1. Workplan Review Group
21 December 2016

2. Agenda Tea and coffee All 09:30-10:00
Welcome and actions from previous meetings
November WRG
Other outstanding actions
Tom Notman
10:00-10:10
Ofwat programme update
Adam Cooper
10:10-10:30
Defra programme update
Sam Jackson
10:30-10:50
MOSL programme update
Review of key risks
Steve Lyon
10:50-11:10
Break
11:10-11:30
Markets update
Interim Codes Panel
Day 1 switching
Volume transfers
Update on other activities
Martin Silcock
11:30-12:30

3. Agenda Lunch All 12:30-13:00 Systems update
Level of quality expected in CMOS following R2.26 and R2.3
Stephen Winnie
13:00-14:00
Settlement workshop
Top 10 settlement issues
Liz D’Arcy
Tom Notman
14:00-15:00
Future WRG proposals in the live market
15:00-15:15
AOB
Update from trade effluent Workshop
Wrap up and close
15:15-15:30

4. Welcome and actions from previous meetings
Tom Notman

5. November WRG actions Action Update
MPs to provide feedback on level one plan to Amanda Rooney
Covered in Ofwat’s update
Defra to clarify in LoA3 that section 2 components 1 and 3 don't need to be filled out
Completed
Defra to change wording in LoA3 to allow contract to be signed in the future
MOSL to canvass opinions on plan for settlement reports which will be published during the live market but refer to pre-live data
Communication requesting feedback will be sent shortly
MOSL to issue programme note on processes (posting credit, etc) ahead of the market opening
To be issued in January
MOSL to publish the full risk register to website
MOSL to publish statistics on how complete the current Market Data Set is
MOSL currently discussing

6. November WRG actions Action Update
MOSL to hold workshop on Trade Effluent charging in December
Workshop took place 20/12
MOSL to share water quality incident scenarios
Completed 30/11/16
MPs to feedback changes/additions to Operational Process plan by 2 Dec
Comms sent 20 December
MOSL to set up measuring performance working group
Has now been established
MOSL to set up a call for 'lessons learnt' not covered at the November WRG
Lessons learnt calls will begin in Jan
MOSL to confirm date of December WRG

7. Ofwat programme update
Adam Cooper

8. Information for WRG members
Programme update
Information for WRG members

9. Key tasks delivered Task Date Competition Act guidance relaunch
5 December
Transition conclusions
14 December
MAC-WRC consultations closed
16 December
Panel elections- wholesaler and new entrant
15 December

10. Key tasks to be delivered next month
Date
CEO workshop
24 January
Market monitoring framework consultation
Mid January
WRC and MAC conclusions
January
Statutory consultation on transition scheme
February
Customer awareness survey results published
Transition information note
Derogations final position

11. Statutory Transition Scheme
Responses to earlier consultation were all broadly supportive of the proposed scheme
Published response document on 14 December, which confirmed:
Ofwat will use statutory transition scheme to revoke WSLs and confirm compensation shall be nil; and
Defra will address the issue of existing section 66D agreements in its 8th Commencement Order

12. Programme update on wider transition arrangements
We plan to publish a further Programme Update in January to provide an update on the wider transition issues, including:
Confirming a 30 working day ‘freeze’ on processing WSL customer switches under the Customer Transfer Protocol (CTP); and
Arrangements for the signing the MAC framework agreement – planned for Monday 6 March to align with SoS process
Note: we propose to implement the freeze on CTP switching ahead of market opening by confirming that Ofwat will not view any refusal to process a switch to a WSL during that short, defined period as a breach of licence obligations.
It will not affect the separate preparations for possible Day One switching by WSSLs under the new framework.

13. Integrated Market Opening Plan – October 2016
Repeat activity
All trading parties
Trial trading parties
MOSL and all TPs
Defra
MOSL
Open Water
Ofwat
KEY
HoP = Houses of Parliament
TP = trading party
Critical
milestone
Milestone
System design, build and test
Governance
Assurance letter – final MO
info. for HMT
TP data for phase 1 build
System design – Phase 1, TP functionality
System design – Phase 2, MOSL functionality
Security penetration testing
Run full service desk operation
System integration test, phase 2 build
Live service desk operation
Assurance letter – interim
Assurance letter – planning
MCR published
System requirements sign-off
Codes baselined
SoS decision
Go Live
Checkpoint on progress to baseline
Shadow market operations
Review │ Refine │ Implement market opening plan
Release planning
Website finalised
Collaboration
tool training
Final data load
Remedial data load and assurance
Market readiness
Sector test system cycle 1
Sector test system cycle 2
Pre go-live comms
If fail
UAT reports on MOSL website
TP training needs analysis
Formal market entry
assurance testing
MCR Planning
Readiness self assessment
Readiness assessment
Market report to Ofwat / Defra
Market entry reassurance testing
TP market entry assurance certification
confirmed & complete
issued to all TPs
Retail Exits allowed
Publication of charging guidance
Charging guidance to Ofwat in HoP
Shadow market
workshop
comms event
New entrant comms event
Update system 1
Update system 2
Update system 3
MOSL system sign-off
UAT 2.0
Service acceptance testing
UAT 1
Commencement work for Retail complete
Shadow market opens
System build – Phase 2, MOSL functionality
System build – Phase 1, TP functionality
System integration test, phase 1 build
Run initial service desk operation
Training delivery – Phase 1
Data load 3
Data load 2
Test environments
Data load 1
Market scenario testing
Data test environment
Independent review
Market entry business solution assessment
Design phase 1
Design phase 2
Build phase 1
Build phase 2
User acceptance testing 1
User acceptance testing 2
Market entrant readiness complete
Design and build
Test
Shadow
Go live
Oct 15
Nov 15
Dec 15
Jan 16
Feb 16
Mar 16
Apr 16
May 16
Jun 16
Jul 16
Aug 16
Sep 16
Oct 16
Nov 16
Dec 16
Jan 17
Feb 17
Mar 17
Apr 17
TP engage-
ment survey
TP engage-
ment survey
TP engage-
ment survey
TP engage-
ment survey
TP engage-
ment survey
TP engage-
ment survey
Training delivery – Phase 2
UAT 2.1

14. Integrated Market Opening Plan – December 2016
Repeat activity
All trading parties
Trial trading parties
MOSL and all TPs
Defra
MOSL
Open Water
Ofwat
KEY
HoP = Houses of Parliament
TP = trading party
Critical
milestone
Milestone
Shadow
Go live
Oct 16
Nov 16
Dec 16
Jan 17
Feb 17
Mar 17
Apr 17
May
June
Enduring panel elections
Set up enduring panel
Enduring panel goes live
Assurance letter – interim
Assurance letter – final
SoS response to final Assurance letter
Governance
Shadow market opens
Programme update on transition
Retail Exits allowed
Consultation transition scheme
Statutory transition scheme issued and takes effect
MO to be appointed by wholesalers and retailers
Scoping work for final retail market commencement order complete
Commencement Order is made
Commencement order provisions come into force
TP engage-
ment survey
Market report to Ofwat / Defra
Market report to Ofwat / Defra
Readiness assessment
Readiness assessment
Market entry reassurance testing
UAT reports on MOSL website
Pre go-live comms
Market readiness
Formal market entry
assurance testing
TP market entry assurance certification
confirmed & complete
TP market entry assurance certification
issued to all TPs
If fail
If fail
Final data load
Remedial data load and assurance
Test environments
20 Switching process
Run full service desk operation
Live service desk operation
Shadow market operations
System design, build and test
Review │ Refine │ Implement market opening plan
Release planning
System release 2.26 – 9 Jan
System release 2.3 – 30 Jan

15. Licensing Retail exits Interim Supply Customer Protection
SoS decision on retail exit applications
GSS consultation responses
Finalised WSSL licence
Consultation responses
Deemed contracts and ISC
Ofwat open application process and handle applications
Ofwat consult on application process and hold industry workshops
Consult on ISC policy
Cross-border regulations in HoP
Parliamentary process
GSS recommend to Defra and Welsh govt.
Consult on deemed contracts
Consult on draft retail exit code
Draft appeals regime for the codes
Consult on appeals regs
Appeals regulations in HoP 
Interim Supply
Customer Protection
Statutory Codes
Retail exits
Consult on ISC legal text
Publish Interim Supply Code
Appeals system in place
Ofwat finalise WSSL
WSSL handover to Defra
Draft provisions for transition from old to new WSL arrangements
Consult on draft WSSL licence
Prepare SoS WSSL authorisation to Ofwat & consult Welsh Ministers
Changes to Instrument of Appointment
Commence Retail
Sections 1 & 4 and Schedules 2 & 4
Procedure for granting WSSL licences (s.25)
Licensing
Approval of new WSSL and priority changes to WSL and IoA
Publish WSSL licence
Consult on draft code of practice & customer protection licence condition
Publish CP code of practice
Develop draft Retail Exits Code
Issue Interim Supply Code
Election of enduring Code Panel
Develop draft Interim Supply Code
Run application process
GSS regulations in HoP
GSS regs in force
Stat con on MAC and WRC
SoS 28 day veto period
Publish retail exit code
Consult on wider customer protection policy issues
Ofwat develop application details
SoS WSSL authorisation to Ofwat
WSSL application opens
WSSL application deadline for market opening (for simple, complete, self-certification MEAC only)
Engage Stakeholders & Parliamentarians’
Retail exit regulations in HoP
Retail Exit application process opens
Retail Exit application deadline for exit at market opening (standard MEAC)
Issue Retail Exits Code
Deadline for WSSL applications to meet opening of Defra exit process
Run Retail Exit application process
SoS decision on MAC and WRC
Oct 15
Nov 15
Dec 15
Jan 16
Feb 16
Mar 16
Apr 16
May 16
Jun 16
Jul 16
Aug 16
Sep 16
Oct 16
Nov 16
Dec 16
Jan 17
Feb 17
Mar 17
Apr 17
Design and build
Test
Shadow
Go live
WSSL application deadline for market opening (for non simple applications eg enhanced MEAC)
Retail Exit appl
deadline for exit
at market opening
(remedial MEAC)
Repeat activity
All trading parties
Trial trading parties
MOSL and all TPs
Defra
MOSL
Open Water
Ofwat
KEY
HoP = Houses of Parliament
TP = trading party
Critical
milestone
Milestone

16. Licensing Retail exits Interim Supply Customer Protection
SoS decision on retail exit applications
Consult on appeals regs
Appeals regulations in HoP 
Interim Supply
Customer Protection
Statutory Codes
Retail exits
Appeals system in place
Licensing
Issue Interim Supply Code
Election of enduring Code Panel
Run application process
GSS regulations in HoP
GSS regs in force
Stat con on MAC and WRC
SoS 28 day veto period
WSSL application deadline for market opening (for simple, complete, self-certification MEAC only)
Retail Exit application process opens
Retail Exit application deadline for exit at market opening (standard MEAC)
Issue Retail Exits Code
Run Retail Exit application process
Oct 16
Nov 16
Dec 16
Jan 17
Feb 17
Mar 17
Apr 17
May
June
Shadow
Go live
Freeze on WSL switching under customer transfer protocol
IoA modifications take effect
WSSLs take effect
WSLs revoked
CPCoP take effect
Signing of MAC framework agreement and possible signing of the wholesale contracts between wholesalers and retailers
MAC, WRC, ISC, REC take effect
Repeat activity
All trading parties
Trial trading parties
MOSL and all TPs
Defra
MOSL
Open Water
Ofwat
KEY
HoP = Houses of Parliament
TP = trading party
Critical
milestone
Milestone

17. Defra programme update
Sam Jackson

18. Sam Jackson Workplan Review Group 21 December 2016
Defra update
Sam Jackson
Workplan Review Group
21 December 2016

19. Recent progress in the Defra programme
Assurance pro-forma letter 3, amended advice and updated FAQ published 9 December – also see notes in this MOSL
Exits decisions published 12 December – 3 weeks ahead of schedule. See our programme note for further info.
5th meeting of the Assurance Group on 12 December – agreed to meet again end Jan to consider final advice. Previous advice to Defra published (here and updated here).
Consultation on code appeals for the water supply and sewerage licensing regime closed 13 December 19

20. Assurance phase 3 – ‘that’ recap again
Letter 3 is all about readiness for market opening
Remember this has been a framework of continuous assurance – there shouldn’t be any surprises by this stage
Key dates
MP letter: 3 Feb
MOSL letter: 10 Feb
Ofwat letter: 10 Feb
Defra letter: 17 Feb
Requires confirmation that work plans are materially completed (or will be completed) for market opening
New entrant retailers and associate licensees (i.e. market participants who will be operating under a WSSL) are required to submit a letter at phase 3 20

21. Summary of changes made
‘Has completed’ – now ‘or will complete by market opening’
‘Has signed a contract /framework agreement’ – now ‘or confirms will have signed by market opening’
‘High quality’ data – replaced by wording from licence condition
Language inconsistencies between statements and table corrected
New entrants now asked to consider 4 of the statements in the ‘Systems, Data, Security and Processes’ section of the ‘Company Readiness Component’ – based on participant feedback, partner discussions and consultation with 3 new entrant WSSLs
To note that as a result of this change, the statements have been re-lettered in that section 21

22. Using the pro-forma for phase 3
The basics:
It’s an editable pdf designed for downloading/ saving, completing electronically and printing for signature – LETTERS MUST BE SIGNED
You can paste in your company logo at the top right of the page if you wish (though this is not required)
To note – different this time:
Company name still populates throughout but not in the sections you are not asked to complete. Retailers and new entrants may have to re-type their names in some places. Please check you have completed all relevant sections. 22

23. Next steps and contacts
List of phase 3 letters expected – your MOSL portfolio managers may be in touch
Support for new entrants completing a letter for the first time
If in any doubt, please get in touch:
Jess Keedy Sam Jackson 23

24. MOSL programme update
Steve Lyon

25. Risks

26. Risks

27. Markets update
Martin Silcock

28. Background
A number of options were discussed for dealing with large numbers of switches which may be initiated at market opening (October & November WRG).
At the WRG meeting in November, MOSL outlined the Programme’s preference for Option 2, as below:
While there was reasonable consensus for option 2, a number of potential issues and implications were raised by WRG members and a further opportunity to comment given
Option 2
Transfer Registration Applications to commence between 6 and 20 days ahead of day 1, enabling the Registration Start Date of the transfer to be day 1

29. Transfer registration applications not allowed
Reminder - option 2
Transfer Registration Applications will be processed to enable Registration Start Date on Day 1 (i.e. 1 April 2017)
Day 1
Retail Exit
RSD
Deadline to exercise customer choice as part of Retail Exit
01/04/2017
30/03/2017
23/03/2017
6BDs before RSD
Last day to submit transfer applications for Day 1 RSD
06/03/2017
20BDs before Registration Start Date (RSD)
First day to submit transfer applications for Day 1 RSD
Time interval allowed for Day 1 switching
Transfer registration applications not allowed
Transfer applications up to 2 days before Day 1 due to customer choice in an area which is subject to Retail Exit will be transferred with the RSD of the Retail Exit i.e. Day 1 (to avoid double switching)

30. Some considerations
A huge majority of SPIDS will be subject to an exit:
c70% to an associate
c25% to a 3rd party
c5% not subject to exit
Retail exits are governed by separate process designed to achieve exit with effect from Day 1 with option for customers to opt out
Switching under the market codes allows for cancellation by an outgoing retailer for debt. This risk is assumed priced in at retail exit
Competitive activity is already taking place

31. Responses 13 further responses received: 4 prefer Option 1
1 didn’t express a preference
Overall balance in favour of Option 2
Useful detailed questions and concerns were helpful
Programme partners have considered the responses and the issues raised
RMOMG determined at its meeting 19 December that Option 2 remains preferred approach. The programme will look at ways of mitigating risks raised

32. Key themes from responses
Need detailed guidance to understand the approach and impact
Interlinking between retail exit options and early switching
Protection for customers ahead of go-live against poor behaviour by retailers or risk of error
Protections for market participants ahead of go-live; e.g. will cancellation be an option and enforceable?
Impact on customers experience and perceptions of the market if there is double-switching
Interaction with other processes needed for market opening: go-live decision, contract signing, need to post credit, etc

33. Next steps Programme Note on Transition will be published January
MOSL will aim to publish draft detailed explanation and guidance note in January 2017, covering:
early switching
retail exit volume transfers (including how the options previously discussed will be implemented
Industry group/call to discuss
Performance testing

34. Inflight changes WRC Change Proposals (CPs) “in flight”:
5 CPs have been recommended and Ofwat approval letters will be dated 1 April 2017
WRC051 – Performance Change Alignment with Interim Supply
WRC053 - CSD0301/ SPID pairing
WRC055 - Trade Effluent Updates - SVAM Subtract and Calculated Discharge Frequency
WRC059 - Settlement updates
WRC062 - Error Codes
2 CPs not yet published – will be published early January
WRC054 - CSD 0400 series updates
WRC056 - Trade Effluent Update - Form G/01

35. Inflight changes WRC Change Proposals (CPs) “in flight” (continued):
2 CPs in development
WRC039 – Self-Supply
WRC061 – Emergency Contact Details
2 MAC Change Proposals (CPs) “in flight”
2 CP’s in development for Recommendation
MAC004 - Code Change Proposal Form
MAC005 - Data Protection Updates

36. Inflight changes
WRC
Title
Proposer
ICP status
CMOS impact
Release
ICP/ Panel?
Pre Go Live?
tbc 1
CSD 0400/0406 updates Align CSD to Service Desk processes
MOSL
Not proposed N
Panel
tbc 2
CSD 0001 updates Potential revision to Market Entry processes to align to pre-go live
tbc 3
D3010 Meter Read Type Add a value of ‘O – Observation Read’ to the valid set for D3010 Meter Read Type and enable it to be used for meter reads relating to Market Meters by wholesaler or retailer
Bristol Water Y
TBC
tbc 4
D1 Settlement report Add flags to the D1 Disaggregated Settlement Report to assist understanding of volume estimation
tbc 5
CSD 0301 Align CSD to CMOS functionality
tbc 6
CSD 0104 Align CSD to CMOS functionality
tbc 7
CSD 0105 Align CSD to CMOS functionality

37. Inflight changes tbc 8 CSD 0101 Align CSD to CMOS functionality MOSL
WRC
Title
Proposer
ICP status
CMOS impact
Release
ICP/ Panel?
Pre Go Live?
tbc 8
CSD 0101 Align CSD to CMOS functionality
MOSL
Not proposed N
Panel
tbc 9
Leakage and Drought Payments Updates to reflect policy
Ofwat
tbc 10
Combined Supply Licences To include functionality in CMOS y
TBC
tbc 11
Housekeeping
Grammatical errors
tbc 12
Notifications - CSD 0102/103/0003 Enhance CMOS to include further notifications Y
tbc 13
Inconsistencies CSD 0102/0002/0005 Inconsistencies across CSDs
tbc 14
CSD 0203 updates Align CSD to CMOS functionality
tbc 15
Unsecured Credit Align to Ofwat policy
tbc 16
Meter Reads Enhance validation of meter reads
Northumbrian Water

38. Pipeline of changes - MAC
Title
Proposer
ICP status
CMOS impact
Release
ICP/Panel?
Pre Go Live?
tbc 1
Removal of square brackets Updates to dates
Ofwat
Not proposed N
N/A Y
Please note:
There may be further changes following Ofwat’s review of the MAC and WRC and feedback received from the Consultations;

39. ICP plan for 17 January meeting
Proposals for Recommendation
WRC039 – Self-Supply (From Market Participant)
MAC005 – Data Protection Updates (From MOSL)
Two Change Proposals for assessment
WRC054 - CSD 0400 series updates (From MOSL)
WRC056 - Trade Effluent Update - Form G/01 (From Market Participant)

40. ICP plan for 17 January meeting
Ten new Change Proposals for Assessment
From Market Participants
D3010 Meter Read Type - Add a value of ‘O – Observation Read’ to D3010
D1 Settlement report - Add flags to the D1 Disaggregated Settlement Report for volume estimation
Meter Reads - Enhance validation of meter reads
From Ofwat
Unsecured Credit - Align to Ofwat policy
From MOSL
CSD 0001 updates - Potential revision to Market Entry processes
CSD Align CSD to CMOS functionality
CSD Align CSD to CMOS functionality
CSD Align CSD to CMOS functionality
CSD Align CSD to CMOS functionality
Housekeeping - Grammatical errors

41. Lunch

42. Systems update
Stephen Winnie

43. Release management 2.1 deployed 2.3 2.25 deployed
Tariff Change (2.26)
Deployed to UAT 4 December 2016
Deployed to MPS 12 December 2016
Deploy to PRD 9 January 2017
2.3
Scope baselined on 19 October
XSD and WRC Guidance released 11 November
Initial Release note issued 2 December
Deploy to MOSL UAT 2 January 2017
Deploy to MPS_2 January 2017
Deploy to PRD 30 January 2017
CMOS Release and test Update document published 15/12/2016
Releases, timelines, environments, data uploads

44. Release management - 2.26 & 2.3 Tariff Change (2.26)
Tariff upload and amendments
Tariff guidance published 09/12/2016
XML format as previously
EFD
Status ‘draft’
77 defects
40 workarounds
2.3
17 WRCs
51 defects in candidate list
31 workarounds resolved

45. Release management – 2.26 & 2.3 Tariff change (2.26)
MP testing has commenced with mixed feedback on level of defects and quality
2.3
SIT has commenced
MOSL tracking development and defects on a daily basis

46. NRO candidates SPID load, YVE, RTS, RV
Porting the DM Loader into current version of CMOS and developing scripts to load the YVE, RTS, RV.
19 candidate activities to date
13 individual MPs identified to date
SPIDs 13 declared (c23,000), 10 completed, 3 TBC
RTS 2 declared (c101,000)
RV 3 declared (19,000)
YVE 7 declared (c198,000), 1 completed
Tariffs 4 completed
Next available SPID load, Saturday 14 January
Dates for NRO script updates to MPS and PRD will be discussed with MPs and targeting conclusion by 22/01/2017

47. Settlement Workshop
Tom Notman and Liz D’Arcy

48. Update and lessons from one type of collaboration Break-out session
Collaboration update
MP collaboration
Update and lessons from one type of collaboration
Break-out session

49. Collaboration Groups How to effectively work together to:
Identify and prioritise industry themes
Share best practice
Learn lessons
Work on resolutions
Considerations:
Size of group for effective working
F2F meetings: regional vs central meetings v conference calls
Channels e.g. Forums/Yammer
Ensuring everyone’s voice is heard
Sharing with wider industry

50. Northern Wholesale Collaboration – feedback on one approach
Regional collaboration
Smaller working groups
Wholesalers UU, NWL, YW and STW
Facilitated by MP, MOSL invited
Focused on specific topics
Local meetings
TOR
Collaboration and self help
Sharing experiences and lessons
Identifying themes and prioritising
Working on resolutions
Feedback to wider industry
First topic – Settlement and Data
Face to face meeting in Leeds on 30 November
Followed by teleconference on 12 December
Attended by settlement and data experts from each MP
Talked through experience to date
Identified top ten issues

51. Top 10 issues - benefits Articulate industry themes
Each MP ID top 10 issues
Agreement on top 4 most important
Clarification for escalation
MP Awareness
MPs watching brief and check
Share resolutions
Eg MDS and Jaspersoft
Learn lessons
Identify and mitigate risks
Work through possible resolutions
Good size and make up of working group
Propose resolutions

52. Top 10 issues – approach and results 12 December

53. Limited window to transact data, following resolution of CMOS defects
Proposed Resolution – ad-hoc settlement runs Settlement issue timeline
Request for three additional ‘ad-hoc’ mid month settlement runs for Jan – Mar (Production Environment)
January
February
March
P1 Settlement cut off
4 March
CMOS 2.3
release
30 January
P1 Settlement run
10 January
P1 Settlement cut off
4 February
Go live
1 April
Limited window to transact data, following resolution of CMOS defects
If February settlement cut off is missed we only have the March settlement run left before go live
Proposed mitigations are:
MOSL support
MP’s data planning
Assumptions:
CMOS 2.3 resolves defects

54. Touchpoints – facilitating collaboration by capability

55. WRG working group Feedback on Northern Collaboration top ten issues
Interest in regional collaboration
Future topics for collaboration

56. Future WRG proposals in live market
Tom Notman

57. AOB
Tom Notman

58. Update from Trade Effluent Workshop Coming up:
Open Water Update call December
CIO Forum January
Water Industry Workshop January
Operations and Release Working Group 17 January
ICP Meeting January
Open Water Update call January
Open Water Communications Forum 19 January
CIO Forum January
January WRG January