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Add arckit-uk-teal community overlay (UK Government Teal Book project delivery) #567

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# Integrated Assurance and Approval Plan (IAAP) — [INITIATIVE_NAME]

> **Template Origin**: Community | **ArcKit Version**: [VERSION] | **Command**: `/arckit:uk-teal-assurance`

## Document Control

<!-- DOC-CONTROL-HEADER -->
<!-- Resolved at command-execution time per _partials/RENDERING.md. -->

## Revision History

| Version | Date | Author | Changes | Approved By | Approval Date |
|---|---|---|---|---|---|
| [VERSION] | [YYYY-MM-DD] | ArcKit AI | Initial creation from `/arckit:uk-teal-assurance` command | PENDING | PENDING |

---

## Teal Book Version

This Integrated Assurance and Approval Plan is aligned to the **UK Government Teal Book V1** (in trial period to **31 December 2026**), **GovS 002 (Project Delivery Functional Standard)**, and the **IPA / NISTA assurance and approvals regime**. Verify every cited part, chapter, gate name, and threshold against the live sources — <https://projectdelivery.gov.uk/teal-book/home/> and <https://www.gov.uk/government/collections/assurance-and-approvals> — before reliance, as terminology and structure may change during or after the trial.

> ⚠️ This is a **planning artefact only**. It is **not** an assurance opinion and does **not** constitute an IPA/NISTA assurance review, a Gateway Review, or any formal departmental assurance verdict. It must be agreed with the SRO, the department's assurance function, and — for GMPP / major projects — NISTA before reliance.

---

## Executive Summary

[One to two paragraphs: the initiative under assurance; whether it is a portfolio, programme, or project and its risk/value tier; the number of approval points and planned assurance activities; the headline of how assurance has been made proportionate and joined-up; confirmation that each major approval point has aligned assurance timed to inform it; any misalignment, duplication, or evidence gap flagged for the SRO; and the recommended next assurance steps.]

| Field | Value |
|---|---|
| **Initiative type** | [Portfolio / Programme / Project] |
| **Risk / value tier** | [Low / Medium / High / GMPP] |
| **GMPP entry** | [Yes / No / Likely — confirm with NISTA] |
| **SRO** | [Name and role] |
| **Department / arm's-length body** | [Organisation] |
| **Approval points mapped** | [N] |
| **Planned assurance activities** | [N] |
| **Next assurance milestone** | [Type + indicative date] |
| **Plan owner** | [Name and role] |
| **Assessment date** | [YYYY-MM-DD] |

---

## 1. Purpose and Scope

[State the purpose of this IAAP: to coordinate all planned assurance against the initiative's approval points so assurance is proportionate to risk and value, joined-up across providers, and timed to inform decisions rather than duplicate effort. Define the scope — which life-cycle stages, which delivery components, and which assurance providers are in and out of scope. Reference the Teal Book and GovS 002 [TEAL-CN] [GOVS002-CN].]

### 1.1 Objectives of integrated assurance

- Ensure each key decision is informed by timely, independent assurance.
- Avoid duplicate, overlapping, or uncoordinated reviews of the same evidence.
- Scale assurance intensity to the initiative's risk, value, and complexity.
- Maintain a single, current view of planned and completed assurance for the SRO.

### 1.2 Out of scope

[State what this plan does not cover — e.g. business-as-usual operational audit, statutory financial audit, supplier-internal assurance.]

---

## 2. Assurance Governance and Accountability

| Role | Holder | Assurance responsibility |
|---|---|---|
| Senior Responsible Owner (SRO) | [Name] | Owns the IAAP; accountable for delivery and for acting on assurance findings |
| Departmental assurance function / PMO | [Function] | Agrees and coordinates the plan; 2nd-line oversight |
| Internal audit | [Function] | 3rd-line independent assurance |
| IPA / NISTA | [Contact] | Independent Gateway / PAR / PVR reviews; GMPP oversight |
| Approving authority / investment committee | [Body] | Takes approval decisions at each point |
| Project / programme board | [Body] | Day-to-day governance; commissions 1st/2nd-line assurance |

---

## 3. Approvals Map

[The business-case approval points (Green Book five-case model — SOBC → OBC → FBC [GREENBOOK-CN]) and any portfolio, spend-control, departmental investment-committee, or HMT/NISTA approval gates. If the business case is absent, mark provisional points `[PENDING — run /arckit:sobc]`.]

| # | Approval point | Decision authorised | Approving authority | Delegation threshold engaged | Expected date | Status |
|---|---|---|---|---|---|---|
| AP1 | Strategic Outline Case (SOBC) | Strategic fit / programme start | [Investment committee / HMT] | [£ threshold] | [YYYY-MM] | [Planned] |
| AP2 | Outline Business Case (OBC) | Preferred option / procurement strategy | [Authority] | [£ threshold] | [YYYY-MM] | [Planned] |
| AP3 | Full Business Case (FBC) | Investment / contract award | [Authority] | [£ threshold] | [YYYY-MM] | [Planned] |
| AP4 | Delivery / go-live decision | Readiness for service | [Authority] | [n/a] | [YYYY-MM] | [Planned] |
| AP5 | Operations / benefits decision | Continuation / benefits realisation | [Authority] | [n/a] | [YYYY-MM] | [Planned] |

---

## 4. Integrated Assurance Schedule

The central coordinated schedule of planned assurance activities across the life cycle. Each activity is timed to *precede* the approval point it informs, with adequate lead time for findings to be actioned.

| ID | Assurance type | Line of defence | Timing (stage / relative to approval point) | Decision it informs | Responsible body | Status |
|---|---|---|---|---|---|---|
| AS1 | IPA Gateway Review 0 — Strategic Assessment | 3rd | Programme inception | AP1 (SOBC) | IPA / NISTA | [Planned] |
| AS2 | IPA Gateway Review 1 — Business Justification | 3rd | Before SOBC approval | AP1 (SOBC) | IPA / NISTA | [Planned] |
| AS3 | IPA Gateway Review 2 — Delivery Strategy | 3rd | Before OBC / procurement | AP2 (OBC) | IPA / NISTA | [Planned] |
| AS4 | IPA Gateway Review 3 — Investment Decision | 3rd | Before FBC / award | AP3 (FBC) | IPA / NISTA | [Planned] |
| AS5 | IPA Gateway Review 4 — Readiness for Service | 3rd | Before go-live | AP4 | IPA / NISTA | [Planned] |
| AS6 | IPA Gateway Review 5 — Operations & Benefits | 3rd | Post-implementation | AP5 | IPA / NISTA | [Planned] |
| AS7 | Project Assessment Review (PAR) | 3rd | [Stage, GMPP] | [AP] | IPA / NISTA | [Planned] |
| AS8 | Project Validation Review (PVR) | 3rd | [If at-risk] | [AP] | IPA / NISTA | [Conditional] |
| AS9 | Internal audit | 2nd / 3rd | [Periodic] | [Control assurance] | Internal audit | [Planned] |
| AS10 | Technical / architecture review (conformance) | 2nd | [Design stages] | [AP2 / AP3] | [Design authority] | [Planned] |
| AS11 | Commercial assurance | 2nd | [Procurement] | AP3 (FBC) | [Commercial function] | [Planned] |
| AS12 | Management self-assurance (stage-gate readiness) | 1st | Continuous | [All] | Project team | [Ongoing] |

> Lead-time check: confirm each 3rd-line review above completes with sufficient lead time for its recommendations to be acted on before the corresponding approval-point date. Flag any activity that does not precede its decision.

---

## 5. Three Lines of Defence Mapping

| Line | Role | Planned activities (from §4) | Independence check |
|---|---|---|---|
| **1st line** | Management / delivery owns risk and control | [AS12, stage-gate readiness, self-assessment] | Owned by delivery team |
| **2nd line** | Functional oversight & assurance | [AS10 technical/architecture, AS11 commercial, departmental PMO oversight] | Independent of delivery team; reports to assurance function |
| **3rd line** | Independent assurance | [AS1–AS9 — IPA/NISTA reviews and internal audit] | Fully independent of management and 2nd line |

[Confirm the third line is genuinely independent and not conflated with first- or second-line activity. Each activity in §4 maps to exactly one line.]

---

## 6. Proportionality Assessment

[Scale assurance intensity to the initiative's risk, value, and complexity per GovS 002 and the IPA/NISTA risk tiering. Justify the chosen intensity. The final tiering is set by the department's assurance function / NISTA, not by this artefact.]

| Factor | Assessment | Implication for assurance intensity |
|---|---|---|
| Whole-life value | [£] | [Drives spend-control / GMPP threshold] |
| Innovation / novelty | [Low / Medium / High] | [More novel → more frequent review] |
| Delivery complexity | [Low / Medium / High] | |
| Risk profile (from RISK register) | [Highest residual risks] | [Assurance targets these] |
| GMPP status | [Yes / No / Likely] | [GMPP → mandated PARs, IPA reporting, DCAs] |
| **Resulting tier** | **[Low / Medium / High / GMPP]** | **[Light-touch / standard / full Gateway sequence]** |

---

## 7. Gateway / Assurance-Review Readiness Checklist

Evidence and artefacts a review team will expect. Status reflects current readiness, with the owning ArcKit artefact cross-referenced where it supplies the evidence.

| Evidence / artefact | Required for | Owning source | Readiness status |
|---|---|---|---|
| Business case (five-case) | Gates 1–3 | `ARC-{PID}-SOBC-*` / OBC / FBC | [Ready / Partial / Pending] |
| Risk register (Orange Book) | All gates | `ARC-{PID}-RISK-*` | [ ] |
| Delivery plan / schedule | Gates 2–4 | `ARC-{PID}-PLAN-*` | [ ] |
| Benefits map / realisation plan | Gates 1, 5 | [Source] | [ ] |
| Architecture / design artefacts | Gates 2–4 | `ARC-{PID}-HLDR-*` / `DLDR-*` | [ ] |
| Architecture conformance assessment | Gates 2–4 (technical assurance) | `ARC-{PID}-CONF-*` | [ ] |
| Commercial / procurement documents | Gates 2–3 | [Source] | [ ] |
| Dependency / interface map | Gates 2–4 | [Source] | [ ] |
| Delivery Confidence Assessment (if GMPP) | PAR / GMPP reporting | [Source] | [ ] |
| Stakeholder / governance evidence | All gates | `ARC-{PID}-STKE-*` | [ ] |

---

## 8. Action and Recommendation Tracker

[Seed from any prior Gateway / PAR / PVR recommendations found in `external/`. Track each to closure.]

| Ref | Source review | Recommendation | Priority | Owner | Due date | Status |
|---|---|---|---|---|---|---|
| R1 | [Review] | [Recommendation] | [Critical / High / Medium] | [Owner] | [YYYY-MM-DD] | [Open / In progress / Closed] |

---

## 9. Plan Maintenance

This IAAP is a living document. It is reviewed and re-agreed at each approval point and whenever the initiative's risk profile, scope, or schedule changes materially. The review cadence is recorded in Document Control. The plan must be re-agreed with the SRO and the department's assurance function (and NISTA for GMPP) after any major change.

---

## External References

| Doc ID | Title | Source | Used in |
|---|---|---|---|
| TEAL | The Teal Book (V1, trial to 31 Dec 2026) | Government Project Delivery / NISTA | Throughout |
| GOVS002 | GovS 002 Project Delivery Functional Standard | Cabinet Office / GPDF | §1, §6 |
| GREENBOOK | The Green Book — appraisal and evaluation | HM Treasury | §3 |
| IPA-ASSURE | Assurance and approvals (collection) | IPA / Cabinet Office | §4, §5 |
| NISTA | National Infrastructure and Service Transformation Authority | NISTA | §2, §4, §6 |

> Verify each reference against its source before reliance — gov.uk pages may return HTTP 403 to automated fetches and are updated without notice. The Teal Book is in a trial period and its structure may change.

---

**Generated by**: ArcKit `/arckit:uk-teal-assurance` command
**Generated on**: [YYYY-MM-DD]
**ArcKit Version**: [VERSION]
**Project**: [PROJECT_NAME]
**Model**: [AI_MODEL]
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