Theme 5 – Risk and Assurance

Introduction

No performance model is complete without understanding what might go wrong — and how to ensure the right safeguards are in place. The Risk and Assurance theme within SPARA supports proactive identification, analysis, and mitigation of risks, while embedding assurance mechanisms that validate the integrity of services and decisions.

This theme is not limited to security or compliance. It encompasses the broader spectrum of operational, strategic, and delivery risks — and how assurance builds trust across stakeholders.

Why Risk and Assurance Matter

Without a structured approach to risk and assurance:

• Issues are discovered reactively, often by customers

• Decisions are made without considering negative impact

• Delivery is inconsistent or fails to meet expectations

• Stakeholders lose confidence in the integrity of reporting or processes

SPARA treats risk not as an isolated activity, but as a lens through which all performance themes must be viewed. Similarly, assurance is not just an audit activity — it is a cultural and structural component of quality.

Common Failures

Organisations often struggle with:

• Risk logs that are passive, outdated, or ignored

• No link between risk and service or project performance

• Assurance being treated as a once-a-year compliance event

• Risks not being communicated upwards or escalated clearly

• Limited use of controls, testing, or validation mechanisms

SPARA seeks to normalise risk thinking and embed assurance into day-to-day operations.

Risk and Assurance Pillars

SPARA defines five interlinked pillars for robust risk and assurance management:

1. Risk Identification and Ownership

   • Capture risks across services, portfolios, suppliers, and change initiatives

   • Assign risk owners with clear accountability

   • Encourage open reporting without blame

2. Risk Assessment and Prioritisation

   • Use consistent criteria to assess likelihood and impact

   • Distinguish between inherent and residual risk

   • Prioritise risks based on potential impact on outcomes

3. Risk Mitigation and Controls

   • Define mitigation plans that are proportionate and trackable

   • Embed controls into processes, not just documents

   • Ensure controls are understood and followed by stakeholders

4. Assurance Mechanisms

   • Use layered assurance (e.g. peer reviews, QA, audits, shadowing)

   • Validate whether processes, data, or deliverables meet expectations

   • Separate internal assurance from external audit where necessary

5. Monitoring and Escalation

• • Track risk movement over time — not just snapshots

  • Use governance forums to review top risks and mitigations

  • Escalate early and with evidence when risk thresholds are breached

Assurance by Design

SPARA promotes Assurance by Design — integrating quality checks, decision reviews, and risk indicators into the architecture of service delivery and transition. This prevents assurance being perceived as an afterthought or barrier.

Examples include:

• Acceptance criteria built into service transition processes

• Automated checks in CI/CD pipelines

• Pre-implementation risk reviews for major changes

Assurance becomes a value-add, not just an oversight.

Application of This Theme

Use this theme when:

• Establishing or refining a service or project risk management model

• Preparing for or responding to audit and compliance requirements

• Introducing governance for complex change or supplier ecosystems

• Embedding quality into delivery or assurance into transitions

• Managing risks to service continuity, customer outcomes, or regulatory obligations

This theme is critical during transformations and in high-stakes environments such as regulated sectors, major incidents, or post-merger integrations.

SPARA Alignment

This theme supports both Architecture and Results within SPARA:

• Architecture ensures risks and assurance steps are embedded into workflows, governance, and toolsets

• Results ensures that risk visibility and assurance maturity support trusted performance outcomes

By embedding this theme, organisations build confidence — in delivery, in reporting, and in each other.