Controls Management Plan Document...2016/02/01 · Manage Crossrail’s overall Controls Management...

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© Crossrail Limited Template: CR-XRL-O4-ZTM-CR001-00001 Rev 7.0

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CONTROLS

Controls Management Plan

Document Number: CR-XRL-Z9-GST-CR001-00002

Current Document History:

Revision: Effective Date:

Author(s)

(‘Owner’ in eB *)

Reviewed by:

(‘Checked by’ in eB *)

Approved by: Reason for Issue:

7.0 26-03-15 Function Heads General update – Further update required, following organization change of Controls to Finance

This document contains proprietary information. No part of this document may be reproduced without prior written consent from the chief executive of Crossrail Ltd.

Brigid Leworthy

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This document is shared for the purposes of learning legacy. It is a snapshot in time and hence many of the links within the document will become obsolete over time. Some links/document references will refer to a document storage location that isn't accessible. Users should refer to the learning legacy website where these documents may be published separately.

Brigid Leworthy

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Programme Controls Management Plan

CR-XRL-Z9-GST-CR001-00002 Rev 7.0

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Previous Document History:

Revision Prepared Date:

Author: Reviewed by: Approved by: Reason for Issue

1.0 11 Jun 09 First Draft

2.0 16 Nov 09 Second Draft

3.0 Re-write

4.0 11 Jan 10 Review comments

5.0 10 Feb 10 Update

6.0 03 Aug 11 Final review

Revision Changes: Revision Status / Description of Changes

7.0 General Update

Brigid Leworthy

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1 Purpose ...................................................................................................................... 4

2 Scope, Strategy and Objectives ............................................................................... 5

2.1 Scope .......................................................................................................................... 5

2.2 Strategy ....................................................................................................................... 5

2.3 Objectives ................................................................................................................... 5

2.4 Core Principles ........................................................................................................... 6

3 Controls Responsibilities ......................................................................................... 7

4 Organisation .............................................................................................................. 7

4.1 Organisation Chart ..................................................................................................... 7

4.2 Controls Accountabilities .......................................................................................... 8

4.3 Controls Interaction Model ........................................................................................ 9

5 Functional Area Procedures & Responsibilities ................................................... 10

5.1 Planning (Schedule Management) .......................................................................... 10

5.2 Cost Management .................................................................................................... 12

5.3 Risk Management ..................................................................................................... 18

5.4 Performance Assurance .......................................................................................... 19

5.5 Reporting .................................................................................................................. 22

5.6 Baseline and Change Control ................................................................................. 23

5.7 Cost Verification ....................................................................................................... 24

5.8 IT Systems Architecture (Crystal) .......................................................................... 25

6 Reference Documents ............................................................................................ 27

7 Standard Forms / Templates .................................................................................. 28

8 Appendices .............................................................................................................. 28

Appendix A - Detailed Controls: Central, Area and Project Business teams Interaction Model 29

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1 Purpose

This Management Plan establishes the overarching principles for Crossrail’s Controls. It states the key objectives for the Programme in accordance with key commercial agreements between the Programme Sponsors, Crossrail and the Industry Partners, as well as outlining an integrated controls strategy. It records the accountabilities and approach to Controls.

Sitting beneath the plan are the functional procedure documents which detail how the functions operate within the Crossrail environment, as illustrated in Figure 1.1 below:

Figure 1.1: Controls Procedures

Procedures Owned by ControlsOwned by Finance

PlanningChange Control

Cost Risk Commercial Reporting

Contingency Management

New WBS and Cost Work Breakdown Structure

Cost Management & Forecasting

Estimating

Performance Management

Schedule Management

Risk Management

Contract Administration Handbook

Commercial Assurance

Reporting Handbook

Trend Management & Change Control

Cost Verification

Pre Tender Budget Award

Investment Authority

Key

ProcedureFunction

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2 Scope, Strategy and Objectives

2.1 Scope

Controls are carried out by the following functions and procedures:

Planning Cost Risk Commercial Reporting

Change Control

2.2 Strategy

Controls works closely with all groups and disciplines within the Crossrail Programme allowing them to effectively manage their own areas of responsibility. The strategy for controlling the Programme was borne out of the following stimulus:

Comprehensive Spending Review targets for cost efficiency.

The Big Dig Survey, working to eradicate role duplication, man-marking, lack of joined-up thinking and lack of unity

The Case for Change in Controls by embracing change as part of the project lifecycle and progressively moving from design, through procurement to construction.

These strategic requirements in turn give rise to a need to:

Provide integrated and consistent processes and systems.

Promote efficiency and effectiveness in terms of Controls functions.

Employ a highly skilled resource base.

Become the “Navigators” for the Programme Delivery Team.

2.3 Objectives

Controls has four key objectives:

Setting the standards to provide functional leadership of all Controls disciplines including Planning, Cost Management, Risk Management, Change Control and Cost Verification, Commercial Assurance and Reporting.

Integrated management information to provide management information for all functions at Programme and Area level in an integrated manner.

Foresight and advice to provide management information, analysis and reporting to assist decision-making.

Assurance to provide assurance to all stakeholders (Sponsors, Crossrail Board, Executives, Programme and Area Directors and Project Delivery teams) that the Programme has appropriate Controls commensurate with the scale of the Programme and consistent with its delivery strategy.

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Crossrail also has specific key obligations to the Sponsors as set out in the Crossrail Project Development Agreement (PDA) which relate to Controls. At the highest level, Crossrail must:

Present Controls information in Review Points, monthly reports and Semi-Annual Crossrail Reports (SACRs). SACRs include regular forecasts for Intervention Point assessments and provide information about programme milestones linked to stakeholder funding points (schedule 3 of PDA).

Process the notification, appraisal and implementation of changes with the Sponsors as appropriate (schedule 4 of PDA).

Satisfy requirements of government reviews including as appropriate.

2.4 Core Principles

In establishing Controls, Crossrail aims to adopt and adhere to the following principles:

Facilitate control by receiving planning, forecast and performance data from its Industry partners and Tier 1 contractors, integrating this into a programme-wide view.

Provide the framework to integrate, validate, interpret and report on Controls data in order to provide useful and meaningful information for option analysis, decision making and assurance.

Avoid duplication of effort in preparing and approving reports.

Support the establishment of open, trusting and honest relationships across the Crossrail Programme, both organisational and commercial.

Measure and report upon progress, such that timely decisions focused on successful project delivery can be made.

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3 Controls Responsibilities

The approval of, adherence to, and maintenance of this procedure is the responsibility of the Programme Controls Director.

The responsibilities of Controls are to:

Provide management information and analysis in support of the Crossrail Programme Delivery Strategy (Ref 2); and Crossrail Management Plans (Ref 3 and 4).

Provide a reliable source of Controls data for Crossrail and its sponsors, as allowed for within the various Industry Partner agreements.

Maintain a strong data link with the Crossrail Finance Directorate and its Strategic & Business Planning (SBP) team, and operate within Crossrail’s governance processes.

Maintain strong liaison with Crossrail’s Industry Partners to support Project Managers in the management of third party obligations.

Manage Crossrail’s overall Controls Management Plan for Controls.

Define and implement Controls systems (electronic and physical) and procedures, including ensuring that any new software or system requirements are communicated to the IT function to maintain software and protocols across the Programme.

Produce key programme management documents, processes and reports to satisfy the sponsors, statutory and other requirements.

Produce Programme-wide cost/schedule and resource forecasts.

Co-ordinate evidence for Review Points or Semi Annual Crossrail Reports draw upon evidence from routine assurance processes.

4 Organisation

4.1 Organisation Chart

This organisation chart can be located in the Crossrail Connect Homepage > Organisation Tab > Controls. This provides a high level overview of the Crossrail organisational structure and shows where Controls sits within the Crossrail organisation. The chart also shows how Controls interfaces with other departments both within the Programme and those external to the Programme within the Support and Corporate functions.

The organogram includes roles within both the Central Controls Central Team and Area Teams.

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4.2 Controls Accountabilities

This diagram shows the accountabilities of each Functional Head within Controls, specifically within the context of the key objectives relating to assurance, foresight and advice, reporting, standards and systems and tools. Additionally it shows the accountabilities of the Area Business Managers for West, Centre and East & Projectwide who also report into the Programme Controls Director.

This diagram will be updated in the next revision as part of the planned re-organization.

Head of Planning Head of Cost Head of Risk Head of Commercial

Performance Assurance

Head of Reporting Area Cost and

Commercial Managers

Head of Change Control and

Cost Assurance

Head of Contract Administration

Programme Controls Director

ASSURANCE

• Risk and issues mitigation• Quantitative Risk Assessment• Quantitative Schedule Risk

Assessment• Risk exposure assessment• Programme Directorate and

Support functions risk management support

• Risk process effectiveness review through commercial assurance

• Risk management resource co-ordination

FORESIGHT / ADVICE

• Risk management policy and strategy development and implementation

• Risk exposure scenario development

• Risk analysis against Crossrail

Investment Model analysis • Cost analysis support• Risk management

representation in wider programme

• CRL Executive, Board, Industry Partners and sponsors liaison

REPORTING

• Risks and issues reporting

STANDARDS

• Risk management standards development and implementation.

• Risk management strategy and tool use promotion

SYSTEMS/TOOLS

• ARM database co-ordination and functioning

ASSURANCE

• Schedule issues identification and resolution

• Schedule development and integration

• Programme and project milestones establishment and monitoring

• Schedule quality assessment and validation

• Planning resource co-ordination

FORESIGHT / ADVICE

• Schedule policy and strategy development and implementation.

• Master Controls Schedule development and maintenance.

• Schedule integration into Master Controls Schedule(s)

• Schedule representation in wider programme.

• CRL Executive, Board , Industry Partners and Sponsors liaison.

• Schedule analysis.

REPORTING

• Schedule reporting • Programme and project

milestones communication.

STANDARDS

• Schedule management standards development and implementation

• Schedule management strategy and software use promotion.

SYSTEMS / TOOLS

• Primavera 6 (P6) database management

ASSURANCE

• Reporting framework, information and key messaging quality assurance

• PDA Reporting compliance.• Reporting resource co-ordination

FORESIGHT / ADVICE

• Reporting policy and strategy development and implementation

• Key messaging and data identification

• Reporting representation to CRL Executive, Board, Industry

Partners and Sponsors liaison• Coordination of other functional

leads to ensure quality, timely and appropriate input of data.

REPORTING

• Reporting policy and strategy development and implementation Reporting regime co-ordination

• Monthly reporting calendar maintenance

• Reporting suite development and distribution

• Semi Annual Construction Report development and distribution

• Area and project period reporting support.

STANDARDS

• Stakeholder reporting requirements identification

• Reporting template development• Reporting standards development

and implementation• Reporting calendar and

requirements adherence

SYSTEMS / TOOLS

• Crystal database co-ordination and functioning

ASSURANCE

• Programme controls and contract administration oversight (procurement / cost / finance / schedule / risk management)

• Commercial issues resolution and contractual terms compliance oversight

• Payment and forecasting certification and payment assurance

• Contract change resolution • Contractor cost verification

oversight• Commercial reporting accuracy • Area staffing levels appropriateness

FORESIGHT / ADVICE

• Oversight and challenge around project implementation

• Cost / schedule forecasting• Business case development

oversight• Programme controls training

support• Programme controls

communications support

REPORTING

• Area level information compilation, integration and analysis

• Area level reporting

STANDARDS

• Standards and procedures compliance and execution

ASSURANCE

• Cost management and estimating implementation

• Financial data analysis • Current control programme

estimate management and maintenance.

• Contingency and estimate escalation

• Cost management and estimating resource co-ordination.

• Productivity and Performance measurement KPI maintenance

FORESIGHT / ADVICE

• Anticipated Final Cost identification

• Performance reports and trends interpretation

• Budget versus AFC comparison and analysis

• Cost alignment opportunity identification

• Change proposal review and estimate provision.

• Annual budget development (specific programme areas)

• Cost management representation in wider programme

• CRL Executive, Board, Industry Partners and Sponsors liaison.

• Major contracts awards evaluation.

• External body liaison• Performance Measurement

trend identification

REPORTING

• Programme cost reporting• Cost data reporting• G2 database co-ordination

and functioning.

STANDARDS

• Cost management and estimating standards development and implementation

• Cost management and estimating strategy and tool use promotion

• Productivity and Earned Value procedures.

SYSTEMS/TOOLS

• PRISM G2 (Cost)• RIB and candy (Estimating)• Trend database• Inflation database

ASSURANCE

• Commercial assurance implementation

• Assurance over the post award commercial performance

• Commercial controls development and embedding

• Commercial assurance reviews• Commercial assurance review

plan• Detailed commercial assurance

activity and performance tracking• Commercial assurance resource

co-ordination• CRL Executive, Board, Audit

Committee, Industry Partner and Sponsors liaison

• Audit and external audit information support

FORESIGHT / ADVICE

• Commercial assurance representation in wider programme

• Support to delivery team and First Tier in implementing commercial controls and best practice performance levels

• Training and expert advice on application of NEC

REPORTING

• Commercial assurance review reporting

• Commercial assurance framework maintenance

• Maintenance of accuracy and effectiveness of Contract Status Reports

STANDARDS

• Performance benchmarking• Commercial assurance standards

development and implementation.

• Commercial assurance strategy promotion

• Commercial control setting

• Contract administration standards development and implementation

• Guidance and management of Contract administration manual.

SYSTEMS / TOOLS

eB Contract Administration

ASSURANCE

• Contract Administration Policy, Process & Procedure ; implementation, monitoring, control and compliance

• Business Systems and Information Management

• Contract administration and discrete commercial status review

• Progressive Assessment • Commercial status review and

analysis

FORESIGHT/ADVICE

• Oversight, review, challenge and where necessary corrective action of implemented contract administration process

• Contract Administration Policy and Process

• Contract Administration and commercial programme-wide monitoring

• Contract Administration early problem identification and evaluation and solution implementation

• Programme-wide strategy for administration and management of contract close-out strategy

REPORTING

• Reporting programme-wide policy and strategy evaluation, issues, corrective action, development and implementation

• Contract Administration, various reporting formats to reporting calendar; weekly, bi-weekly, monthly, quarterly and yearly

• Business Systems and Information Management reporting: coordinated approach for varying business requirements and objectives

• Progressive Assessment performance reporting

STANDARDS

• Necessary Support for Contract Administration standards and compliance

• Works Information [after accepted change], necessary monitoring and control of compliance with WI for issued Project Managers Communications

• Contract Administration Manual• eB/CA business standards

SYSTEM / TOOLS

• eB/CA• Qlickview

ASSURANCE

Change Management• Programme change policy and

procedure• Systems to process changes to

budget and scope• Manage changes through the

approval process• Programme Baseline maintenance• Trend process at Programme level• Master Data Model maintenance

Cost Verification• Central coordination and control of

cost verification across the Programme

• Verification of Schedule of Cost Components items across the Programme

• Support to the Areas and projects in verifying subcontractor cost

• Fraud awareness and anti-fraud measures

• Assess contractor cost and finance systems

• Audit systems and costs of partners under non NEC contracts

• Asset tracking

FORESIGHT/ADVICE

• Change and contingency alerts and early warning

• Evaluation of change proposals,• Contractor performance and

contractor financial controls

REPORTING

• Programme change alert and dashboard

• Programme Change and Investment Authority papers Contingency tracking

• Cost verification dashboards -RAG reporting on contractor cost and controls

• Progressive assessment reports• Cost Assurance Commercial

Reports: recommendations from verification work

• Corrective action trackers• Cost benchmarking• Equipment registers

STANDARDS

• Change Control and Budget Management Procedure

• Programme Baseline• Master Data Model• Design management processes• Cost Verification Policy, Procedure

and Framework• Contract Admin Manual

SYSTEM / TOOLS

• Prism G2 change management• IDEA

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4.3 Controls Interaction Model

This model looks at the way in which the Project Business Teams, the Area Business Teams and the Central Controls Team interact and the different roles that they play. It provides a high level overview of Controls which is supported by more specific functional detail. It shows the reporting and information flow responsibilities of Controls and Delivery teams within the Programme including both direct and indirect obligations and reporting structures.

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5 Functional Area Procedures & Responsibilities

For each of the following areas an introduction, key objectives and roles and responsibilities are outlined in this section:

Planning Cost Risk Change Control and Cost Verification Commercial Assurance Reporting

The Crossrail Systems Architecture supports the Controls procedures and ways of working. The core systems and their interfaces are also included in this section.

5.1 Planning (Schedule Management)

Planning will support the effective delivery of the Programme and provide assurance to internal and external stakeholders. This will be achieved by:

Effective Programme performance and progress monitoring through:

An integrated, 4-level Planning hierarchy; from detailed Tier 1 Contractor Schedules to a summary level Strategic Plan.

A periodically reviewed and updated Master Control Schedule.

An agreed and change controlled Programme Schedule Baseline.

Clearly defined and change controlled Anchor Milestones; providing a representative view of the programme’s significant and important dates.

Consistent and comprehensive Planning processes and procedures in place and embedded across the programme, through:

The Programme Schedule Management procedure; a high level document summarising Crossrail Planning processes and procedure.

The Planning Manual; a detailed document describing the practical implementation of Crossrail Planning requirements and processes.

Full utilisation of available data and software tools to produce reports and analysis to support other business functions which include Procurement, Asset Management, and Operational Readiness.

Continuing to support and enhance the interface between Planning and other Controls functions such as Risk Management and Cost Management through support of their respective processes and information systems.

Communication of the Crossrail plan to all relevant stakeholders.

Clear ownership through all levels of the Planning hierarchy and associated reporting processes.

Key Objectives

In order to achieve the vision for Planning a number of key objectives have been identified:

Maintenance of the integrity and timeliness of the Master Control Schedule (MCS) through establishing an agreed Period Schedule Update Cycle and regularly monitoring schedule data quality, accuracy and completeness.

Produce, maintain and promote the Programme Schedule Management procedure and Planning Manual whilst ensuring the prescribed procedures are uniformly implemented.

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Periodically check and review the Master Control Schedule to observe the impact of the periodic update on the overall Programme forecast including analysis of the critical path.

Identify and work with other business functions to support and better co-ordinate their activity through provision of schedule data.

Identify the schedule data requirements and structures of other business systems such as PRISM and Crystal using common structures and standard codes where necessary.

Include information related to design, procurement, construction, manufacture, installation, systems integration, testing and commissioning activities including all necessary approvals, consents, access requirements and railway possession.

Roles & Responsibilities

The key responsibilities in the Planning function are:

Controls Central Team

The development and maintenance of the Level 0 Strategic Plan.

The development and maintenance of Levels 1 and 2 of the Master Control Schedule (MCS).

The development and maintenance of the Primavera Planning Database.

The development and maintenance of Schedule Reporting Metrics such as Anchor Milestones.

Identification and communication of scheduling practices at Crossrail.

Ensuring that a defined and consistent standard planning approach across the Crossrail Programme (with the exception of Industry Partners which may follow their own particular company standards).

Accepting / Rejecting Tier 1 Contractors’ Programmes.

Controls Area Team

Provide planning staffing requirements.

Integrate project and area schedules into the Master Control Schedule.

Manage schedule interfaces (LU, Network Rail, etc.).

Provide clarification on area performance as requested, and as part of periodic Schedule Management processes (i.e. Prepare Schedule and update with progress, report on progress).

Provide analysis on schedule performance as requested, including special schedule studies if required.

Highlight areas of concern and request planning support.

Escalation of any schedule related issues.

Provide area and project feedback.

Initiate/progress/approve schedule changes to baseline and inform change control process.

Project Business Team (within Delivery)

Provide planning reports. Provide clarification around planning function as requested. Identify areas for planning support. Manage schedule interfaces. Integration of projects into area-wide programme. Provide project feedback. Initiate/progress/approve schedule changes to baseline and inform change control process.

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5.2 Cost Management

Cost Management will operate an effective process to define, collate, report and manage cost data for the Crossrail Programme, with the following key benefits:

Delivery of the Programme within budget constraints.

Improved and informed decision making.

Enhanced knowledge and understanding of the Programme.

Identification and management of the most commercially viable programme solutions for Crossrail.

Provision of consistent cost data for project and programme reporting.

Focused management effort and allocation of resources.

A number of procedures exist to support the Cost Management functions. These procedures and their purposes are:

Cost Management and Forecasting Procedure: A single procedure providing timely and consistently accurate cost information and which pro-actively supports the delivery of Crossrail’s cost objectives;

Change Control & Budget Management Procedure: Implementation of a Budget Management process that provides transparent allocation of provisions, and a robust contingency drawdown process, appropriately integrated into change processes and systems and underpinned with a clear governance structure;

Estimating Procedure: A centralised estimating approach, based on using consistent procedures, and providing sufficient capability for Crossrail to provide granular estimate detail by contract, in addition to robust capex and opex benchmarking to enable VFM demonstrations to stakeholders; and

Performance Measurement Procedure: A single point of reference for the project team on the information required to deliver performance measurement, how it is collected and any agreements required between parties for a consistent result.

5.2.1 Cost Management and Forecasting Procedure

The Cost Management and Forecasting procedure provides the basis for the implementation of Programme Cost Management within the Crossrail Programme. It details the systems, processes, procedures and tools required to identify, collect, integrate and analyse all cost data within the programme. There are also references to other processes that are key to successful cost and commercial management.

The procedure applies to all projects and functional departments within the Crossrail Programme Direct Costs and will establish the requirements and provide guidance in support of the delivery of:

Budget Control & Forecast (interface with Trend & change)

AFC Control & Forecast (interface with Trend & change)

Integration with Risk Procedure

Contingency Management (link to Performance Measurement)

Schedule Integration

Supply Chain Integration (see also Section Contract Admin Data)

Reporting

Commercial Close

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Systems Architecture

Work Breakdown Structure

Programme Management Cost Reporting – Output

Programme Cost Reporting – Inputs

Commercial Control and Assurance

Financial Controls

Key Objectives

In order to achieve the aims of Cost Management a number of key objectives have been identified. In meeting these objectives the Crossrail Programme will have the ability to:

Provide programme level cost planning, budgeting, estimating, forecasting, reporting, managing and control of all the costs, assets and liabilities associated with the programme.

Minimise the Anticipated Final Cost and drive best value.

Ensure the Anticipated Final Direct Cost does not exceed the Total Sponsor Committed Funding;

Integrate Cost Management requirements with Industry Partner practices and ensure that they deliver in accordance with the Crossrail Sponsors’ Requirements.

Set robust cost baselines pre and post contract award.

Control cost through pro-actively identifying and managing change.

Operate a robust cost forecasting process to provide the appropriate financial provision.

Provide reliable, accurate and timely cost performance data.

Be efficient to operate and align with the projects systems architecture.

In addition to which the Cost Management and Forecasting procedure will provide the framework to integrate with and where appropriate support to:

A programme-wide governance process that provides clear cost thresholds / financial controls.

Trend and Change Control process.

The Investment Authority process.

Trend and change control process.

Reporting, risk, performance measurement, planning, baseline processes.

Contract administration process.

Commercial management / assurance (post contract).



The roles and responsibilities of the Controls Central team are detailed in the Accountabilities diagram in section 5.2. This diagram outlines the key accountabilities for each functional head within Controls.

Controls Area Team

Day to day guidance to the project teams.

Ensuring that the projects cost data is accurate and reflective of the current commercial and cost position on the projects.

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Ensuring that the budget, forecast, actual costs, planned values are all accurately reflected in the cost system.

Integration of project data and produce the Area Cost and Performance Reports.

Highlighting and challenge of areas of cost under-performance / concern.

Coordinating and provision of requisite staffing requirements for cost function.

Managing the Investment Authority Process to ensure contracts do not exceed current IA (as set out in the Change Control and Budget Management Procedure [Ref 5].

Controls Delivery Team

Maintenance of the Current Control Budget through the administration of change management, awarded contracts and scope transfer.

Timephasing of the Current Control Budget through co-ordination with Planning and P6.

Managing the contract and project AFC through diligent trend management.

Integration of the contractors’ data into the cost system including ACWP, accruals and progress data, target cost.

Regular reviews of contractor’s progress data from the QURR.

Investment Authority submissions.

Providing timely and accurate information on cost, based on robust Cost Management and control, including the management of any contingency provisions.

Providing regular co-ordinated forecasts and periodic re-forecasts of cost.

Providing periodic update reports for Cost Management reviews, providing analysis of expenditure to date and the latest cost forecasts.

Providing timely and accurate information on cost, based on sound Cost Management and control, including the management of any contingency provisions.

Providing regular co-ordinated forecasts and periodic re-forecasts of cost.

Providing periodic update reports for Cost Management reviews, providing analysis of expenditure to date and the latest cost forecasts.

5.2.2 Change Control & Budget Management Procedure

The Contingency Management Procedure defines the method and means by which to control the allocation and expenditure of contingency throughout all phases of delivery so that budgets can be appropriately set and risk effectively managed.

It will provide a transparent and agile process to allow the Crossrail Programme to expend contingency in a way that maximises Programme performance.

Key Objectives

In order to achieve the aims for Contingency Management a number of key objectives have been identified. In meeting these objectives the Crossrail Programme will have the ability to:

Apply strong governance to the allocation and expenditure of Contingency at all levels.

Provide scrutiny and challenge to the allocation and expenditure of Contingency at all levels.

Ensure that the allocation and expenditure of Contingency is transparent to the Area and Programme Management, Crossrail Executive, Crossrail Board and the Sponsors.

Provide timely and sufficient access to Contingency to those managing delivery risks with clear governance regulated by Change Control (refer to the Trend and Change Control Procedure) [Ref 6].

Provide the Crossrail Executive with the ability to control the Programme Contingency; the primary funding of excess cost arising from programme level risk and the source from which Delivery Contingency is allocated.

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The roles and responsibilities of the Controls Central Team are detailed in the Accountabilities diagram in section 5.2. This diagram outlines the key accountabilities for each functional head within Controls.

Controls Area Team

Supporting the effective management of Programme Level Contingency as controlled by PCSC.

Providing control in the allocation of Programme Level Contingency into Projects as Delivery Contingency by way of Investment Authority and Change Control.

Providing effective programme level reporting of Programme and Delivery Contingency.

Controls Delivery Team

Managing and reporting the performance of Delivery Contingency allocated into the Project.

Transferring Delivery Contingency into Contracts in accordance with the Contingency Management Procedure.

Monitoring and reporting the emergence of cost risk and subsequent utilisation of Delivery Contingency.

Assessing and reporting on the potential requirement of additional Delivery Contingency by way of the Trends process.

5.2.3 Estimating Procedure

The Estimating procedure and process is now largely redundant as most of contracts are awarded. The procedure is still relevant for unawarded contracts but is not used to manage scope for awarded contracts.

The Estimating procedure [Ref 6] sets out how the following objectives will be achieved:

Maintain a centralised estimate whose constituent sub-components are owned by all the responsible parties with the data presented in a consistent format.

Have a defined set of procedures and processes for the progressive updating of the estimate (at contract level) at key points in the design development process.

Adopt a streamlined process that should eliminate double handling of data as it will contain mechanisms for peer review and sign off prior to publication.

Produce Pre Tender Estimates (PTEs) and budget transfer, as required, in support of PTBA and IA process.

Assist in the tender evaluations process.

Support delivery teams during contract administration in the evaluation of Compensation Events; flexing resource to manage “peaks”.

Support in the change control and “trend” process as required.

Demonstrate value for money (VfM) through appropriate benchmarking (this may additionally be supported by commercial assurance).


The key responsibilities in the Estimating team are:


Estimates: View Estimates for the various RIBA stage Stations to Stage E.

Reforecast: Review Estimates produced by the Cost Engineers when appropriate.

Prepare Pre Tender Estimates (PTE) prior to the ITT process (Revised quickly/ top down to reflect market conditions).

Provide the Contract Administration Team with the PTE for use during the Tender Evaluation.

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Tender Evaluation: Liaise with the Contract Administration Team and present the estimate evaluation.

Pricing Documents: Prepare Appendix Q pricing documentation.

Tender Evaluation: This is functionally led by the ABM’s. The Estimating team will support in terms of tender evaluations.

Review Contractor’s estimates for compensation events. When required (for complex/ large CE’s)

Central Team to send advice and direction to the Project Team to determine the value of a Compensation Event.

Ad Hoc: Support at Project Level (SACR etc.) also potential Value Engineering exercises and 3rd Party (inc Network Rail).

WLC / opex: Undertake Operational and Whole Life Cost to support selection.

Industry Body Interface: Benchmarking e.g. IUK.

IA Reviews: Assurance that package budget and scope align.


Estimates: Project Cost Engineer to work with the Central estimating team to allow budgets to be prepared.

Re-forecast: The Project Cost Engineer to provide re-forecasts when required.

Tender Evaluation: Project Cost Engineer to support as necessary and as agreed with the ABM’s.

Compensation Events: When necessary, Project Cost Engineer to provide estimates and review with central estimating team complex compensation events.

IA Reviews: Project Cost Engineer detailed submission for package IA and contributions to QRA.

Changes - Support from Contract Administration Team. Contractual advice - Support from Contract Administration Team.

Compensation Events: Receive the Contractor’s estimates and review with Cost Engineer and Project Planner for Entitlement.

Estimates: Project Engineer to liaise with Engineering / Project Team and receive quantities from the FDC for estimate preparation. Estimate to be prepared by Cost Engineer in conjunction with Central Estimating team.

Pre-Tender Estimates: Project Engineer to liaise with Engineering / Project Team and receive quantities from the FDC for estimate preparation. Estimate to be prepared by Cost Engineer.

Ad Hoc: Project Engineer to provide support in considering options prior to being instructed at Contract level.

IA Reviews: Project Engineer to liaise with Cost Engineers to develop package IA submission.

5.2.4 Performance Measurement

Performance Measurement is the monitoring of performance information, targeted at delivering the project scope within project budget and within the allocated timeframe.

Performance Measurement delivers the following key benefits:

A Crossrail performance measurement regime that provides a comprehensive consistent timely and reliable view of the programme’s performance.

A measurement regime that predicts performance and triggers management action to positively influence the outcome.

Production of a single performance measurement regime that recognises the necessity for multiple Performance Measurement Baselines (PMBs); to include Programme and Contract levels as a minimum.

Revised performance management processes enabling more effective and agile financial controls, such as in Contingency Management, and improved management information to allow quicker decision making, supported by an upgraded PRISM G2 system that reflect revised processes.

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A performance measurement regime that includes Earned Value Analysis (EVA) as well as other meaningful indicators of performance.

Key Objectives

The Performance Measurement procedure sets out how the following objectives will be achieved:

Expand and develop existing capabilities and tools, wherever practicable.

Embed a consistent and comprehensive set of EVA processes and procedures across the programme.

Improve awareness and understanding of EVA as a technique for measuring performance;

Adopt alternative measures of performance in order to provide supplementary views of progress and cost performance, that satisfy the needs of all stakeholders from Sponsors to Contractors.

Develop a PMB hierarchy to ensure contract requirements respected, contingency allocations/budget allocations reflected and communication of multiple PMBs will be taken through the organisation and to JST.

Base performance measurement on a single, programme-wide WBS.

Define an EVA approach and validation thereof which considers: o Degree to which schedule is cost loaded

o Earned Value engine

o Treatment of risk and contingency

o Incorporation of change



The roles and responsibilities of the Controls Central team are detailed in the Accountabilities diagram in section 5.2. This diagram outlines the key accountabilities for each functional head within the Controls Central Team.

Controls Area Team

The Controls Area Team is responsible for validating that the performance measures established are consistently and appropriately defined and implemented across all contracts in the Area and raising any concerns with the Project and Area Business Managers as required.


Project Manager:

The Project Manager is accountable for establishing how Earned Value (EV) and Productivity will be measured at Contract level in discussion with the Contractor. The Contractor will submit this information for acceptance within 4 weeks of the starting date, as part of establishing the Baseline Accepted Programme [Ref 7].

As part of the periodic reporting the Project Manager is responsible for assessing the Contractor’s reported performance and implementing revisions for inclusion in the period reports as deemed appropriate.

1st Tier Suppliers:

As part of the periodic reporting the 1st Tier Supplier is responsible for reporting performance in line with the agreed methods for EV and Productivity.

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5.3 Risk Management

Risk Management will support the effective delivery of the Programme and provide assurance to internal and external stakeholders. A guiding principle will be to ensure that those best placed to manage risk within the new organisation are given the responsibility for doing so.

The objectives of Risk Management are to:

Reduce the likelihood or impact of events that would have a negative impact on the project and reduce the negative consequences of such events.

Provide assurance to internal and external stakeholders that the project understands its significant risks and is actively managing them.

Improve decision making, planning and prioritisation by improving understanding of uncertainty and risk.

Key Objectives

In order to achieve the vision for Risk Management a number of key objectives have been identified:

Process and Governance

Retain the existing hierarchy of risk information (i.e. Strategic, Programme, Area, Project risks).

Continue to embed Risk Management into business as usual project management activity. Adopt a standard governance for managing risk throughout Crossrail, with regular review and

reporting of risk by line management.

Ensure that emphasis is placed on converting our understanding of risks into positive plans of action which follow through with effective mitigation.

Encourage Tier 1 contractors to embrace the active management of risk.

Integrate the use of Quantitative Risk Assessment into the day to day risk management activity.

Ensure that Accountable Mangers are responsible for the quantitative assessment of risk as part of cost reporting.

Develop a standard approach to measuring Risk Management performance.

Identify and share best practice within the Crossrail organisation and with supply chain partners.

Benchmark Crossrail’s Risk Management approach with other organisations.

People

Ensure that accountability for managing risk resides with those responsible for delivering scope.

Develop a risk management organisation where Risk Managers and Analysts are responsible for supporting the risk management process and are organised to support the Delivery teams.

Encourage Accountable Managers to take on the maintenance of risk information themselves wherever possible.

Systems and Tools

Continue to maintain ARM as a common platform for the recording and monitoring of risk information introducing changes to the system only when there is a clear business benefit.

Provide limited access to ARM to Tier 1 Contractors to facilitate the efficient and effective exchange of risk information.

Provide quantitative risk assessment tools to a broader group of individuals to allow Area delivery teams to carry out QRA.

Roles and Responsibilities


Programme Controls Director:

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Ensure that appropriate resources are available to support the risk management process.

Ensure that appropriate policies, plans and procedures are in place for managing risk and that these are being followed.

Head of Risk Management:

Define and maintain Crossrail’s Risk Management Policy, Plan and Procedure.

Develop the Risk Management capability of Crossrail and the Supply Chain to support the Risk Management Plan.

Report on key risks and risk management performance at Programme Executive, ExComm and Board levels.

Conduct programme-wide assessment of risk exposure using quantitative techniques (both cost and schedule).

Support Accountable Managers – particularly at the Area and Programme levels - to manage their risks.

Controls Area Team

Area Business Manager:

Ensure that appropriate resources are available to support the Risk Management process.

Ensure that the policies, plans and procedures in place for managing risk are being followed.

Area Risk Manager:

Implement the Risk Management Plan and Procedure in accordance with the Policy.

Develop the capability of Crossrail and the Supply Chain to support the Risk Management Plan.

Report on key risks and risk management performance at Project and Area levels.

Conduct assessments of risk exposure at the project and contract levels using quantitative cost techniques.

Support Accountable Managers – particularly at the Project and Area levels – to manage their risks.


Manage risk in accordance with the Plan, Procedure and Policy.

Provide Project Risk Management reporting.

Highlight areas of concern and request Risk Management support.

Provide clarification on Project risks and Risk Management performance as requested.

Provide Project level feedback.

5.4 Performance Assurance

The vision for Crossrail’s Commercial Assurance function is set out within Crossrail’s Commercial Assurance Policy [Ref 8].

The policy sets out a vision, “to assure that the post award commercial performance of the delivery team, including the supply chain, is of a level that would be recognisable as industry best practice to the extent that Crossrail’s cost and commercial objectives can be achieved.”

The remit will include demonstrating performance to key stakeholders, and providing an intelligent assurance model focused on robust self assurance practices. The intention is to progressively support capability enhancement and performance improvement, to enable a reduction in assurance activity through Crossrail’s duration. This includes providing internal audit/TfL with sufficient assurance to reduce their need to undertake commercial audits across the delivery function. Contract Administration is integrated with Commercial Assurance.

The Head of Commercial Assurance is accountable for delivering this vision.

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The Commercial Assurance process provides a mechanism for a number of other Controls functions to obtain assurance in relation to delivery team performance. This includes risk, cost and contract administration. The Head of Commercial Assurance will co-ordinate the assurance activities of respective functions.

5.4.1 Commercial Assurance Procedure

The Commercial Assurance procedure sets out how the following objectives will be achieved:

To pro-actively aid delivery teams (including the 1st tier supply chain) in establishing appropriate commercial controls and best practice performance levels.

To pro-actively identify and report on commercial red flags across Crossrail’s key contracts;

Support capability enhancement; providing access to Crossrail’s functional leaders/ their dedicated teams.

Drive continuous improvement; through bringing outside learning into the Programme and acting as a platform for shared learning.

Be efficient to operate; directing resource to aid improvement and avoid man-marking.

Provide demonstrable evidence to stakeholders; through capturing quantitative evidence of best practice commercial performance.


The Controls Central Team

The roles and responsibilities of the Controls Central team are detailed in the Accountabilities diagram in section 5.2. This diagram outlines the key accountabilities for each functional head within Controls. The key responsibilities in the Commercial Assurance function are:

Head of Commercial Assurance:

To represent the commercial assurance function within the wider Crossrail Programme governance structure and liaise with the Crossrail Executive, Crossrail Board, Industry Partners, Sponsors and other key stakeholders to provide strategic support and engender confidence in Crossrail’s commercial performance and assurance.

To chair the Commercial Assurance Working Group who will have the responsibility to: o Coordinate, integrate and manage the successful implementation and operation of the

commercial assurance function across Crossrail.

o Complete and implement a 12 month commercial assurance review plan.

o To act as the group to provide internal audit and external audit groups with appropriate commercial assurance (providing a level of protection to delivery teams).

o Over-see the implementation of sufficient commercial assurance reviews / audits that would provide cost and commercial assurance to internal and external stakeholders in relation to Crossrail’s objectives.

o Maintain the commercial assurance framework and performance metrics.

o Manage the output from reviews that may include undertaking detailed assurance activity and / or aiding and tracking performance improvement.

o Provide external performance data and carry out benchmarking and comparison exercises as required.

Support delivery teams and the supply chain in achieving the commercial performance expectations of Crossrail.

Provide external performance data and carry out performance benchmarking and comparison exercises as required.

To own and manage the commercial value section of the commercial assurance framework.

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Functional Leaders:

To own the area of the controls & performance framework relevant to their functional responsibility.

To aid in the coordination of assurance reviews.

In conjunction with the Head of Commercial Assurance to undertake reviews where relevant across the selected commercially valuable contracts.

To act as a source of guidance and support to aid installation of appropriate controls and industry best practice levels of performance across the Programme.

Controls Area Team:

To support the identification of Commercially Valuable Contracts and planning of Commercial Assurance Reviews.

To act as a source of guidance and support to aid installation of appropriate commercial controls and industry best practice levels of performance across the Programme.

Identify / raise / communicate performance issues to the Head of Commercial Assurance (and relevant functional heads).

The Controls Delivery Team Project Business Function

To deliver industry best practice commercial performance on behalf of Crossrail.

To assure that the appropriate commercial controls and performance levels are achieved as set out within the framework.

To commercially manage the 1st tier suppliers.

To identify and communicate commercial risks / concerns to the Area Business Team.

1st Tier Suppliers:

To deliver industry best practice commercial performance on behalf of Crossrail; and

To identify and communicate commercial risks / concerns to the Project Business Team (PM).

5.4.2 Contract Administration Procedure

This procedure has been integrated with the Commercial Assurance function.

Key Objectives

The Contract Administration procedure sets out how the following objectives will be achieved:

Enable effective and consistent controls to be established in Contract Administration.

Support, develop and implement an efficient and effective Contract Administration system that enables the Employer’s and Project Manager’s contractual obligations to be met.

Support, develop and implement an efficient and effective Contract Administration System that enables transparent and robust reporting.

Provide a transparent, auditable record of contract administration.

Demonstrate contract performance measurement to programme sponsors / wider stakeholders in order that Crossrail’s commercial objectives are enabled / preserved.

Embed streamlined and rationalised processes for contract management, integrated with other processes such as change control, where relevant.

Support the integration of the Commercial Assurance procedure through appropriately discharging contract assurance activities.



The roles and responsibilities of the Controls Central team are detailed in the Accountabilities diagram in section 5.2. This diagram outlines the key accountabilities for each functional head within Controls.

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The Controls Area Team

Establishing and monitoring Contract Administration KPIs.

Provide Contract Administration assurance to the contract administration manager.

Provide functional leadership, support, training and advice to the Area Directors and Project Managers to assist them in the Contract Administration of the Contracts.

Assuring the Contract Administration Process will promote and enable consistency of approach across the Delivery Teams as far as is practicable.


Provide functional leadership, support, training and advice to the Area Directors and Project Managers to assist them in the Contract Administration of the Contracts.

Assuring the Contract Administration Process will promote and enable consistency of approach across the Delivery Teams as far as is practicable.

Provide Contract Administration assurance to the Delivery directorate.

5.5 Reporting

The Reporting function delivers the following key benefits:

Efficient and effective reporting aligned to programme management and stakeholder requirements providing tailored, appropriate content, with greater clarity, standardisation and automation in the renewed Crystal system.

Develop regular, reliable reports and management information which present a clear and consistent view of how Crossrail is tracking towards delivery:

Produce reports in which Crossrail’s stakeholders are confident that the data has been optimally mined, processed and interpreted, so that the appropriate corrective or reinforcing actions can be taken at the earliest opportunity.

Provide an accurate record of performance to date.

Reliable forecasts that assist prioritised decision making and interventions.

Provide assurance and confidence to the Programme Sponsors and stakeholders.

Key Objectives

The Key Objectives of the Reporting function are to:

Generate high quality, relevant, credible, insightful and timely reports.

Provide an efficient and effective reporting process for the Crossrail Programme and its sponsors, which is aligned to the requirements of its management and stakeholders (each requiring different levels of detail and focus on the progress of the programme) meeting the requirements of the operating model.

Demonstrate that effective reporting can be enabled from a ‘single source of the truth’.

Drive accountability of data and information to improve reporting quality and ensure the reporting is fit for purpose in the procurement and delivery phases of the programme.



The roles and responsibilities of the Controls Central team are detailed in the Accountabilities diagram in section 5.2. This diagram outlines the key accountabilities for each functional head within the Programme.

The Controls Area Team

Provide timely and accurate reports and other information as set out in the Reporting Procedure [Ref 9] (This is an assurance process invoked in the Crossrail Assurance Plan) to enable compliance with the reporting requirements set out in the PDA.

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Produce progress, commercial and other reports on the status of the Programme, at an Area level to fully inform the Programme Directorate and Board on the progress of the Programme, reporting of design and construction issues, commercial agreements and settlements.

Reports produced include the Semi Annual Construction Report, Board Report, and the Area Director’s Report.

Co-ordinate project element progress meetings and attend Programme progress meetings.

Collect all necessary data for the compilation of Area reports and by developing and managing associated project level reporting protocols.


Assist the Area Delivery teams in producing project level information used to populate area and programme level reports.

5.6 Baseline and Change Control

Overview

The Baseline and Change Control purpose is set out within Crossrail’s Change Control and Budget Management Procedure. The aim of Baseline and Change Control is to deliver the following key benefits:

To establish a programme baseline which contains sufficient detail information relating to programme scope, schedule and cost, to support programme control and performance management.

To maintain an up to date programme-wide baseline providing the ability to measure Programme performance.

To operate a single Trend and Change Control process applicable at programme and project levels which controls all change.

To assure the integrity of the programme baseline.

Key Objectives

The Key Objectives of the Baseline and Change Control function are to:

Develop and maintain a robust baseline with sufficient detail to provide a reference point for performance measurement and change control.

Identify potential changes early and ensure that corrective action is taken where possible in order to mitigate the undesired consequences of such change.

Establish clear governance for change, including delegation of authority in relation to differing values and types of change.

Embed efficient change control processes at programme and project level.

To alert Crossrail management to early indications of potential variance to the current baseline during the execution of the projects, and allow corrective action to be identified and implemented.

To apply strong governance to the allocation and expenditure of Programme Contingency, whilst providing timely and sufficient access to Contingency to those managing delivery risks.

To establish budgets including contingency which are affordable within the funding envelope and represent value for money.


Controls Central team

The Programme Change Team will ensure that there is a clear definition of the Programme Baseline at any point, administer baseline change control and ensure that this is efficiently updated and communicated in response to approved change.

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They will also ensure that there is a robust impact assessment and cost/benefit analysis of proposed changes when required, and that these are appropriately reviewed and approved.

The change control process is defined in the Change Control and Budget Management Procedure [Ref 5] (This is an assurance process invoked in the CRL Assurance Plan).

Maintain programme and project baseline data.

Administer the Trend and Change control process and provide guidance on its application.

Manage the review and updating of the Control Baseline as appropriate.

Controls Area Team

Provide clarification on Area performance as requested.

Escalate trends / Change requests.

Provide Area reporting and assurance.

Cascade briefing/ training on Change Control process.

Administer the Change Control process at Area Level.

Communicate Area/Project baselines.


Project Controls teams will manage the change control process at Project level. They will monitor and report against potential and approved Trends, producing periodic reports for review as required, identify trends and systematic issues and trigger corrective action as required.

5.7 Cost Verification

Delivery of Crossrail (CRL) in a manner that provides best value is a critical Programme objective. A key driver in achieving value is successful cost control from within the supply chain and CRL recognises that collaborative working with Contractors must be balanced by rigour in verifying Defined Cost.

Key Objectives

The key objectives of Cost Verification will be to:

Support the Project Managers in their responsibility to make a fair and valid assessment of Defined Cost under CRL’s contracts.

Proactively drive improved cost controls and processes in order to prevent submission of non-Defined or Disallowed Costs and to create an environment of deterrence against non-compliant Defined Cost submissions, fraud and corruption.

Measure and communicate to management and stakeholders the outputs of the Cost Verification team and Project teams in enhancing cost controls and preventing overpayments, thereby contributing to stakeholder confidence in the commercial management of the Programme.

Obtain and publish intelligence from cost and operational data to aid evidence-based decision making throughout the Programme.

Support the Project Manager and the Employer in establishing a consistent interpretation of Defined Cost elements of the NEC contract across the Programme.

The approach to cost verification will be:

Collaborative: the emphasis will be on working with contractors to improve controls and encourage contractual compliance in applications for payment.

Risk-based: focusing resources on areas of material risk

Smart: utilising technology and specialist skill sets to drive efficient and effective cost verification

Open: ensuring that audit evidence and data is made available to support audits carried out by the Employer and public bodies on behalf of sponsors or stakeholders and assist such audits as required.

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Cost verification will be carried out in the spirit of core clause 10 to the NEC Engineering and Construction contract:

“The Employer, the Contractor, the Project Manager and the Supervisor shall act as stated in this contract and in a spirit of mutual trust and co-operation.”


Controls Central team

The cost Verification Function will:

Verify Defined Costs under the SoCC.

Verify sub-contract costs which are chargeable on an emerging cost basis.

Develop the cost verification plan on a risk based approach, taking account of the assessment of contractor financial controls and contract performance in complying with the contract in matters of cost.

Consult and collaborate with the PM, PMR and CA teams in performance of these functions.

Provide expertise in the assessment and control of cost.

Report to CRL management on the status of payment, assessment of controls and risk, and levels of disallowed cost.

Report to the PM, PMR and LCA on finding of CACRs and make recommendations of disallowances or withholding of payments.

Input assessment of contractor controls and compliance to the Commercial Assurance Process and the Performance Assurance Process.

Area and Project Contract Administration teams

Administer payment to the main contractor and raise the Contract Payment Certificate each period

Maintain the NDDCR

Verify that Contractor’s payments to subcontractors are in accordance with the terms of their subcontract, including validation of Compensation Events as necessary;

Perform an overview of staff and labour records for time spent on the contract, Equipment records for Equipment charged to the contract and Materials charged to the contract. In each case they will flag potential issues for in depth review by the CVA.

Monitor the contractor’s performance and mange Disallowed Cost as necessary for matters of performance (resources / plant / materials not used to Provide the Works, failure to give an early warning and failure to follow an accepted procurement procedure)

Ensure capture / disallowance of defined costs associated with Insurable events, Non-conformance, defective works, and resources not used to provide the works Communicate CACR terms of reference and reports to the Contractor by PMC.

5.8 IT Systems Architecture (Crystal)

The Crossrail Systems Architecture supports the Controls procedures and ways of working. The objectives of the Systems Architecture are to integrate the core systems and their interfaces, enabling close alignment between the key Controls functions.

Figure 6.8.1 below highlights these core systems and their interfaces and identifies the critical data flows to support Controls.

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Figure 6.8.1: IT Systems Architecture (Crystal)

4.14.5

4.4

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6 Reference Documents

Ref: Document Title Document Number:

1 Programme Controls Reporting Glossary of Terms

CR-XRL-Z3-MDA-CR001-50019

2 Crossrail Delivery Strategy CR-XRL-Z-GST-CR001-00001

3 Management Plan Volume 1 Support Directorates and Governance

CR-XRL-O4-GPG-CR001-00001

4 Management Plan Volume 2 Central Section Delivery

CR-XRL-O4-GPG-CR001-00004

5. Change Control and Budget Management Procedure

CR-XRL-Z9-GPD-CR001-50003

6. Estimating Procedure CR-XRL-Z9-GPR-CR001-00011

7. Works Information, Volume 2B, Part 14, Management & Administration of the Works CRL1-PDP-W-XWI-CRG03-00014

8. Commercial Assurance Policy (placeholder)

(Available from Commercial Assurance Procedure – Appendix A)

CRL1-XRL-Z9-PCY-CR001_Z-50002

(CRL1-XRL-Z9-GPD-CR001_Z-50002)

9. Reporting Procedure CR-XRL-Z9-GPR-CR001-00012

10. Programme Schedule Management Procedure CR-XRL-Z9-GPR-CR001-00006

11. Planning & Scheduling Handbook Crossrail Planning Page "Planning Manual"

12. Programme Cost Management & Forecasting Procedure

CR-XRL-Z9-GPR-CR001-00010

13. Estimating Procedure CR-XRL-Z9-GPR-CR001-00011

14. Change Control and Budget Management CR-XRL-Z9-GPD-CR001-50003

15. Single WBS for Programme CRL1-XRL-O7-GPD-CR001-50001

16. Contract Performance Measurement Policy (Placeholder)

CRL1-XRL-Z9-PCY-CR001_Z-50001

17. Performance Measurement Procedure CRL1-XRL-Z9-GPD-CR001_Z-50001

18. Programme Risk Management Procedure CR-XRL-Z9-GPR-CR001-00009

19. Risk Management Policy CR-XRL-Z-UPP-CR001-00011

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20. Risk Management Plan CR-XRL-Z9-GPR-CR001-00014

21. Commercial Assurance Procedure CRL1-XRL-Z9-GPD-CR001_Z-50002

22. Contract Administration Manual CRL1-XRL-W-GML-CR001-50001

23. Reporting Procedures Handbook CR-XRL-Z9-GPR-CR001-00012

24 Schedule of Authorities (draft) CR-XRL-Z6-GST-CR001-00013

25. Scope Book Change Control Procedure CR-XRL-Z9-GPD-CR001_Z-50001

26. Cost Verification Policy Statement CRL1-XRL-Z9-PCY-CR001-50001

27. Quantity tracking procedure CRL1-XRL-Z9-GPD-CR001_Z-50003

7 Standard Forms / Templates

Ref: Document Title Document Number:

A. CCSC Proposal Form CR-XRL-Z9-ZFM-CR001_Z-50001

8 Appendices

Appendix A - Detailed Controls: Central, Area and Project Business teams Interaction Model

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Appendix A - Detailed Controls: Central, Area and Project Business teams Interaction Model

Direct line reporting relationshipIndirect reporting relationship

• Operational communication as required but Area Business Teams should be aware

• Generate and provide technical data and reporting

• Provide technical subject matter expertise

• Provide functional project reporting and assurance

• Provide clarification and insight around function as requested

• Identify areas for functional support

• Provide project feedback

• Cascade functional policy, processes, procedures and standards

• Cascade training and awareness on new processes and systems

• Provide functional support and guidance to project business team

• Facilitate project input into development of new processes and awareness

• Review and challenge project functional data and performance

• Cascade functional policy, processes, procedures and standards (as applicable)

• Provide functional subject matter expertise and support

• Maintain functional overview of delivery

• Provide advice on functional aspects of delivery and reporting requirements

• Review and challenge contract functional data

• Co‐ordinate project delivery

• Manage and support project business team

• Provide area functional overview

• Support area decision making

• Highlight areas of concern and identify functional improvement opportunities for area

• Provide line / financial management

• Give strategic / area direction

• Provide function overview

• Provide integrated Programme‐wide information, reports and insight

• Support upward Programme Controls message delivery

• Provide quality assurance

• Identify Programme Controls improvement opportunities

•Provide strategic direction and guidance from governance structure

•Direct line / finance management

•Co‐ordinate Programme Controls delivery

•Provide Programme Controls leadership and development

• Provide functional area reporting and assurance

• Highlight areas of concern and request functional support

• Provide clarification and insight on area performance as requested

• Provide area & project feedback

• Define functional policy, processes, procedures & standards

• Cascade training on new processes and systems

• Provide functional support and guidance to area business team

• Consult on establishing new processes and systems

• Provide functional co‐ordination

• Review and challenge area functional data and performance

• Where required provide related Programme‐wide issues/feedback

• Take coordinated programme management decisions based on integrated understanding of programme‐wide information and reporting

• Undertake day‐to‐day operational management of project

• Provide assurance on contract delivery

• Provide background and clarity on project performance

• Provide project overview and assurance

• Support project decision making

• Highlight areas of concern and identify functional improvement opportunities for project

Provide assurance and insight through reporting

•Provide strategic direction and guidance from governance structure

• Provide area leadership and development

Tier 1 Contractors

Programme ControlsDirector

Project Manager

Area Director

Programme Controls Central Team

Project BusinessTeam

Area Business Team

Central Section Delivery Director

• Take coordinated programme management decisions based on integrated understanding of programme‐wide information and reporting

Provide and cascade standards, direction and insight

• Co‐ordinate functional support between area and project

• Co‐ordinate functional support between area and project

• Co‐ordinate project delivery

• Administer contract

• Fulfil Crossrail contract obligations

• Ensure framework in place and operational

• Fulfil organisation contract obligations

• Provide assurance, clarification and insight on contract delivery

• Provide strategic direction and guidance

•Direct line / finance management

• Co‐ordinate Programme Controls delivery

• Provide Programme Controls leadership and development

• Provide area overview and analysis

• Support upward Programme Controls message delivery

• Identify Programme Controls improvement opportunities

• Operational communication as required but Area Business Teams should be aware

Controls Management Plan Document...2016/02/01 · Manage Crossrail’s overall Controls Management...

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Transcript of Controls Management Plan Document...2016/02/01 · Manage Crossrail’s overall Controls Management...