Annex E - Assurance Matrix and Compliance Checklist
The Improvement Service has created 2 templates for its own use (which are work in progress) as follows:
An Assurance Compliance Checklist - which can be used to assess the compliance of any proposal against the High Level Operating Framework plus the organisation's own policies, strategies and principles.
An Assurance Matrix - which can be used to weight each element that the organisation wishes to consider in its options appraisal and to assess the merits of each option against each element and arrive at a score.
The Assurance Matrix has 3 tabs:
- Base Data - holds the business drivers being considered in the appraisal plus the weightings assigned to each
- Score Sheet - replicates the base data and provides a scoring mechanism
- Score Sheet Weighted - the same as the Score Sheet except the weighting factors are automatically applied to each score
It is recommended that this sheet is completed with key stakeholders in 2 phases -
Phase 1 - go through each of the business drivers including the principles of the High Level Operating Framework plus the organisation's own policies, strategies and principles and assign a weighting to each. Complete the Base Data tab
Phase 2 - go through each option being considered and score how well each business driver or principle is met by that option. Complete Score Sheet tab.