Guidance

Assurance capability criteria

Published 23 February 2024

The criteria below defines what makes an effective digital and data assurance function in government. The criteria is split into four capability areas:

• assurance team
• assurance process maturity
• assurance outcomes
• track record of delivery

The criteria listed within each area are rated as:

• good
• better
• best

Your assurance function can be assessed against these criteria to evaluate its capability.

Depending on your capability, you may be able to apply for greater independence in your assurance of digital and data spend, as outlined in the earned autonomy policy.

Assurance team

Performance criteria	Good	Better	Best
Team Capacity	The organisation’s assurance function is adequately resourced to manage the pipeline, assure spending plans and assess digital services promptly	The assurance function is adequately resourced with the knowledge and skills to cope with the changing assurance landscape and processes, in order to respond to government needs in a timely manner	The assurance team has the people and resources to drive continuous improvement and contribute to changes in cross-government assurance
Digital and Data Specialists	There is a strong community of Digital and Data specialists who participate in spend assurance and service assessment processes	There is a strong community of Digital and Data specialists who participate in spend assurance and service assessment processes and there are Digital and Data specialists in the assurance team
Technical Design Authority	There is a Technical Design Authority that supports the organisation’s assurance function	The Technical Design Authority is an active participant of the organisation’s spend assurance processes
Cross-Government Community	The organisation attends cross-government assurance community events and keeps up to date with community best practice	The organisation’s assurance function actively supports the cross-government assurance community by sharing best practice across government

Assurance process maturity

Performance criteria	Good	Better	Best
Pipeline	Organisations have an established assurance function that maintains a pipeline view of current spend activity capturing all spend above the mandatory digital and technology spend control thresholds	The organisation has an established pipeline capturing all spend above the mandatory digital and technology spend control thresholds with a forward view of up to 12 months. Clear processes exist for managing cases and preventing spend from bypassing controls.	Regardless of spend amount, all digital delivery in the organisation is represented on the pipeline and is subject to assurance
Savings and Benefits	The organisation tracks financial savings delivered through its assurance capability	The organisation tracks financial savings and non-quantifiable benefits delivered through its assurance capability	The organisation tracks savings and both the social and economic benefits of the spend to determine its overall impact
Spend Conditions	The organisation tracks compliance with spend conditions and can demonstrate the resolution of the majority conditions within the agreed timelines	The organisation tracks compliance with spend conditions and can demonstrate the resolution of all conditions within the agreed timelines
Service Assessment Management	The organisation identifies services that need service assessments and can run internal assessments when needed. It shares all service assessment reports with CDDO.	The organisation identifies services that need service assessments and is able to run internal assessments when needed. It shares all service assessment reports with CDDO. Service assessments are carried out in good time and rarely postponed or cancelled.
Project Status	There are mechanisms and processes to enable the organisation’s and CDDO’s assurance teams to establish the current status of ongoing projects

Assurance outcomes

Performance criteria	Good	Better	Best
Meeting Standards	The organisation’s assurance function effectively identifies risks and challenges with products and services meeting the service standard, cross-government technology policy and guidance, strategic commitments, and value for money	On identifying risks and challenges to products and services, the team has escalation routes it can take to help delivery teams meet the standards and deliver value for money	The team is able to successfully mitigate risks and challenges independently so that standards, cross government policy and guidance, and strategic commitments are always met, and value for money, are consistently delivered
Service Assessment Outcomes	Service teams consistently resolve any ‘red’ action points applied at service assessments within the agreed period	Service teams consistently resolve any ‘red’ and ‘amber’ action points applied at service assessments within the agreed period	Services consistently meet all points of the Service Standard at assessments at all phases of delivery
Retrospective Spend	The organisation can demonstrate a clear process for identifying and eliminating retrospective spend	The organisation can demonstrate a clear track record of minimal retrospective spend	The organisation can demonstrate a clear track record of no retrospective spend
Duplication of Spend	The organisation can demonstrate a clear process for identifying and eliminating duplication of spend and delivery	The organisation actively captures and eliminates duplication of spend and delivery across all digital delivery projects
Strategic Commitments	Misalignment of spend activity to the cross-government digital and data strategic commitments are identified by the assurance team and resolved by the delivery teams

Track record of delivery

Performance criteria	Good	Better	Best
Working with Delivery Teams	The approvals process in your organisation is mapped out and clearly understood by delivery teams	The assurance process is embedded in the organisation’s delivery model	The organisation’s assurance function improves and innovates its processes to improve impact and reduce administrative burden on delivery teams
Service and Delivery Team Capacity	There is clear internal ownership in the organisation in the delivery of digital programmes and services	Service and delivery teams in the organisation have the capacity and capability to effectively deliver the organisation’s digital programmes and services
Performance Data	Performance data is monitored and captured for the organisation’s services		Performance data is monitored and captured for the organisation’s services. Data is aggregated into a single dashboard or management information view.
Government Involvement	Relevant digital programmes are listed on the the Government Major Projects Portfolio and spend approvals are sought from other functional controls and His Majesty’s Treasury as appropriate