RMDS Quality Manual - Section 5 Management Responsibility

• Management Commitment
• Customer focus
• RMDS Quality policy
• Planning
• Responsibility, authority and communication
• Management review

5.1 Management Commitment

The Manager of the Retail Market Design Service and ESB Networks senior management are committed to the implementation and on-going operation and improvement of the Management System. The services, policies and objectives of RMDS as well as the resources required to achieve them are set out in the RMDS Business Plan. This plan has been agreed by ESB Networks Senior Management and submitted to the Commission for Energy Regulation who have approved it.

Pursuant to the plan:

• The Quality Policy & Objectives has been established, briefed to and understood by all team members
• appropriately trained resources are available to support the implementation and operation of the Management system
• RMDS is adequately resourced to meet its targets

At a minimum, six monthly reviews are conducted to verify the effectiveness of the Management System, track the achievement of objectives and ensure resources remain adequate.

Management Responsibility

5.2 Customer focus

Regular customer and stakeholder surveys, and subject to their availability, meetings are included in the RMDS business plan. The RMDS service objectives are based on the requirements established through these contacts. These are set out in the RMDS business plan agreed between the Manager of the Retail Market Design Service and senior management.

Our Processes to ensure customer satisfaction are mapped in ARIS which include processes for Customer Needs Assessment & Communications.

Customer Focus

To ensure Customer Satisfaction

5.3 RMDS Quality policy

The RMDS Quality Policy is as follows:

The Retail Market Design Service provides an impartial, friendly and expert service and support to all market participants, active or prospective, in the electricity retail market design and its operation. We are committed to carry out our role to the highest standards of quality and professionalism.

We will play our part in 'making the market work'.

Our Customers

1. Our customers are:
   • CER
   • Electricity Suppliers
   • Eirgrid
   • Generators
   • ESB Networks
   • ESB Customer Supply
   • ESBIE
   • New entrants
2. We consult extensively with our customers to develop a business plan that meets their needs
3. We deliver a timely accurate and friendly service
4. We actively seek customer feedback to review and continually improve our service

Our Processes

1. We comply fully with all regulatory and legal requirements
2. We benchmark our performance against international best practice
3. We set measurable targets for the quality of our service and the effectiveness of our processes
4. We actively pursue a policy of continual improvement through ongoing management review.

Our People

1. We ensure that our people are competent and empowered to carry out their roles through recruitment, training, performance management and professional development.
2. We combine our ideas and skills to improve the quality of our service

Our Mandate

1. We operate within the budget presented to the Industry Governance Group and approved by the Commission.
2. We work to the annual business plan presented to the Industry Governance Group and approved by the Commission.
3. We regularly report to the Commission on progress.

5.4 Planning

5.4.1 Service objectives

The RMDS Service Objectives are set out on the next page.

Relevance to Our Customers and Services

These objectives are based on feedback from our customers and are aligned with our Quality Policy.

Senior Management Commitment

The RMDS Service Objectives are agreed with ESBN Senior Management, our customers and the Commission via the RMDS Business Plan.

Establishment of the Service Objectives

The Service Objectives have been briefed to our team and are measured by them. One service objective is dependant on the performance of a key service provider. We are in the process of agreeing a service level with this provider consistent with the overall requirement of the service objective.

Measurability of our Service Objectives

Progress against objectives is measured and reviewed at team meetings and the Management Review.

Service Objectives

Area	Activity	Measure	Objective
Customer	Surveys	No. per year	1
Process	Design releases	No. of significant errors	0
	Information released to website	Time to release from receipt	< 1 day
	Change Control	Circulation of documents (days before meeting)	5
	Query Helpline	Response time to Design Queries	5
	Market Meetings	Agendas (days before meeting)	5
		Circulation of IGG Minutes (days after meeting)	10
		Circulation of Conf. Call Minutes (days after meeting)	5
		Open/Carried Forward Action Items list (days before meeting)	1
		New Action Items List (days after meeting)	2
		Resolution or escalation of IGG Actions (weeks)	12
Change Control	Circulation of documents (days before meeting)	5
	New Release of design documents (No. of significant errors)	0
System planned outages	Notice of part weekend outage (days)	5
People	Training and Development	Personal development plan completion	5
CER	Mandate	Formal reviews	10
Financial	Financial Plan	Expenditure within overall budget	100%

Other Standards: We publish these standards as guidelines and work to keep to them.

Area	Activity	Measure	Objective
Process	Design releases	No. of non-significant errors	< 5
		Response time to queries requiring input from 3rd parties (e.g. ESBN)	10
	Market Meetings	Working documents (days before meeting)	2
		Presentations (days before meeting)	2
		Final presentations (days after meeting) 2	2
	Change Control	New Release of design documents (no. of typographical errors)	< 5

5.4.2 Management system planning

The management system has been planned and implemented to meet our service objectives and the requirements of the ISO 9001 standard.

Performance against service objectives, audit results and non-conformances are discussed during Management Review at team meetings and dedicated meetings to assess the effectiveness of the Management System. Any required changes are agreed.

Changes to the RMDS Management System are subsequently audited and the performance and audit results are reviewed at Management Review to ensure that the Management System continues to be effective, see our Audit checklist.

5.5 Responsibility, authority and communication

5.5.1 Responsibility and authority

The organizational chart for RMDS is included in section 3 of this Quality Manual.

The responsibilities of each team member have been discussed, agreed and confirmed to all team members and our customers. (See our work plans documented in ARIS)

Each team member meets the Team Leader once a year to agree a Personal Development Plan (PDP), taking into account the needs of the service and the development needs of the team member as a professional. PDPs are reviewed at mid year and early in the third quarter.

All team members are responsible for following the policies outlined in this manual, as well as the detailed procedures outlined in ARIS diagrams. If the detailed procedures are unclear, or are no longer appropriate then the team member who identified the issue informs the Quality Manager, who will take the appropriate corrective action. If an activity is performed that does not agree with the documented procedures then this should be treated as a non conformance and handled appropriately.

Non conformances, corrective actions and preventive actions will be discussed at the fortnightly team meeting to ensure that all team members are aware of any issues arising. Where an issue arises which must be addressed before the next team meeting, then an ad hoc meeting will be called (with or without the Manager RMDS) or e-mail may be used to ensure that all team members are aware of the issue.

5.5.2 Management representative

The Quality Manger has been appointed by the Manager RMDS as management representative. As management representative, they have the following responsibility and authority:

• Ensure that processes needed for the management system are established and implemented.
• Report to the Manager RMDS and Team Leader on the performance of the management system, and note needed improvements.
• Promote awareness of customer requirements throughout the organization.
• Act as a liaison with external parties such as customers or auditors on matters relating to the MS.

Please see our Management Representative Responsibilities Documented in ARIS.

5.5.3 Internal communication

Our methods of communicating the effectiveness of the MS include Team Meetings, circulation of minutes of management review, Internal Audit meetings, and other routine business communication.

Effective Internal Organisational Communications

RMDS relies on having high degrees of communications. Effective internal communications start with effective skills in communications, including basic skills in listening, speaking, questioning and sharing feedback. Perhaps the most important outcome from these skills is conveying that you value hearing from others and their hearing from you. A key ingredient in developing effective communications in RMDS is by each person taking responsibility to assert when they don't understand a communication or to suggest when and how someone could communicate more effectively.

Policies to Support Effective Internal Communications

This communication can be looked at as communications downward and upward. Downward Communications:

1. Every RMDS team member receives an employee handbook that contains all up-to-date personnel policies. Basic processes have been documented and are included in ARIS. Our Internal Communication Process is also mapped in ARIS.
2. The Team Leader briefs each team member on their job description and responsibilities within the team, as well as the RMDS organisation chart.
3. Management catch up meetings are held every week even if there's nothing pressing to report.
4. Full staff meetings are held fortnightly to report how the service is doing, major accomplishments, concerns, announcements about staff, etc.
5. Management Review meetings are held fortnightly to identify improvements and effectiveness of the management system and its processes
6. Management have face-to-face contact with employees at least once a week.
7. Meetings are held to celebrate major accomplishments.
8. All employees will receive a yearly performance review, including their goals for the year, updated job descriptions, accomplishments, needs for improvement, and plans to help the employee accomplish the improvements.

Upward Communications:

1. All employees give regular status reports to their supervisors. This includes a section for what they did last week, plan for the next week and any actions/issues to address.
2. The Team Leader meets one-on-one at least once a month with their employees to discuss how its' going, hear any current concerns from the employee, etc. Even if the meeting is chit-chat, it cultivates an important relationship between supervisor and employee.
3. Management and staff meetings are used to solicit feedback. A round table approach is used to hear from each person.
4. Feedback from others is acted on.

5.6 Management review

5.6.1 General

Weekly checkpoint meetings and fortnightly team meetings/briefings are scheduled throughout the year. The Management System is a fixed topic on the agenda of these meetings. Performance against the service objectives and aspects of the Management System are reviewed at each meeting, including possible ways of improving it. Records are maintained for each management review meeting. Our Management Review Process is documented in ARIS which includes inputs documented for review and outputs such as Actions to improve our Management System & Service. See below

5.6.2 Review input

Assessment of the MS is based on a review of information inputs to management review. Over the course of the year, reviews include:

• Performance against quality objectives
• Process performance and product conformity
• Customer and CER feedback
• Complaints
• Suggestions from the team for improvement/Staff Survey
• Preventive and corrective actions
• Results of internal audits
• External assessments
• identification of any resources required to support the Management System
• identification of any training or mentoring required (checkpoint meetings only)
• a review of the last external audit of the Management System and any findings resulting
• Follow-up actions from previous Management Reviews

See below Inputs documented in ARIS

Management Review Process

5.6.3 Review output

Opportunities for improvement of our processes and our services are reviewed. Any resource needs are identified. Decisions and Actions are agreed to address any issues or opportunities. The Decisions and Actions, together with responsibility for each action is agreed and recorded in the meeting minutes and also in SharePoint for follow-up.