Integrated Assurance, 17 May 2016, Mark Palmer, APM Assurance Specific Interest Group, Integrated Assurance - how to achieve it real organisations conference

1. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential
INTEGRATED ASSURANCE
APM Integrated Assurance SIG
Workshop presentation
Mark Palmer – Senior Programme Manager, Group Delivery Assurance, Group Change Management
17th May 2016

2. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 2
LLOYDS BANKING GROUP
Our brands, services and businesses cover every aspect of banking and finance
from some of the biggest names on the high street to our teams who serve niche
markets

3. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 3
LLOYDS BANKING GROUP
28.7m 6m 250
Customers across the 3 core
brands
Insurance customers Years of helping the people,
businesses and communities of
Britain.
18% £2.5bn 77
Average market share Of annual change budget Significant initiatives currently in
the portfolio
Some key statistics……

4. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 4
GROUP CHANGE
A “hub and scope” Group Change structure with Group Change Management (GCM)
at the heart
GROUP CHANGE MANAGEMENT
• Strategy, Planning, Cost Approvals
• Group Change Disciplines
• Delivery Capability
• Master Programme Office
• Group Delivery Assurance
Commercial
Banking
Insurance
Consumer
Finance
Group Digital
Group
Operations
Risk Division
Customer
Products &
Marketing
HRFinance Audit
Retail
Group IT

5. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 5
ASSURANCE FRAMEWORK
An assurance framework based on a traditional “three lines of defence” model
GCM Group Delivery Assurance
Divisional Portfolio Management
1st Line
Defence
2nd Line
Defence
3rd Line
Defence
Risk Division
Group Audit

6. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 6
ASSURANCE APPROACH
A four stage approach to ensure completeness of assurance activity, reporting,
recording and insight
Theme Assessment
& Scoring
Group Change
Portfolio
Independent Review
GCM Group Delivery
Assurance
Risk
Division
BUCF Audit
Change Delivery Teams
GCM Hub & Spokes
Change Delivery Teams
GCM Hub & Spokes
Divisional Change Teams
Change
Performance
Framework
1. SCOPE
3. EXECUTE
Delivery Assurance
Reports
4. IMPROVE
Group
Change
Disciplines
Group
Change Risk
Committee
Peer Review
2.
PLAN
Group Audit Reports
Peer Review Reports
Analysis and
Improvement
Opportunities
Post Implementation
Reviews
Independent Review
Schedule
Peer Review
Schedule
Assurance Review
Types
Group
Change
Policy

7. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 7
ASSURANCE GOVERNANCE
GCM Group Delivery Assurance work with all assurance providers to ensure that
review activity is planned & scheduled within defined governance
1st Line of
Defence
(Divisional)
This approach ensures:
• Appropriate portfolio coverage
• Co-ordination and scheduling of three lines of defence activity
• Transparency of review outcomes to support future assurance activity

8. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 8
ASSURANCE OFFERING
An Assurance provision that supports the Group’s Change governance hierarchy
and Project/Programme lifecycles
REVIEW TYPE
ASSURANCE
THEME
In-Flight
Project
In-Flight
Prog’me
In-Flight
Portfolio
Peer PIR Pre-
Implementation
Strategic Alignment & Business
Outcomes      
Financial Management     
Project Governance   
Project Management   
Stakeholder Engagement     
Group Change Approach    
Implementation  
Testing  
Programme Management 
Portfolio Management 

9. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 9
ASSURANCE APPROACH
A theme based Assurance approach to embed consistency and standardisation
across our Assurance activity as well as supporting our drive to embed a learning
culture
Group Change Approach
Lifecycle Artefacts
Requirements Management
Business Implementation & Readiness
Test Management & Control
Assurance Themes and Related Sub-Themes
Project Management
Project Control
Project Planning
Resourcing
Project Mobilisation
Leadership & Direction
Testing
Test Planning & Design
Test Environments & Data
Test Management & Control
Test Resourcing
Implementation
Implementation Planning
Implementation Management & Control
Post Implementation Support &
handover
Portfolio Management
Work Pipeline Management
Prioritisation & Benefits Management
Resource Management
Stakeholder Engagement
Stakeholder Mgt - Internal
Stakeholder Mgt - External
Stakeholder Mgt - Executive
Supplier Mgt - Internal
Supplier Mgt - External
Partner Mgt - Internal
Programme Management
Programme Planning & Controls
Leadership & Direction
Programme Structure & Governance
Programme Mobilisation & Resourcing
Project Governance
Project Structure
Project Governance
Financial Management
Business Case
Project Estimating
Project Finances
Financial Benefits Management
Strategic Alignment &
Business Outcomes
Colleague Impact
Customer Impact
Scope & TOM Design

10. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 10
CHANGE INSIGHT
Our Assurance activity supports Change insight through the recent introduction of
the Change Performance Framework, supporting our drive in embedding a learning
culture within Group Change.
Group Delivery
Assurance
Reports
Group Audit
Reports
Peer Review
Reports
Independent
Review
Schedule
Peer Review
Schedule
Assurance
Review Types
Post
Implementation
Reviews
Theme Assessment/
Scoring
Change
Performance
Framework
Group
Change
Disciplines
Group
Change Risk
Committee Analysis and
Improvement
Opportunities
All Assurance review outcomes are loaded onto the Change Performance
Framework (CPF) which has been developed within our core portfolio
management system. This records:
• overall RAG
• theme RAGs
• findings and recommendations
• best practices
• lessons learned
• agreed scores at sub-theme or theme level
As the CPF develops with more and more content, analysis and insight can be performed by a wider audience.
Group Delivery Assurance already use this insight to assist some programmes & projects mobilise better.
Work is currently underway to identify the information and associated tools that would be beneficial to Divisional
Change Teams in their own portfolio management activity.

11. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 11
MEASURING CHANGE EFFECTIVENESS
The adoption of standardised Assurance Themes and Sub Themes has allowed us to
implement a scoring system to measure our change effectiveness
Assurance Theme
Assessment Score
Rationale to Support Score
1
Poor standard. Minimal use of controls and processes in line with Group Change principles. Ineffective
performance.
2
Poor standard. Minimal use of controls and processes in line with Group Change principles. Some
corrective actions identified and progressed to improve.
3
Below expected standard. Some lack of control and processes in line with Group Change principles. A
reliance on individuals, performance lacking in some areas.
4
Slightly below expected standard. Some minor deviations in control and processes in line with Group
Change principles. Some minor impact on performance, corrective actions progressed to improve.
5
Expected standard. Acceptable standardised processes followed in line with Group Change principles.
Performance effective, delivering within tolerances, problems actively managed.
6
Slightly above expected standard. Actions being taken to improve controls and processes to a
standard greater than specified by the Group Change principles.
7
Above expected standard. Progress and achievement better than target with controls and processes
already at a standard greater than specified by the Group Change principles.
8
Above expected standard. Progress and achievements better than target, with actions being taken to
improve controls and processes specified by the Group Change principles to a best practice standard.
9
Best Practice. Project demonstrates innovative techniques, thought leadership and best practice.
Controls and processes specified by the Group Change principles are at a best practice standard.

12. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 12
MEASURING CHANGE EFFECTIVENESS
Scoring analysis allows us to identify and prioritise key areas of change improvement
• Applying scores to our key Change themes and sub themes for each review undertaken allows us to
measure the application of our change process in relation to quality and consistency.
• Themes scoring is assessed on a quarterly basis, with formal insight presented to Group Change Risk
Committee.
Standard Deviation Variance
MeanScore
LowHigh
High Low
OPPORTUNITY
leverage from teams
that are High to bring
up Lows
MAINTAIN
stabilise and monitor
FOCUS AREA
new thinking required
for Group wide
improvement
FOCUS AREA
learn from best
practice and share
across Group
• There is close engagement with the GCM
Group Change Disciplines team in order target
specific Themes and initiatives for
improvement that scoring analysis identifies.
• The output from theme and sub theme scoring
is presented in graphical format with a mean
and standard deviation applied to each sub
theme.
• With the ultimate goal of achieving a high mean
score and low standard deviation range,
targeted improvement can be applied in
accordance with the table opposite.

13. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 13
IMPROVING LEARNING FURTHER
Our integrated, multi-layered assurance approach coupled with the Change
Performance Framework allows further opportunities for improvement
Greater Reach into
Divisional Change
Post Implementation Review process aligning to other Assurance activity greatly increases
the number of reviews, assessment scores and best practice data to improve change
insight
Peer reviews increase review volume and provide greater insight into the performance of
our lower value / lower risk portfolio
Synergy with Risk
and Audit lines of
defence
Group Wide repository of all integrated assurance plans and outcomes
Common currency of assessment criteria – assessment themes and scoring
Consolidated feedback to Group Change leadership
Measurable data to
target improvement
Tools, processes and delivery support
Data to support change strategy and planning
People and supplier capability through assessment activity

14. © 2016 Lloyds Banking Group plc and its subsidiaries. All rights reserved. This report was prepared by GCM Group Delivery Assurance for internal use as part
of Lloyds Banking Group’s Delivery Assurance Process. It must not be copied, quoted or made available in part or whole without the authors prior consent.Confidential 14
FURTHER INFORMATION
Further information on Lloyds Banking Group’s Assurance activity can be obtained
from the contacts below
Name Role E-mail address
David Drake
Head of Group Delivery
Assurance,
Lloyds Banking Group
david.p.drake@lloydsbanking.com
Mark Palmer
Senior Assurance Manager,
Group Delivery Assurance,
Lloyds Banking Group
mark.palmer@lloydsbanking.com

15. © Lloyds Banking Group and its subsidiaries
Confidential
15

16. This presentation was delivered at
an APM event
To find out more about upcoming
events please visit our website
www.apm.org.uk/events