Public project assurance methodology
45 items
1 source
Improvements and rigor needed in public project assurance methodologies, including updated tools and reviewer training.
Cross-Source Insight
Public project assurance methodology has been flagged across 1 independent accountability source:
45 inquiry recs
This theme has been identified in one data source. As more data is added, cross-references may emerge.
Inquiry Recommendations (45)
ETI-1 — Public Inquiry Efficiency
Recommendation: Scottish Ministers should review public inquiries to find cost-effective methods of avoiding establishment delays, potentially creating a dedicated unit within the Scottish Courts and Tribunals Service and publishing updated guidance.
Gov response: The Scottish Government stated that guidance similar to that suggested is already in development for the efficient establishment of inquiries and has been shared with recent inquiries. Source: Transport Secretary Statement, 2 November 2023.
Accepted in Part
No update 2+ yrs
ETI-10 — Joint Working Group with COSLA
Recommendation: Scottish Ministers should establish a joint working group with Convention of Scottish Local Authorities representatives to leverage Transport Scotland's project management experience and expertise for light rail projects.
Gov response: The Scottish Government stated: 'Effective collaboration sits at the heart of this Government, and the recent Verity House agreement is a testament to our commitment to embrace that collaborative approach.' The Government committed to championing …
Accepted in Part
No update 2+ yrs
ETI-11 — Public Fund Protection
Recommendation: Scottish Ministers and local authorities funding light rail should protect public funds through: conditional grant payments with review hold points; critical review and approval of Business Cases and contracts; involvement in project delivery; and requiring local authority compliance with Transport …
Gov response: The Scottish Government stated: 'Effective collaboration sits at the heart of this Government, and the recent Verity House agreement is a testament to our commitment.' While responsibility for delivery remains with councils as project leads, …
Accepted in Part
No update 2+ yrs
ETI-12 — Record Keeping Requirements
Recommendation: For transparency, Scottish Ministers should maintain minutes documenting: discussions and decisions between Ministers and civil servants regarding publicly-funded project involvement; discussions with local authorities and contractors; and negotiations, including mediation discussions.
Gov response: The Scottish Government stated that 'robust and enhanced procedures regarding minute-taking and documentation management have also been embedded within the Government and the Civil Service.' Source: Transport Secretary Statement, 2 November 2023.
Accepted
Delivered
ETI-13 — Utility Diversion Planning
Recommendation: Light rail procurement strategies must adequately address utility location uncertainties, requiring route exposure and clearance well before construction, specifying elapsed time between clearance and commencement, considering route length and past UK experience.
Gov response: The Scottish Government stated it already operates in line with best practices for governance and light rail delivery. Source: Transport Secretary Statement, 2 November 2023.
Accepted
Delivered
ETI-14 — Utility Diversion Risk Management
Recommendation: While acknowledging utility diversion approaches, promoters should demonstrate adequate risk management proposals without prescriptive requirements regarding MUDFA versus bow wave methods.
Gov response: The Scottish Government stated it already operates in line with best practices for governance and light rail delivery. Source: Transport Secretary Statement, 2 November 2023.
Accepted
Delivered
ETI-15 — Qualified Project Management
Recommendation: Project promoters should appoint procurement and project managers with qualified, experienced permanent employees who have successfully delivered similar projects on time and within budget.
Gov response: Council Leader Cammy Day stated: 'We know that serious mistakes were made in the construction of the original tram line, which caused a great deal of disruption and concern for residents and businesses, as well …
Accepted
No update 2+ yrs
ETI-16 — Design Engagement Process
Recommendation: Following designer appointment, continuous engagement with promoters, owners, project managers, planning authorities, utility companies, and affected landowners should clarify design criteria, with local planning authorities producing detailed design guidelines beforehand and collaborative resolution of design issues throughout.
Gov response: Council Leader Cammy Day stated: 'We know that serious mistakes were made in the construction of the original tram line.' The Council broadly agrees with Lord Hardie's recommendations but notes improvements were already implemented for …
Accepted
No update 2+ yrs
ETI-17 — Governance Structure
Recommendation: The governance structure for the delivery of a major project such as a light rail scheme should follow published guidance and ensure clarity regarding the respective roles of various bodies and individuals. The chairman of the company responsible for procurement …
Gov response: Council Leader Cammy Day stated: 'We know that serious mistakes were made in the construction of the original tram line.' The Council broadly agrees with Lord Hardie's recommendations but notes improvements were already implemented for …
Accepted
No update 2+ yrs
ETI-18 — Effective Communication and Reporting
Recommendation: There should be effective communication and reporting at all stages of the project, including accurate progress reports to councillors and stakeholders, with clear escalation procedures for issues that may affect cost, programme or scope.
Gov response: Council Leader Cammy Day stated: 'We know that serious mistakes were made in the construction of the original tram line.' The Council broadly agrees with Lord Hardie's recommendations but notes improvements were already implemented for …
Accepted
No update 2+ yrs
ETI-19 — Collaborative Delivery
Recommendation: At all stages of the project there should be a collaborative approach to delivering it, including co-location of representatives from each organisation relevant to the particular stage, enabling issues to be addressed and resolved at the earliest opportunity, minimising risk …
Gov response: Council Leader Cammy Day stated: 'We know that serious mistakes were made in the construction of the original tram line.' The Council broadly agrees with Lord Hardie's recommendations but notes improvements were already implemented for …
Accepted
No update 2+ yrs
ETI-2 — Inquiry Independence
Recommendation: Scottish Ministers must not appoint any department, agency, or government organization as inquiry sponsor where it or its employees had involvement in the project under investigation.
Gov response: The Scottish Government stated that guidance similar to that suggested is already in development. Source: Transport Secretary Statement, 2 November 2023.
Accepted in Part
No update 2+ yrs
ETI-20 — Prohibition on Misleading Reports from ALEOs
Recommendation: The directors, employees and consultants of the company responsible for the procurement and delivery of the project as project managers, including an arm's-length external organisation (ALEO) wholly owned by the local authority that is the promoter and owner of the …
Gov response: Council Leader Cammy Day stated: 'We know that serious mistakes were made in the construction of the original tram line.' The Council broadly agrees with Lord Hardie's recommendations but notes improvements were already implemented for …
Accepted
No update 2+ yrs
ETI-21 — Duty of Officials to Councillors
Recommendation: Local authority officials should be mindful at all times of the distinction in roles between them and councillors, who are solely responsible for strategic decisions, and of their duty to provide accurate reports to councillors to enable them to take …
Gov response: Council Leader Cammy Day stated: 'We know that serious mistakes were made in the construction of the original tram line.' The Council broadly agrees with Lord Hardie's recommendations but notes improvements were already implemented for …
Accepted
No update 2+ yrs
ETI-22 — Civil Sanctions for Misleading Reports
Recommendation: Where a company, including an ALEO, knowingly submits a report or other information to local authority officials that is misleading by reason of the inclusion of false statements or the omission of relevant facts, or where such officials knowingly submit …
Gov response: The Scottish Government stated it is 'giving careful consideration' to recommendations about civil damages provisions and criminal statutory offences for misleading evidence. The Government noted that existing remedies may already exist under delictual liability and …
Response Unclear
ETI-23 — Criminal Sanctions for Misleading Information
Recommendation: In addition to civil liability from any sanction introduced in accordance with Recommendation 22, Scottish Ministers should consider whether there is need for a statutory criminal offence involving strict liability once it is established that information or reports were misleading …
Gov response: The Scottish Government stated it is 'giving careful consideration' to recommendations about civil damages provisions and criminal statutory offences for misleading evidence. The Government noted that existing remedies may already exist under delictual liability and …
Response Unclear
ETI-24 — Duty of Disclosure Legislation
Recommendation: Scottish Ministers should consider the need for legislation to impose a similar duty of disclosure to that owed by policyholders to their insurers upon a company, its directors, employees or consultants and upon a local authority and its officials towards …
Gov response: The Scottish Government stated it is 'giving careful consideration' to recommendations about provisions for misleading evidence. Source: Transport Secretary Statement, 2 November 2023.
Response Unclear
ETI-4 — Inquiry Cost Transparency
Recommendation: When reporting public inquiry costs, Scottish Ministers should disclose net costs to the public purse, excluding previously-incurred accommodation and staffing expenses, alongside total departmental account costs.
Gov response: The Scottish Government stated that guidance similar to that suggested is already in development. Source: Transport Secretary Statement, 2 November 2023.
Accepted in Part
No update 2+ yrs
ETI-5 — Business Case Timing
Recommendation: Where Business Cases assume pre-contract completion of design, approvals, or utility diversions, contract negotiations should await completion; otherwise, a revised Business Case reflecting actual conditions must be prepared before signing.
Gov response: The Scottish Government stated it already operates in line with best practices for governance and light rail delivery. Source: Transport Secretary Statement, 2 November 2023.
Accepted
Delivered
ETI-6 — Optimism Bias in Business Cases
Recommendation: All Business Case versions must include risk assessments accounting for optimism bias per published government guidance.
Gov response: The Scottish Government stated it already operates in line with best practices for governance and light rail delivery. Source: Transport Secretary Statement, 2 November 2023.
Accepted
Delivered
ETI-7 — External Peer Review
Recommendation: Each Business Case risk assessment should undergo peer review by external consultants experienced in large-scale transportation infrastructure, submitting reports sufficiently before contract signature.
Gov response: The Scottish Government stated it already operates in line with best practices for governance and light rail delivery. Source: Transport Secretary Statement, 2 November 2023.
Accepted
Delivered
ETI-8 — Update Optimism Bias Guidance
Recommendation: Optimism bias guidance, based on decades-old data, requires updating to include light rail projects and reflect current empirical evidence, with reviews every five years.
Gov response: The Scottish Government stated it already operates in line with best practices but will consider updating guidance. Source: Transport Secretary Statement, 2 November 2023.
Accepted in Part
No update 2+ yrs
ETI-9 — Risk Management Standards
Recommendation: Risk identification and management should be integral to major public-sector contracts, employing probabilistic forecasts, critical review of mitigation claims, constant governance challenge, early warning detection, and quality-focused evidence rather than process emphasis.
Gov response: The Scottish Government stated it already operates in line with best practices for governance and light rail delivery. Source: Transport Secretary Statement, 2 November 2023.
Accepted
Delivered
HIA-6 — HIA Redress Board
Recommendation: We consider the appropriate method of administering the compensation scheme is to create a specific Historic Institutional Abuse Redress Board for that purpose, and we so recommend. The HIA Redress Board should be responsible for receiving and processing applications for, …
Gov response: No formal government response published.
Accepted
Delivered
52 — Lambeth Council comprehensive action plan
Recommendation: Lambeth Council should develop and publish a comprehensive action plan which details the actions that it will take in response to the issues raised throughout the Inquiry's investigation report. The action plan should be developed and published within six months …
Gov response: On 15 December 2021, Lambeth Council published an action plan in response to the Inquiry's report, including timescales for planned actions.
Accepted
Delivered
IR2-14 — Arms Length Body Administration
Recommendation: I recommend that an Arms Length Body (ALB) should be set up to administer the compensation scheme, with guaranteed independence of judgement, chaired by a judge of High Court or Court of Session status as sole decision maker, transparent in …
Gov response: In line with recommendations 14 and 16 of the Second Interim Report, IBCA has been established to deliver the Infected Blood Compensation Scheme and financial compensation to victims of infected blood on a UK-wide basis. …
Accepted
Delivered
F286 — Impact assessments before structural change
Recommendation: Impact and risk assessments should be made public, and debated publicly, before a proposal for any major structural change to the healthcare system is accepted. Such assessments should cover at least the following issues: What is the precise issue or …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
RHI-1 — Policy Skills Assessment
Recommendation: A new policy at its earliest stage should be subject to a rigorous process to determine whether the Northern Ireland devolved administration has (or is prepared to assign) the necessary skills and resources to deliver the policy safely and competently. …
Gov response: [Note: The NI Executive responded to recommendations 1-4 together as a group under the 'Policy Development' theme.] NI Executive Response (October 2021): These recommendations can be accepted in full. Some elements are addressed in existing …
Accepted
No update 2+ yrs
RHI-10 — External Consultants Guidance
Recommendation: The Northern Ireland Civil Service should consider what changes are needed to its guidance and practices on the use of external consultants arising from the experience of RHI. Specific recommendations include: (a) that better assessments are needed at the outset …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
No update 2+ yrs
RHI-11 — Project Management Disciplines
Recommendation: Best practice project and risk management disciplines should be the default practice within the Northern Ireland Civil Service when developing novel and complex policies and managing their implementation. These disciplines can be widely applied and should not be confined only …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
Delivered
RHI-12 — Invest NI and SIB Collaboration
Recommendation: The leaders of the Northern Ireland Civil Service should work with Invest Northern Ireland and the Strategic Investment Board to consider how both organisations can better contribute their expertise to the work of mainstream Departments, particularly in relation to good …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
Delivered
RHI-13 — External Expertise on Project Boards
Recommendation: Project boards are an essential element of project management oversight and must include individuals who can challenge and who are not directly responsible for the day-to-day delivery of the project. Such boards, in appropriate circumstances, can benefit greatly from the …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
No update 2+ yrs
RHI-14 — Risk Tracking and Reporting
Recommendation: The risks involved in implementation of an initiative must be tracked, re-considered regularly and used to manage, improve and adjust the project in real time. How the risks are being acted upon should be reported to the Project Board and …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
Delivered
RHI-15 — Programme Boards for Sector Coordination
Recommendation: Co-ordination of groups of projects aiming to achieve change in a particular sector – e.g. renewable energy projects – would be stronger through use of high level Programme Boards. Such boards should meet regularly and receive reports of relevant experience …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
Delivered
RHI-16 — Third Party Governance
Recommendation: Where other government bodies, such as Ofgem, or contractors or other third parties are involved in the implementation of a project, the 'home' Department must retain overall control and overall project management. The governance arrangement between the Northern Ireland Department …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
Delivered
RHI-17 — Professional Development
Recommendation: The Northern Ireland Civil Service should take steps to draw on best practice from other jurisdictions to provide more support for professions within the civil service. The Inquiry specifically recommends: (a) the establishment of a project management profession with a …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
Delivered
RHI-19 — Business Case Approval Redesign
Recommendation: The processes within a Department for approving new expenditure and business cases including, where it forms part of that process, the role of Casework Committees, should be thoroughly re-designed to be more rigorous, testing and independent. Such processes should be …
Gov response: [Note: The NI Executive responded to recommendations 19-23, 29-33 together as a group under the 'Governance and Financial Controls' theme.] Accepted in full. Addressed through the major and fundamental Review of the Expenditure Approval and …
Accepted
Delivered
RHI-2 — Novel Policy Scrutiny
Recommendation: Novel, potentially volatile and untested initiatives should in future be scrutinised thoroughly, well ahead of ministerial and business case approval. The Inquiry commends processes such as a 'starting point Gateway assessment' and, at a suitable point, a 'feasibility signoff' completed …
Gov response: [Note: The NI Executive responded to recommendations 1-4 together as a group under the 'Policy Development' theme.] NI Executive Response (October 2021): These recommendations can be accepted in full. Some elements are addressed in existing …
Accepted
No update 2+ yrs
RHI-21 — Sceptical Business Case Scrutiny
Recommendation: The Department of Finance's distinctive role in scrutinising business cases should be searching and sceptical, guarding against over-reliance on the assurances offered by the applicant Department.
Gov response: [Note: The NI Executive responded to recommendations 19-23, 29-33 together as a group under the 'Governance and Financial Controls' theme.] Accepted in full. Addressed through the Review of the Expenditure Approval and Business Case Processes. …
Accepted
Delivered
RHI-22 — Proactive DoF Monitoring
Recommendation: Particularly where a policy initiative is demand-led, novel, complex and/or likely to be lengthy, consideration should be given to increasing Department of Finance involvement from an early stage and on an ongoing basis, including a more proactive role in monitoring …
Gov response: [Note: The NI Executive responded to recommendations 19-23, 29-33 together as a group under the 'Governance and Financial Controls' theme.] Accepted in full. DoF now applies non-standard conditions of approval for complex projects with tailored …
Accepted
Delivered
RHI-23 — Ministerial Notification of Approval Conditions
Recommendation: Ministers should always be advised of any conditions attached to the approval of a policy or project by the Department of Finance. The Department of Finance should also require, and be kept informed of, regular reviews to ensure compliance with …
Gov response: [Note: The NI Executive responded to recommendations 19-23, 29-33 together as a group under the 'Governance and Financial Controls' theme.] Accepted in full. As part of the Annual Assurance Statement, departments confirm that Ministers have …
Accepted
Delivered
SHI-10 — Uniform policy for obtaining technical advice
Recommendation: This issue was highlighted in the Grant Thornton report where similar recommendations are made to what is set out above. NHSL has taken steps to address the issue. However, it is not clear from the available evidence that any such …
Gov response: All 11 recommendations accepted by Cabinet Secretary Neil Gray MSP on 13 March 2025.
Accepted
No update 2+ yrs
SHI-5 — Streamlining NHS construction quality procedures
Recommendation: A range of procedures now exists to help ensure health board projects meet appropriate standards. One is the NHS Scotland Design Assessment Process ("NDAP"). There is also a Sustainable Design and Construction Procedure ("SDAC"). In addition, there is the NHS …
Gov response: All 11 recommendations accepted by Cabinet Secretary Neil Gray MSP on 13 March 2025. Progress update 17 September 2025 (GIQ S6W-40544): NHS Scotland Assure has implemented a Key Stage Assurance Review (KSAR) process; specifications of …
Accepted
In progress
SHI-6 — Information on common construction errors
Recommendation: It is important that common project errors are not repeated. One helpful step is to ensure health boards undertaking projects have information about such common errors, and that this information is clearly communicated to them. This would ensure that health …
Gov response: All 11 recommendations accepted by Cabinet Secretary Neil Gray MSP on 13 March 2025. Progress update 17 September 2025: NHS Scotland Assure is developing a framework of training and lessons learned that will be accessible …
Accepted
In progress
SHI-7 — Independent validation of hospital construction
Recommendation: It is clearly desirable that a health board has the assurance prior to the handover of a new or refurbished healthcare facility that the facility's specialised ventilation systems have been independently validated by an Authorising Engineer as fit for purpose …
Gov response: All 11 recommendations accepted by Cabinet Secretary Neil Gray MSP on 13 March 2025. Progress update 17 September 2025: For any future revenue-funded project
Accepted
In progress