INFRASTRUCTURE DISASTER RECOVERY IN LOCAL GOVERNMENT

Transcription

1 INFRASTRUCTURE DISASTER RECOVERY IN LOCAL GOVERNMENT PROJECT MANAGEMENT MANUAL

2 Infrastructure Disaster Recovery in Local Government DOCUMENT CHANGE CONTROL As we develop this manual it is important that there is in place a document control system. This way we will ensure we are all up to date with the versions as we write, review and approve the various versions. Mike Nolan will take responsibility therefore to keep this document history current. DOCUMENT HISTORY Release Date Authors Summary of Changes 1.0 6/05/2010 M Nolan Preamble, Introduction & Initiation Sections /05/2011 M Nolan Preamble, Introduction, Initiation Sections & Project Planning 3.0 8/07/11 M Nolan Full draft 3.1 3/12/11 M Nolan Summary included DOCUMENT APPROVALS Role Name Release Date Project Sponsor Wendy Campana Project Manager Mike Nolan [Position Title] [Position Title] [Position Title] [Position Title] - 1 -

3 CONTENTS PREAMBLE 5 Background and Purpose of Manual... 5 How to Use the Manual... 5 SUMMARY OF MANUAL PROJECT MANAGEMENT METHODOLOGY... 6 Section 1 Introduction to Project Management for Natural Disaster Infrastructure Recovery... 6 Section 2 Phase 1: Project Initiation... 6 Section 3 Phase 2: Project Planning... 6 Section 4 Phase 3: Project Delivery... 7 Section 5 Phase 4: Project Completion... 8 Appendices A to D Project Management Templates... 8 Appendices E Specific Local Government Issues What is a Project What is a Project Management The Project Management Lifecycle Project Management Documentation Project Roles and Responsibilities The importance of Project Governance Project Sponsor Project Steering Committee Project Manager Project Team Purpose Getting a Project Sponsor Developing the Project Charter Contents of a Project Charter Project Definition Project Approval Purpose Developing a Project Plan Project Overview Governance Structure Work Breakdown Structure & Project Scheduling Risk Management Communication Plan Budget and Financial Planning Project Management Plan Sign-off of Project Management Plan Purpose

4 4.2 Project Control Scope Change Control Process Flow Chart Reporting Meetings Project Document Control Project Safety Updating all Project Planning documents Purpose Project Closure Close Project Procedures Administrative Closure Procedure Contract Closure Procedure Project Closure Report Project Evaluation APPENDIX A: PROJECT INITIATION TEMPLATES 46 A1 Project Charter A1a Project Charter Example B1 Work Breakdown Structure (Examples of part of WBS) B2 Project Schedule B2a Project Schedule Example B3 - Risk Management Plan B3a - Risk Management Plan Example B4 - Communication Plan B4a - Communication Plan Example B5 Project Management Plan B5a Project Management Plan Example APPENDIX C: PROJECT DELIVERY TEMPLATES 101 C3 Change Request Form C3a Change Request Form (Example) C4 Change Log C4a Change Log (Example) C5 Project Team Meeting Action List C5a Project Team Meeting Action List (Example) C6 Project Team Member Report C6a Project Team Member Report (Example) C7 Project Manager Report to Project Sponsor & Project Steering Committee C7a Project Manager Report to Project Sponsor & Project Steering Committee (Example)

5 APPENDIX D: PROJECT COMPLETION TEMPLATES 119 D1 Project Closure Report D1a Project Closure Report (Example) APPENDIX E: SPECIFIC LOCAL GOVERNMENT ISSUES 145 E1 FINANCIAL SUSTAINABILITY, ASSET MANAGEMENT PLAN & ASSET RE- VALUATION E2 - DEVELOPMENT PLAN - POSSIBLE NEED FOR REVIEW E3 - EMERGENCY MANAGEMENT PLAN, IMMEDIATE EMERGENCY RESPONSE REVIEW AND IMPROVEMENT E4 - RECOVERY ISSUES E5 - FLOOD PROTECTION REVIEW E6 - FUNDING OF WORKS LOCAL GOVERNMENT DISASTER FUND & OTHER

6 PREAMBLE Background and Purpose of Manual This Project Management Manual is for use in Local Government to manage the recovery following a natural disaster such a flood or earthquake. The manual outlines procedures and guidelines to ensure that such projects are planned and managed in an effective way in accordance with good practice and Council policies and procedures. The objective is to ensure appropriate controls are in place and in use so Council achieves optimum outcomes in the delivery of such projects. The manual incorporates best practice and experience gained from management of disaster recovery projects. It has been developed to provide useful and easy-to-follow processes, tools and templates. By standardising Council s approach to management of such projects, there will be a body of knowledge which all personnel involved can access and utilise. How to Use the Manual This manual will assist Council staff to achieve a sound level of project management regardless of expertise, formal training or experience. The manual follows a logical sequence in terms of project establishment and the life-cycle of a project. Each step in the project management process is detailed and provides Best Practice Guidelines, references to standard work procedures and templates within the Appendices. The sections of the manual are as follows: Section 1: provides an overview of a Disaster Recovery Project and project management lifecycle. Guidance is provided on how Disaster Recovery Projects should be approached in terms of their drivers and requirements. Section 2: details the project conception and initiation stages and how to define the project scope and develop a Project Brief or Project Charter. Section 3: details how to plan the project including project scheduling, resource planning, cost planning, communication planning, procurement planning, quality planning and risk planning. Section 4: details project delivery, ongoing monitoring and project control. This section also covers reporting, communication, issues and scope change management. Section 5: details project completion and close-out, including documentation finalisation, handover and evaluation. Tips are also provided on Post-Project Audits to assist the effectiveness of project outcomes beyond the completion date. Section 6: details in a series of appendices specific issues Local Government needs to be addressed following a major natural disaster

7 SUMMARY OF MANUAL PROJECT MANAGEMENT METHODOLOGY Section 1 Introduction to Project Management for Natural Disaster Infrastructure Recovery This section defines a project and project management. It identifies the main participants in a project, the project templates used and the fact that there are four phases in the Project Management Lifecycle of any project, as explained by the following flow diagram: Phase 1 Project Initiation Define the Project Develop a Project Charter Get approval to proceed Phase 2 Project Planning Define the Governance Structure Undertake Project Planning Get approval to proceed to the next phase Phase 3 Project Delivery Control the project Project Status reporting Review progress against plan Manage project scope Get approval to proceed to the next stage Phase 4 Project Closure Formal project closure Finalise administration Project evaluation Each section of the manual addresses a specific phase in the project life-cycle and breaks down the phase into more detailed, sequential steps. Section 2 Phase 1: Project Initiation After a natural disaster such as a major flood it is essential, like any other project to define what the scope of the project is. This Project Brief is the form of a Charter defines what is to be delivered, when and how much money you have for the project. The project initiation phase ends when sign-off is obtained from the Project Sponsor of a Project Charter. This phase marks the transition from concept through to a clearly defined scope and set of objectives. The process of Project Initiation is defined in this section Section 3 Phase 2: Project Planning Planning is the most important stage of project management it has proved to be the main ingredient of successful projects. The planning process is about putting definition around tasks, programmes, costs, expected risks, resource needs, stakeholder management and how to deal with changes to the project that might occur during its execution

8 The Project Manager is responsible for developing the Project Management Plan for sign-off by the Project Sponsor. The process and contents of project planning for disaster recovery projects are defined in the following diagram: Section 4 Phase 3: Project Delivery During the Project Delivery phase, project management is totally focused on using and updating the controls put in place during the planning phase to: monitor the project; keep progress on track; and implement any changes required to stay on target to meet the project objectives. Throughout the Project Delivery phase the Project Manager should have access to all kinds of feedback indicators about how well the project is progressing, the risks to the project, unforeseen circumstances and opportunities that arise. This section discusses how to deliver the project and the basic iterative process, which carries on until the project objectives are delivered, is shown in the following diagram

9 Set up Project Document Control Project Status Reporting Meetings and other Reports Deliverables Provided Management of Issues and Risks Section 5 Phase 4: Project Completion The objective of the Disaster Recovery project is to identify the work, with costs, required to return the council area to the pre disaster state and to seek funding from the Local Government Disaster Fund. The result will be a series of engineering works projects and therefore a handover of the project deliverables to different Project Managers. This section discusses how to close-out the project from a control perspective, how to review the project and then how to handover the project to other Project Managers, if required. The process is shown in the following flowchart. All Disaster Recovery projects require administrative closure and an evaluation. Some will also need contractual closure/s and a Project Closure Report. Requirements and templates to assist are provided in this section. Appendices A to D Project Management Templates This section provides all templates for the 4 phases of the project and examples developed during a recent Natural Disaster Recovery Project in Local Government

10 Appendices E Specific Local Government Issues This section covers the following series of Local Government specific issues as they relate to a disaster recovery project: Financial Sustainability, Asset Management Plan & Asset Re-valuation; Development Plan - possible need for review; Emergency Management Plan, Immediate Emergency Response review and improvement; Recovery Issues; Flood Protection Review; and Funding of Works Local Government Disaster Fund & Other

11 SECTION 1 INTRODUCTION TO PROJECT MANAGEMENT FOR NATURAL DISASTER INFRASTRUCTURE RECOVERY 1.1 What is a Project For the purposes of this manual a Project is defined as: A unique venture with a beginning and an end, to meet established goals within parameters of cost, time and quality We can be thankful that natural disasters are unique occurrences and not something, which we continually have to deal with. A disaster recovery program can therefore be defined as a project and therefore should be managed as a project. To do otherwise would be neither efficient nor effective. When the eyes of the Council s various stakeholders are closely observing your reaction to the disaster and management of the recovery you need to show that you are organised and in control. 1.2 What is a Project Management A Project Management is a structured approach and set of tools, which enable a manager to manage a project successfully by applying knowledge, skills and resources within a controlled framework. Project Management addresses three competing constraints Time, Quality and Cost. Project management is about managing these competing constraints in the most effective way to meet the objectives of the project. When managing a disaster recovery project time is of the essence, quality is difficult to manage and often the cost is beyond Council s normal budget. There are also real problems with resources stretched to breaking point and a community looking for leadership from their local council. Being organised and using a structured approach to managing disaster recovery is therefore of the utmost importance

12 1.3 The Project Management Lifecycle The Project Management Lifecycle is broadly explained by the following flow diagram: Each section of this manual addresses a specific phase in the project life-cycle and breaks down the phase into more detailed, sequential steps

13 1.4 Project Management Documentation A useful way to look at the Project Management Lifecycle is to examine the documentation developed by Council to be initiated and maintained at each stage of the project management lifecycle. The following checklist captures all the primary Project Management documentation. Stage Phase 1 Project Initiation Documents required for all projects Project Charter Additional Documents which may be required Phase 2 Project Planning Governance Structure Risk Management Communication Plan Project Schedule Resource Plan Project Budget Project Management Plan Quality Plan Procurement Plan Financial Plan Phase 3 Project Delivery Project Status Reports Issues Register Scope Change Log Phase 4 Project Completion Project Evaluation Report Project Closure This manual includes the templates referred to in the table above where Councils would not normally have them already, such as Risk Management policies and procedures. There are also examples of those templates filled in as well as guides to their use. In addition, there are a number of council policies, procedures and plans which are applicable to disaster recovery projects including the Asset Management Plan; Development Plan; Emergency Management Plan, and Floodplain maps. 1.5 Project Roles and Responsibilities The importance of Project Governance Governance is the process and structure to exercise overall control and direction of a project. It defines the purpose of the project, sets strategies for attaining the purpose and gives authority for the use of resources to implement the defined strategies. Governance provides the structure that links process, resources and the business strategies and objectives. Good Governance ensures: accountability for what is planned and implemented; that aims are met; and balancing risk against return. The primary roles within a formally established project are as follows: Project Sponsor; Project Steering Committee; Project Manager; and

14 Project Team Project Sponsor The Project Sponsor is the project champion. He/she must have a strong commitment to the project and must be able to influence senior management to commit resources to the project. For Disaster Recovery projects the Sponsor should be the Chief Executive or a member of the Executive Team with responsibility for the outcome of the project. The Project Sponsor and the Project Manager should never be the same person. The Project Sponsor chairs the Project Steering Committee, if one exists, and is the project s ultimate decision-maker. (He/she may refer to a higher level in the organisation for some decisions). The Project Sponsor: facilitates resolution of issues at a senior level; holds and/or allocates the project s budget; and is responsible for delivery of the project within approved scope, timeframe and budget. The Sponsor s primary responsibility is the successful delivery of the project, therefore the Sponsor will: provide strategic direction and overview; ensure that the project meets the organisation s statutory obligations and protects its interests; appoint an appropriate Project Manager; sign off on the project deliverables; ensure that the required resources are available to the project; approve the Project Charter; approve the project planning documents; approve project scope, budget, objective and plan changes according to delegated authority; ensure that all risks are effectively identified and managed; monitor progress against objectives; review and approve scope changes; ensure that the proper financial and procurement policies and procedures are observed; ensure that the project delivers the required benefits/outcomes; and ensure that the project is appropriately closed off and evaluated Project Steering Committee Because a Disaster Recovery Project has a variety of stakeholders with divergent interests, it is good practice at the outset to establish a Project Steering Committee. The role of the Project Steering Committee is to provide a regular, formal forum for making key decisions that affect the outcome of the project. While the Project Sponsor is ultimately responsible for the project outcome, the Project Steering Committee ensures that all stakeholders are involved in decision-making throughout the project, thereby maintaining a level of joint ownership of the outcome and the project s success. The Project Steering Committee is usually a group of senior people who are responsible for acceptance and sign-off of deliverables and business outputs. For large Disaster Recovery Projects the Steering committee may include members of Council and or the community. The inclusion of an external person on the Steering Committee, who brings technical or other expertise, can be valuable in providing a neutral or objective view

15 Members of the Project Steering Committee will have an interest in ensuring the success of the project and will be prepared to take personal responsibility to ensure a successful outcome to the project. They will provide thoughtful, constructive input into the project and commit the time required to attend and actively participate in the Steering Committee meetings throughout the project. The governance role of the Project Steering Committee is to provide overall direction, guidance and support to the project and to monitor the project to ensure successful delivery of expected outputs and outcomes within scope and budget. The Steering Committee members roles include: attendance at regular Steering Committee meetings; ongoing availability for key decision-making re issues and changes as they arise; input into setting project objectives and risk management; approval of project deliverables; reviewing project deliverables at defined milestones; receipt and reviewing of regular status reports; reviewing and approving substantial changes; ensuring that the project meets the organisation s statutory obligations and protects its interests; and ensuring that the project delivers the required benefits Project Manager The role of the Project Manager is to deliver the project to the Sponsor: within the agreed timeframe; in accordance with the defined quality; and within the set budget. The Project Manager directs day-to-day activities of the Project Team and is responsible for the procedures and tasks described in this manual. In selecting a Project Manager, the Project Sponsor will endeavour to ensure that the person has the appropriate skills to deliver a quality project within time and budget expectations. The Project Sponsor should consider issues such as: the technical nature of the project; the non-technical nature of the project; risks associated with the project; the politically sensitive nature of the project with respect to externalities; the ability of the Project Manager to deliver the project; and the existing workload of the Project Manager. Council may not have the expertise within its existing staff to manage a Disaster Recovery Project and therefore should recruit a suitably qualified and experienced Project Manager externally. It is of the utmost importance to appoint a Project Manager as soon as possible following the disaster. The Project Manager must have the authority to manage and bring together all resources and activities necessary to ensure the successful completion of the project. The Project Manager s key responsibilities include the following: leading the Project Team and ensuring the project has the appropriate human resources; carrying out the Project Initiation process; undertaking full risk assessments, and developing and implementing risk mitigation strategies as agreed with the Project Sponsor;

16 preparing and maintaining the Project Management Plan including schedules of work, budgets, scoping and resourcing requirements; day-to-day management of the project against the approved Project Management Plan, budget and scope to deliver the specified objectives and benefits; establishing the project within the office administration systems; providing all communication and reporting requirements; maintaining all monitoring and control processes during the project execution; managing change control and keeping the Project Management Plan updated to reflect changes; providing regular progress reports to the Project Sponsor and the Project Steering Committee; and managing all third parties contracted during the project s lifecycle. To successfully complete a project and achieve the project objectives, the Project Manager should strive to: understand the role of the Sponsor and involve him/her in the project as appropriate; meet the project time, cost and quality targets as described in the Project Management Plan; proactively identify any risk or opportunity as it develops and take the necessary steps to manage it; keep the Sponsor informed as to the status and progress of the project in a no surprise manner; understand who all of the stakeholders are and what their requirements are; clearly understand the project objectives and the process by which they will be achieved; be fully acquainted with all the necessary technical standards; comply with Council requirements regarding levels of approval and delegation; comply with all legislative requirements; lead the Project Team enthusiastically and pro-actively and encourage team members to take ownership and accountability for their identified responsibilities; encourage a team approach and provide timely feed back to the members; welcome constructive criticism throughout the project delivery; adequately audit and check all key deliverables; build and maintain stakeholder relationships; share experiences with other Project Managers as and when appropriate; and promote Council and its efforts to deal with the disaster positively at every opportunity Project Team The Project Team is a team of specialists who, ideally, comprise the sum of all the required skills, knowledge, experience and person power required to deliver the project in accordance with the Project Management Plan. The team can be made up of internal Council personnel as well as external personnel. For a project as complex as a Disaster Recovery Project it is useful to have external expertise involved. The Project Team carries out the tasks necessary and individual team members complete specific tasks in line with project plans on individual project elements where they have particular expertise. The Project Team is responsible for making the technical decisions necessary to deliver a successful project and, through the Project Manager, for making recommendations to the Project Steering Committee and Project Sponsor. Accordingly, team members need to collectively be fully acquainted with all the necessary technical standards, specifications and policies and contract documents

17 The Project Team is lead by the Project Manager and it reports to him/her as agreed. Members of the Project Team may also lead sub-project Teams where it is necessary to have bigger groups involved in undertaking tasks. The Project Team is developed during the Project Planning stage as described in Section

18 SECTION 2 - PHASE 1: PROJECT INITIATION 2.1 Purpose After a natural disaster such as a major flood it is essential, like any other project to define what the scope of the project is. This Project Brief is the form of a Charter defines what is to be delivered, when and how much money you have for the project. The project initiation phase ends when sign-off is obtained from the Project Sponsor of a Project Charter. This phase marks the transition from concept through to a clearly defined scope and set of objectives. The process of Project Initiation is defined in the following diagram: Problem / Opportunity Definition Secure a Project Sponsor Develop a Project Charter Receive approval to proceed to the planning phase 2.2 Getting a Project Sponsor Prior to undertaking any further analysis of the Disaster Recovery Project, a Project Sponsor who can drive the project should be formally identified. The Project Sponsor for a project of this magnitude and public importance should be the Chief Executive of a member of the Senior Executive Team. 2.3 Developing the Project Charter For a Disaster Recovery project the project is defined in a document know as a Project Charter (see Appendix 1)

19 The aim of the Project Charter is to define the scope, outcomes and deliverables, identify the stakeholders, show the milestones dates and the estimated cost for the project. It also contains the governance structure and each person s roles and responsibilities as well as any related projects, which may have an effect on the Disaster Recovery Project. The charter serves as an agreement between the Project Manager and the Project Sponsor. The Project Charter is not a static document and may change in accordance with the procedures outlined in this document as business conditions change over time. One of the Project Manager s first tasks will therefore be to develop a workable, precise Project Charter. The Project Sponsor is a critical stakeholder in this initiation phase of a project. Without a good consultation process to develop the Charter, the Project Manager can waste a lot of time heading down the wrong path. The second key task will be to ensure the Project Sponsor is satisfied with the Charter. When the Charter is developed to a point at which it is a simple and clear document and the project cannot proceed without launching into the planning phase of a project, then it is to be approved and signed by both the Sponsor and the Project Manager. If a Project Steering Committee is in place then the need to be consulted with before signoff Contents of a Project Charter The Project Charter Template shown in Appendix A1 sets out the important elements of the Charter which are: 1. Project scope (description and background), 2. Project objectives/outcomes, 3. Project deliverables, 4. Project management deliverables, 5. Stakeholders 6. Project milestones 7. Project organisation and reporting 8. Related projects Details of what to consider and how objectives are written are set out below Project Definition Project scope definition is the process through which the precise nature and scope of the solution to a problem are determined and defined. This is a critical phase of project management. If the project definition is well constructed and rigorously tested then the practical implementation of the project has a far greater chance of success. Much of the information used to define the project will form the basis of your Project Management Plan once the project is approved, so careful research, consideration and planning are recommended. The Project Definition will include: Description of Project Scope The project should be described briefly, in layman s terms, in one or two paragraphs, outlining the problem the project is addressing

20 Example: Major flooding in the Clare and Gilbert Valleys Council area on the 7 th & 8 th December 2010 caused significant damage to council infrastructure resulting in a need for renewal of uninsured assets. This project will result in a detailed report and plan which will include identification of all damaged uninsured assets, costing and prioritisation of a program of works for Council and a submission to the Local Government Disaster Fund Project Objective/Outcomes The Project Objective/Outcome is a statement of the desired outcome of the project that is measurable. This should be a paragraph or two, which describes what benefits will be achieved, or problems overcome, when the project is complete. Example: At the completion of this project Council will know the extent of work required to renew all uninsured assets damaged by the floods in the area. This work will be prioritised and have a costed plan to carry out the required work. The outcome will also provide the Local Government Disaster Fund with information necessary to provide the necessary funding to Council so that the work may be carried out. Project objectives need to give clear and specific guidance as to what outcomes are to be evident at the completion of the project Project Deliverables and Project Management Deliverables Project Deliverables itemise more specifically what is to be delivered during the life of the project. The deliverables can be broken down into Project Deliverables and Project Management Deliverables. Project Deliverables are those things which are developed, procured or built as a result of undertaking the project. Example: This project will result in a detailed report and plan which will include identification of all damaged uninsured assets and costing and prioritisation of a program of works for Council. The report will include: A sound basis to satisfy the LG Disaster Fund of the claimable amount to return the network to the pre-flood condition. Identification and advice to Council on the implications for Council s asset and financial management plans and recommend changes as required to accommodate works to be undertaken and the long term implications. Identification of service provision issues and assist Council to address these matters. Have an updated road register reflecting the condition of the road network after the flood event. Project Management Deliverables are the documents and tools that are developed to manage the project. Examples: The Project Management Plan, the Communication Plan, the Risk Management Plan