WRMP19 Programme Quality Assurance Plan dwrmp19 Supporting Appendix 10A 1 December 2017

Transcription

1 WRMP19 Programme Quality Assurance Plan dwrmp19 Supporting Appendix 10A 1 December 2017

2 WRMP19 Programme Quality Assurance Plan Originated by: Checked by: Approved by: Accepted by: Name / Position Signature Date Magda Styles 1/09/16 Helen Chapman 6/09/16 Lee Dance 31/10/16 Dave Hinton 15/11/16 South East Water C:\Users\73265\Documents\dWRMP Appendix Documents\Appendix 10 Assurance\Appendix 11A WRMP19 QAP.docx

3 DOCUMENT RECORD SHEET Revision Register Version Date Changes 0.1 4/07/16 First draft /08/16 Changes and additions following Lee Dance review; addition of QA for incoming data and presentations /08/16 Streamlined risk strategy in line with SEW published information. Document retention linked to SEW policy /10/16 Ensured that the document is consistent with SEW Monitoring Assurance Plan. Addressed comments from Helen Chapman /11/17 Track changes accepted following approval. Updated hyperlinks. Document Issue Register Version Date Changes 1.0 1/11/ /11/16 Acceptance by D. Hinton South East Water C:\Users\73265\Documents\dWRMP Appendix Documents\Appendix 10 Assurance\Appendix 11A WRMP19 QAP.docx

4 CONTENTS 1.0 INTRODUCTION PROGRAMME DEFINITION OBJECTIVES AND SCOPE OUTPUTS AND OUTCOMES PROGRAMME CONTROLS GOVERNANCE / ROLES AND RESPONSIBILITIES FINANCIAL CONTROL AND REPORTING CHANGE MANAGEMENT MANAGING ACTIONS, ISSUES AND DECISIONS PERFORMANCE MANAGEMENT AND REPORTING PROGRAMME PLAN TIMETABLE MILESTONES KEY RESOURCES PROGRAMME MONITORING AND REVIEW QUALITY MANAGEMENT STRATEGY DOCUMENT MANAGEMENT OUTPUT QUALITY RISK MANAGEMENT INTRODUCTION RECORDS AND REPORTING CLASSIFICATION RESPONSE CATEGORIES COMMUNICATION STRATEGY PAGE 4

5 1.0 INTRODUCTION The purpose of this document is to define how the quality of Water Resources Management Plan 2019 (WRMP19) programme will be managed. The primary objective of the programme is to ensure that South East Water s WRMP is completed on time, to budget and quality, and is accepted by the Secretary of State. This Quality Assurance Plan follows the principles outlined in Company Monitoring Framework 1. It provides the basis for the WRMP19/PR19 Steering Group and WRMP19 Working Group to monitor progress, issues and queries against the programme and reference when making any decisions or commitments. It also sets out the details of measures put in in place to assure the quality of the plan. 2.0 PROGRAMME DEFINITION 2.1. Objectives and scope The primary objective of the WRMP19 programme is to ensure that South East Water s WRMP is completed on time, to budget and quality, and is accepted by the Secretary of State. This programme will also ensure that all associated interactions with the Environment Agency and other stakeholders will be efficiently managed and all deadlines met Outputs and outcomes The outcome of this programme will be a long-term plan, endorsed by stakeholders and customers, and accepted by the Secretary of State for Environment, for securing water supplies for today s and tomorrow s customers from 2020 to The key outputs are as described in EIC presentation, June PROGRAMME CONTROLS 3.1. Governance / roles and responsibilities The WRMP19 programme is managed as an integral part of Periodic Review 2019 (PR19) programme. The responsibility for the overall WRMP/PR19 strategy rests with the Asset Director. 1 South East Water. Company Monitoring Framework. March See S:\water resources\2. Water Resources\Water Resources Planning\AMP7\0.0 WRMP19 Programme management\eic-pmo presentations\wrmp19 EIC presentation June 2016 v0.1.pptx PAGE 5

6 The responsibility for WRMP19 programme rests with the Head of Water Resources who is supported by WRMP19 Working and Steering Groups with agreed terms of reference. The programme has been approved by the Executive (Nov 14) with regular planned progress updates to the Regulatory Steering Group (RSG). The full governance structure adopted for this programme is consistent with the way the Company manages all strategic programmes e.g. business planning and is in line with the governance procedures agreed with the Company Board. Detailed role descriptions are outlined in outlined in PR19_WRMP programme ownership components Financial control and reporting The 5 year budget has been approved by the SEW Board. The budget is reviewed monthly in P6 and updates are presented to PMO and EIC at 6-monthly intervals Change management Material budgetary and programme changes are managed through reporting and approval via WRMP/PR19 Steering Group, RSG and SEW Board Managing actions, issues and decisions RAID log is used to record all actions, issues and decisions made. The log also records queries logged with the Environment Agency. Reviews of outstanding actions and issues are carried out in Working Group and Steering Group meetings, as appropriate Performance management and reporting Individual performance against workstream progress is reviewed as part of line management and regular one-to-one meetings. Progress against workstream plans is reviewed in WRMP19 Working Group and reported to WRMP-PR19 Steering Group. 3 See folder S:\water resources\2. Water Resources\Water Resources Planning\AMP7\0.0 WRMP19 Programme management PAGE 6

7 4.0 PROGRAMME PLAN 4.1. Timetable The key milestones are those defined by the Environment Agency, Ofwat and Defra in a letter sent to water companies on 5 May These timescales align WRMP19 with PR19 planning timetables and require the draft WRMP19 to be submitted to Defra on 1 December 2017 as illustrated in Figure 1 below. Figure 1: WRMP and PR19 timetable 4.2. Milestones The WRMP programme plan can be found in S:\water resources\2. Water Resources\Water Resources Planning\AMP7\0.0 WRMP19 Programme management\timetable. Detailed plans for each workstream, consistent with key milestones, have also been developed and are maintained by each workstream lead Key resources Detailed resourcing is described in the individual workstream programmes and agreed by the WRMP/PR19 Steering Group Programme monitoring and review The detailed progress against the programme is monitored by the Working Group and is reported to the Steering Group on monthly basis. Each workstream lead reports progress and issues as part of the Working Group standard agenda. In addition, progress of the plan is reported via: monthly in the Water Resources Board report; monthly to RSG (highlight report) 4 See PAGE 7

8 6-monthly to EIC; Ad hoc to SEW Board, as requested. Changes to the programme that may have impact on milestones have to be approved by the WRMP/PR19 Steering Group. 5.0 QUALITY MANAGEMENT STRATEGY 5.1. Document management Document locations All documentation relevant to WRMP19 is stored in WRMP19 file directory 5 where the following directories have been created: 0.0 WRMP19 Programme management 1.0 WRMP19 Overview 2.0 WRMP19 Engagement 3.0 WRMP19 Problem Characterisation and Methods 4.0 WRMP19 Supply Forecast 5.0 WRMP19 Demand Forecast 6.0 WRMP19 Headroom Uncertainty 7.0 WRMP19 Supply Demand Balance 8.0 WRMP19 Optioneering 9.0 WRMP19 Developing a Resilient Plan o 9.1 National WRes Planning o 9.2 WRSE WRMP19 Best Value Plan Decision Making 11.0 WRMP19 Quality assurance An additional folder contains the WRMP document library 6. Every document placed in the library is logged in the library register, which also includes a hyperlink to the document itself. For security purposes, only programme team members have access to this directory, and further access permission will be agreed with the programme manager and the IS helpdesk. Version control of documents will be managed by individual authors according to the convention described in The WRMP19 Programme Manager is responsible for defining the QMS and the programme team is responsible for ensuring their activities comply with this strategy. The programme ownership of assurance is described in Section S:\water resources\2. Water Resources\Water Resources Planning\AMP7 6 S:\water resources\2. Water Resources\Water Resources Library PAGE 8

9 Templates All WRMP19-related documents will be in custom-made Word and Excel templates stored in S:\water resources\2. Water Resources\Water Resources Planning\AMP7\Templates. These templates include quality assurance information such as date stamp, version information and quality assurance trail. In addition, the spreadsheet template contains a summary sheet with information designed to help users understand the content and its audit trail Document version management Version convention The following version control convention is used for all WRMP-related documents: Document title yymmdd vx.y.doc where x denotes issue number and y denotes draft number. This provides the information on the date of last amendment as well as on the draftissue status. Table 1 below explains how to apply this in practice. Table 1: Version control explained Title Strategic Plan v0.1.doc Strategic Plan v1.0.doc Strategic Plan v1.2.doc Explanation First draft prior to issue First issued version (for example, to WRMP Steering Group). CRAV procedure (see Error! eference source not found.) must be followed before issue. This is a second amendment to the first issued version for example, as a result of consultation Version change control Change control log is included in document templates and is used for all documents Document registers All incoming and outgoing documents are entered in the document register with hyperlinks to document location. The outgoing register also logs names of the originator and approver of the information that is provided to external parties Records and archiving Retention of records is in accordance with SEW procedure Control of Records 7 which requires that: Unless specific retention periods are specified by law, the default retention period shall be 6 years. 7 IMS document serial number 1043 PAGE 9

10 Records must be kept so as to maintain their integrity for the entire retention period. Wherever possible records should be held at the point where they are generated or where they are most likely to be referenced Output quality Methodologies and modelling strategy All methodologies used in developing the WRMP are compliant with Water Resources Planning Guidelines and methods it refers to. This is achieved though development and sign off of method statements for each workstream. To ensure that all elements of the plan stand up to scrutiny of audit and regulatory review we adopted the DAMES approach used by the Environment Agency: Data sources Assumptions Methodologies and Models Explanations Sensitivity analysis All data sources and assumptions are clearly documented, methodologies and models are described and approved; clear explanations are provided for decisions made, and sensitivity is assessed where uncertainty has to be managed Output quality assurance As described in the SEW Company Monitoring Framework, the level of quality assurance is determined by the risk associated with the activity and the importance to stakeholders or customers: Level 1 (for low risk items) Peer review data and information is checked by a separate individual Manager review/sign off data and information is checked by the line manager responsible for the individual completing the submission. Level 2 (for medium risk items) Internal data and process audit data validity is tested through taking a sample and verifying the data. The methodology document is reviewed to ensure that the process and internal controls are complete and being followed External data, process and submission audit This process is undertaken by an external assurance partner. A review of methodology, data sampling and internal controls is undertaken. Meetings undertaken with senior managers and those who produce the data to ensure a thorough understanding is obtained. Level 3 (for high risk items) Director/Executive approval final review of submission information Audit and risk committee review Board approval overall review of assurance and auditing undertaken. Discussion and approval of external assurance partner findings. PAGE 10

11 All interim and final WRMP outputs including written documents, spreadsheets and models are subject to the above regime. We use CRAV framework (check/reviewapprove verify/validate) to ensure that quality review is undertaken by appropriate persons, as follows: Originating done to the best of the author s ability and to achieve right first time Checking and reviewing - a thorough check by an experienced colleague(s) using source data and picking-up detailed errors, to ensure work is technically correct and free of mistakes. Approving a high level view to ensure an overall adequacy and suitability, and to be reassured that thorough checking has occurred. Approvers also ensure that work is consistent with other packages. By approving, the Approver confirms that the Originator and Checker have the necessary skills. Verifying high level assessment of the product to ensure that work meets the required brief. This could be an external peer-review of high risk work. In addition to general WRMP outputs, quality assurance is also undertaken on incoming data and presentations Quality assurance: incoming data To ensure audit trail and quality of data requested from other departments and external sources, the following process is used: 1. Send WRMP Excel template with your request. 2. Request that data provider completes the covering QA sheet and ensure that checker/reviewer box is completed. 3. When received, log in Incoming Document Register Quality assurance: presentations The quality of presentations to senior management, SEW Board and external stakeholders is assured via a following process: 1. Checks of facts and figures, spelling, grammar (by a competent checker): 2. Review of consistency with strategies and plans (by relevant senior manager/head). 3. Endorsement by WRMP/PR19 Steering Group for external presentations (such as EFG). 4. Before release, log details in Outgoing Document Register PAGE 11

12 6.0 RISK MANAGEMENT 6.1. Introduction The WRMP19 Programme Manager is responsible for managing the risk strategy and the associated records. The programme team is responsible for reporting of risks to the Programme Manager. The risk management procedure for the WRMP programme is consistent with that described in SEW Company Monitoring Framework Records and reporting Risks identified are held within the WRMP19 risk register in the Company s central Risk Wizard system. Each risk is assessed according to likelihood and consequence and scored from low to extreme. Existing controls and actions are assigned to manage or mitigate each risk. The Programme Manager is responsible for maintaining the WRMP19 risk register and communicating via the formal reports to the WRMP19 Steering Group and programme team. A snapshot of the risk register is provided at every Steering Group meeting. The Programme Manager highlights any new risks and any problems with responses to risks. When a risk has a score of high or extreme it must been escalated to the Steering Group and have a risk response in place. Low and medium score risks will be managed by Supply Demand Manager and be closely monitored by the programme team and Steering Group Classification Risks are classified as: Emerging Diminishing Stable Volatile 6.4. Response categories Each risk response will be categorised according to Table 2. 8 See..\..\11.0 WRMP19 Quality assurance\12641 SEW Company Monitoring Assurance Plan update v7.pdf PAGE 12

13 Table 2: Risk categories Category Avoid Reduce Accept Monitor Description May involve changing some aspect of the programme (for example, scope), so that the threat can no longer have an impact, or can no longer happen. Alternatively it may include cancelling some activities. Action taken to reduce the probability and/or impact of the threat. Decision to retain the threat, where it is more appropriate to accept than to respond. Decision to monitor threat and not take specific action. 7.0 COMMUNICATION STRATEGY The communication strategy and stakeholder engagement are described in WRMP19 Engagement Plan. PAGE 13