Version No:

4

Open Government Status:

Fully Open

Approved By:

A N Hall

1  Purpose and sope

1.1  This guidance provides supporting information for procedure AST/002 - "Assessment Activity Management", and describes how the COIN Database should be used to support Assessment Activities.

1.2  The Assessment Activity Management process has been agreed by CALM as shown in AST/001.

1.3  The COIN database Case and Service Order activities are used to record requests and state of play of assessment tasks within ND. Detailed guidance on how to use the database is contained in the database itself. ND provides training for users.

1.4  Information recorded in the database is no longer used to derive the OPMs and its use is optional.

2  Guidance

When should a Case be raised?

2.1  A Case will be raised for any task to be undertaken by an Inspector working within an Assessment Unit, including tasks originating within the Unit (more usually a Service Order), except those which are not chargeable or require less than about a day. Only one case is needed per assessment unit irrespective of the number of individuals working on the task. The Unit Head will allocate work through a Service Order on each relevant unit member.

2.2  Where the requirement for a connected series of nominal tasks can be specified sufficient for the Assessment SI to reach a decision on allocating resource to the task, then a Case should be raised.

2.3  Cases may not be used as a method to reserve blocks of assessment effort or as 'calling off' contracts. Where such future requirements are expected these should be communicated to the divisional management for inclusion in plans of work – typically programmes or project plans.

2.4  However, where there is defined work within a programme which has been through due process then it is acceptable to allocate effort against that defined programme.

Who can originate a Case?

2.5  All Inspectors can raise Cases. The Inspector raising the Case is known as the Originator.

Initial consultation and draft Case

2.6  The Originator should have early discussions with the Assessor who will carry out the task or with the Assessment SI when it is not obvious which Assessor(s) should undertake the task.

2.7  In general, discussions with the Assessor(s) should address the technical aspects of the work. The Assessment SI will advise on planning, prioritisation and strategic aspects. Originators should obtain sufficient information to enable them to agree and complete the Notes fields with a scope for the proposed work, timescales for completion and proposed allocation when previously discussed.  Note: separate cases will be needed for assessors from different units.

2.8  Having agreed sufficient detail for the Case, the Originator should complete the mandatory fields including, as much detail as necessary and inform the Assessment SI.

2.9  Ideally the related documents to be assessed should be passed to the Assessor or the TRIM references given. Where this is not practicable, as a minimum, then all relevant information should be sent to the Assessors involved.

Note. The database does not alert the recipient (either Assessment SI or Assessor) to its arrival.

Allocation / rejection of Cases by the Assessment SI

2.10  Before allocating a Case the Assessment SI should be satisfied that the scope, effort, timescales, etc. of the work requested is reasonable and can be accommodated within the available effort of their Unit. However they can cause the Case to be withdrawn at any stage by altering Case Status provided the subsidiary Service Orders have been closed.  The most appropriate descriptor should be used in the Case Status field.

2.11  Where the scope, effort, timescale, etc. of the work is not considered to be reasonable or deliverable the Assessment SI should attempt to resolve any conflicts by rescheduling / re-assignment of the work in consultation with the Assessor and / or Originator. Similarly, the Assessor should seek to resolve any disagreement regarding the technical content of the work.

2.12  Should the Assessment SI be unable to resolve the conflicts that prevent allocation of a Case they should inform the Originator and reject the Case.  Similarly, where a Case is rejected due to lack of assessment resource, then the Originator should be informed and the reasons recorded in a new Note attached to the Case.

2.13  The Assessment SI should then raise Service Orders on their staff as agreed with the Originator. The description of the tasks and other relevant details should be recorded in the first note attached to the Service Order. Staff should be informed that Service Orders have been placed as the system only records receipt in the Assessor’s Home Page. As a double check, Assessors should visit their home page regularly (when completing weekly time recording would be good practice).

Assessment task and reporting

2.14  Once the request for work has been formally assigned to an Assessor it is their responsibility to ensure that the details regarding scope, timescale, etc. are agreed and, where appropriate, that this is recorded in an attached Note.

2.15  The Assessor should undertake the assessment in line with the Assessment Process (AST/001) and supporting documents and, ensure that the Originator or management body is updated. This should include a clear statement if the work will be late due to lack of resource. A more detailed 'running history' of the task may be in notes / files attached to the Service Order, When the work is accepted  the Assessor is expected to take ownership of the task and responsibility for the resolution of any issues they might identify (see AST/004).

2.16  It is possible to edit completion dates prior to closing out the work, but this should not be done when work is delayed by lack of resource or pressure of higher priority work. Notes should be attached to reflect the circumstances where dates are either amended or missed. Specifically the required completion date should only be altered when the project requirements change, e.g. where a Licensee's submission is late.

2.17  The SI should monitor progress of work undertaken against Cases, in particular ensuring that the Assessors close out Service Orders in a timely manner once work is completed.

2.18  Divisional Support will facilitate a review of Cases on request which may be used to judge the status of any Cases that will be 'late'.

Close out of assessment task

2.21  Completion of the task includes the issue of any output or reports in the format agreed between the Originator and Assessor. Where an Assessment Report is required this should be consistent with AST/003 'Assessment Reports'. When the Assessor and Originator are in agreement that the assessment is complete (as defined in AST/001) the Assessor should close out the Service Order on the database, ensuring that sufficient details are recorded to provide an auditable trail and inform their SI. Cases can only be closed once all the related Service Orders are closed / completed.

Resolution of outstanding issues and follow up work

2.22  Where matters have not been resolved by the time the output is issued, then any assessment work to resolve these should normally be the subject of a separate Case and, where appropriate, recorded as Issues (see AST/004).

Data export from the system

2.23  Data (for planning or monitoring purposes) can be output using the reports found on the home page menu. These produce tables which can be used to monitor work.

Job handover

2.24  It is the responsibility of Originators, Assessors, and Assessment SIs to ensure that any Service Orders are amended when they change jobs.

1) Unit heads should ensure that all continuing Cases are transferred to the incoming Unit head.
2) Assessors should ensure that continuing tasks are allocated to their replacement, or transferred, as appropriate.
3) Similarly Assessment SIs should ensure that any continuing tasks are allocated to correct Unit.

3  Associated documents

3.1  AST/002 - Assessment Activity Management

3.2  SMG Paper 99/40: Implementation of a Revised Assessment Work Management System

3.3  AST/001 - Assessment Process

3.4  AST/003 - Assessment Reports

3.5  AST/004 - Issues Recording Process

3.6  BSS/FPG/008 - NSD Work Recording Procedures