented and how it will need
or more objectives. to change over time.

Capability Governance
In the context of Routemap, capability describes the ability of the sponsor, client, asset manager and Governance defines relationships and the distribution of rights and responsibilities among those who
market to organise for effective and efficient delivery. It refers to the capability of all or part of an work with and in the organisation. It determines the rules and procedures through which the organisation’s
organisation, and not that of the individual. objectives are set and provides the means of attaining those objectives and monitoring performance.

Glossary
Market Risk appetite
In the context of Routemap, the market comprises organisations which integrate and compete to deliver The nature and extent of risks that an organisation is willing to take.
goods or services to one or more clients. This includes
Risk tolerance
■ the players, for example, sellers/buyers/partner The threshold levels of risk exposure that, with appropriate approvals, can be exceeded, but which when
■ the rules, for example, regulation, legislation exceeded will trigger some form of response
■ processes, for example, procurement, delivery
■ structure, for example, relationships between buyers, sellers, partners Senior Responsible Owner (SRO)
Optimism bias All UK government projects will have a senior responsible owner. They are accountable to the sponsor
The demonstrated and systematic tendency to overemphasise positive benefits and opportunities and organisation for a programme or project meeting its objectives, delivering the projected outcomes and
undervalue the costs and negative risks of projects. This bias should be quantified when developing cost realising the required benefits. The senior responsible owner is the owner of the business case and
plans and schedules. accountable for all aspects of governance. The senior responsible owner of a government major project is
ultimately accountable to Parliament.
Outcomes
The result of change, normally affecting real-world behaviour or circumstances. Outcomes are desired Sponsor
when a change is conceived. Outcomes are achieved as a result of the activities undertaken to effect the In the context of Routemap, the sponsor is an organisation that secures the funding, oversees the
change; they are the manifestation of part or all of the new state conceived in the target operating model. business case and is responsible for specifying the requirements to the client. In some contexts, the
sponsor and client could be the same organisations.
Outputs
A specialist product (the tangible or intangible artefact) that is produced, constructed or created as a Stakeholders
result of a planned activity and handed over to users. Any individual, group or organisation that can affect or be affected by, or perceive itself to be affected by
an initiative (programme, project, activity or risk).
Requirements
Requirements are the project stakeholders’ wants and needs, clearly defined and with acceptance criteria. Target operating model
The target operating model refers to how the asset or change will be funded, owned, operated and
Risk maintained once the project has closed.
The effect of uncertainty on objectives. Risk is usually expressed in terms of causes, potential events, and
their consequences. Transition points
Points at which a project moves from one stage to another. For example, delivery to operations.
■ a cause is an element which alone or in combination has the potential to give rise to risk
■ an event is an occurrence or change of a set of circumstances and can be something that is expected
which does not happen or something that is not expected which does happen.
■ the consequences are the outcomes of an event affecting objectives, which can be certain or uncertain,
can have positive or negative direct or indirect effects on objectives, can be expressed qualitatively or
quantitatively.

Acknowledgements
The IPA would like to thank the following organisations and individuals that contributed time and expertise to the development of the Project Routemap.

Anglian Water Heathrow Airport Ltd Philip Wilbraham

Arup High Speed 2 PricewaterhouseCoopers (PwC)

Arnab Banerjee Mott MacDonald Routemap Ltd

Asset Management Consulting Ltd (AMCL) Highways England Sellafield Ltd

Association of Project Management Office of Government Property Systra Group

BAE Systems Imperial College Thames Water

Babcock International Council on Systems Engineering (INCOSE, UK) Transport for London

Becky Ivers International Project Management Association Turner & Townsend

Crossrail Major Projects Association University College London

Crossrail 2 Martin Buck University of Sussex

Crossrail International Martin Samphire Wendy Cartwright

Department for Transport Ministry of Defence

Cabinet Office HM Treasury

Correspondence team Correspondence team
70 Whitehall 1 Horse Guards Road
London London
SW1A 2AS SW1A 2HQ

publiccorrespondence@[Link] [Link]@[Link]
General enquiries: 020 7276 1234 General enquiries: 020 7270 5000

Produced by the Infrastructure and Projects Authority

You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government
Licence. To view this licence, visit [Link]/doc/open-government-licence/
or email: psi@[Link]

Where we have identified any third party copyright material you will need to obtain permission from the copyright holders concerned.
Alternative format versions of this report are available on request from ipa@[Link]

Common questions

The Routemap modules address common causes of project failure by incorporating lessons learned from both public and private sector projects. They provide guidance on aspects such as risk management, delivery strategy, and benefits realization. Each module reflects best practices that tackle frequent issues like inadequate stakeholder engagement, poor risk allocation, and unclear governance structures. By addressing these issues, the modules help in setting up projects for success from the outset, thus reducing the likelihood of project failure .

Routemap ensures stakeholder engagement throughout the project lifecycle by establishing clear processes for stakeholder identification and management. It suggests the development of a stakeholder engagement plan that includes continuous communication and feedback mechanisms. This ensures stakeholders are informed, consulted, and their needs and concerns are addressed in a timely manner. Engagement via joint boards and defined roles in governance frameworks further align stakeholder interests with project goals .

The Routemap provides a structured approach to managing economic, environmental, and social risks by emphasizing integration within the governance framework. It suggests comprehensive risk assessment and management strategies, with clear roles for monitoring and reporting progress. The emphasis is on aligning project goals with broader societal objectives, ensuring that projects are not only viable but also sustainable and socially responsible .

Aligning project governance frameworks with corporate strategy is vital because it ensures projects contribute to the overarching goals of the organization while maintaining compliance with regulatory requirements. This alignment facilitates coherence in investment decisions, supports strategic prioritization, and ensures resources are optimally utilized. Effective alignment is achieved by synchronizing policy, legislative requirements, and strategic priorities with project objectives, thereby avoiding costly changes and enhancing project delivery efficiency .

Governance is a critical element in the successful application of Routemap as it establishes clear roles, responsibilities, and accountability. The governance framework provides structure for decision-making and ensures that projects remain aligned with strategic objectives. It addresses issues like authority delegation, transparency in decision-making, and risk management, ensuring that all parties involved are informed and decisions are made efficiently. This comprehensive governance ensures projects are delivered on time, within budget, and to the required quality standards, thereby enhancing project success .

Not incorporating modern construction methods, such as off-site manufacturing, into project governance can result in costly changes, delays, and misalignment with policy and regulatory standards. The Routemap emphasizes early consideration of such methods to ensure project designs are conducive to modern practices. This proactive approach allows projects to benefit from efficiencies, reduce waste, and improve completion times, highlighting the importance of strategic planning and alignment of governance frameworks with contemporary construction techniques .

The Routemap supports the integration of digital and transformation projects into governance frameworks by providing a flexible set of principles applicable to diverse project types, including digital initiatives. It aligns with standards that support digital transformation, emphasizing cross-industry learning and strategic alignment. The Routemap enables projects to address typical governance concerns and align technological advancements with existing project capabilities and infrastructure .

Key considerations for implementing effective risk management using Routemap include defining clear roles, responsibilities, and reporting lines for risk management, as well as ensuring risk allocation between sponsors, clients, and asset managers is documented. The strategy should consider risk appetite and authority levels of involved parties. Integration with governance frameworks allows early identification and mitigation of risks, helping to balance project demands with potential challenges .

Routemap facilitates effective reporting and assurance by establishing comprehensive procedures for data collection, analysis, and dissemination. It emphasizes the need for punctual, factual, and evidence-based reporting, utilizing both leading and lagging indicators of performance. Systems are employed to enhance data accuracy and minimize manual entries, ensuring that stakeholders at all levels are well-informed for timely decision-making and project performance is consistently monitored .

The UK Routemap has been updated to align with international standards such as the United Nations Sustainable Development Goals and the Government Functional Standard for Project Delivery. This alignment helps ensure that the projects not only comply with international best practices but also reflect a comprehensive approach to sustainability, responsibility, and effectiveness. Such integration is crucial for project delivery success as it provides a robust framework that guides the development of infrastructure, ensuring projects are socially responsible and economically viable .

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UK Project Governance Routemap Guide

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UK Project Governance Routemap Guide

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Project Routemap

Setting up projects for success Interactive

Requirements Governance Systems Organisational Procurement Risk Asset Delivery

04 Introduction to the Routemap modules

Governance, and why it’s important

10 Pillars of effective governance

19 Good practice examples

30 Suggested further reading

Introduction: What are the Routemap modules?

Systems Systems Integration Asset Asset Management

Organisational Organisational Design & Delivery Delivery Planning

Introduction: How do you use the Routemap modules?

Introduction: How do the modules map to the project life cycle?

Cross-cutting themes projects can’t ignore

To help you navigate these themes, we

Governance, and why it’s important Governance

Why governance matters What are the key project documents?

Typical findings Primary module

Typical findings relating to Governance Relevant modules

Pillars of effective governance

12 Pillar 1 Allocating and exercising accountability

n to review and validate existing governance

n to target areas for improvement

Alignment and integration of organisations

Sponsorship Requirements Organisational

Requirements setting Requirements Asset

Delivery strategy Organisational

Benefits realisation Requirements Asset

Risk management strategy Risk

Types of authority RACI matrix, scheme of delegation

Decision-making bodies Business case (management),

Decision gates Integrated assurance and approval

Decision-making routes Risk

Alignment of policy, legislation, strategy and priorities Requirements

Alignment and integration of organisations Requirements Organisational

Alignment of funders’ requirements Funding arrangements and

Good practice examples

Pillar 2: Pillar 3: Pillar 4: Reporting

Good practice examples

Such decisions determine which elements are best

Good practice examples

Corporate governance configured for project delivery

Sponsor Sponsor Sponsor

Project specific governance

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

Good practice examples

It looks at the relationship between corporate governance

Example 4 Example 1 Example 2 Example 3

Keep the governance under

Good practice examples

Sponsor Client Market Asset manager Description

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

Good practice examples

Governance - accountability, decision-making, aligning, reporting and assuring.

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

and exercising Empowering Maintaining effectively and

Good practice examples

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

Good practice examples

Existing corporate or departmental governance often Increase the degree of assurance n W

Good practice examples

That process was designed to:

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

Good practice examples

Pillar 1: Allocating Pillar 2: Pillar 3: Pillar 4: Reporting

Good practice examples

Suggested further reading

Suggested further reading

Assurance Delivery model

Anglian Water Heathrow Airport Ltd Philip Wilbraham

Arup High Speed 2 PricewaterhouseCoopers (PwC)

Arnab Banerjee Mott MacDonald Routemap Ltd

Asset Management Consulting Ltd (AMCL) Highways England Sellafield Ltd

Association of Project Management Office of Government Property Systra Group

BAE Systems Imperial College Thames Water

Becky Ivers International Project Management Association Turner & Townsend

04 Introduction to the Routemap modules

30 Suggested further reading

n to review and validate existing governance

n to target areas for improvement