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

21 Stakeholders Stakeholders are individuals or groups who have a direct or indirect interest in the project or who can reasonably expect to be affected, positively or negatively, by the project while either it is in progress and/or when it is concluded. For a Disaster Recovery Project stakeholders would include: Council Ratepayers & residents Resident Associations Local Businesses Transport companies Local Government Association SA Local Government Disaster Fund Government Departments Project Milestones Any key delivery dates identified. Example: Commencement and completion of data collection, completion of data analysis, completion of report or works Estimated Cost Although you may not be able to estimate the cost with 100% certainty at this stage, it should be possible, however to approximate the cost along with the degree of latitude e.g. $100,000 +/- 20% Project Organisation and Reporting In this section, you define your Project Governance structure and the duties of each member. During the Initiation Phase of a project the Project Sponsor, the members of a Steering committee and the Project Manager, can be identified. Some members of the Project Team may be known and should be entered here. This section also states the reporting requirements from the team members to the project manager and from the Project Manager to the Project Sponsor and Steering Committee Related Projects Related Projects (existing or proposed) that will have an effect on the Disaster Recovery Project are listed here. These could include Council current and planned works program, which could have an effect on the resources available to this project and its timing Signoff The project Charter when complete should be reviewed by the Project Sponsor and the Project Steering Committee if one exists and then signed off by the Project Sponsor before the Project Planning Phase can be undertaken. 2.4 Project Approval Project Approval is the final step before the project will advance to the Planning Phase. The approval process is usually a sign-off by the Project Sponsor after consideration by the Project Steering Committee (if one exists) but may be subject to other consideration and approvals, such as: Executive Team; Council approval; and other stakeholder approval. Project approval must be given formally by sign-off by the Project Sponsor of the Project Charter

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23 SECTION 3 PHASE 2: PROJECT PLANNING 3.1 Purpose This section is devoted to project planning and covers all of the requirements for a disaster recovery project. Planning is the most important stage of project management. As with any process, effective upfront planning: confirms details of the project objectives and deliverables; confirms the budget needed to undertake the project; and identifies all of the tasks necessary to achieve success. 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. Planning has proved to be the main ingredient of successful projects. It can take a day or two to adequately plan this type of project. However long it takes it is essential to have a plan of action as it will always save considerable time and stress in the long run. The requirements are captured in the Project Management Plan, which is a living documents used to control the project and is regularly updated as the project evolves. The Project Manager is responsible for developing the Project Management Plan for sign-off by the Project Sponsor. The process of project planning for disaster recovery projects are defined in the following diagram:

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25 3.2 Developing a Project Plan All planning documents should come together in a Project Management Plan. A Project Management Plan is a living document, which is used to track the success or otherwise of the project as it unfolds. In all cases, a Project Management Plan should include the following: a Project Overview; a Project Governance Structure; a Risk Management Plan; a Communications Plan; a Project Schedule with Human Resources; and a Budget and/or Financial Plan (for bigger projects). Use the templates provided as Appendix B3 to develop all project planning documents Project Overview The Project Management Plan need to include an overview of the project so the intended readers can understand them. Most of this information will have been developed in Phase 1 of the project when you developed the Project Charter. Review and amend the information as necessary to give the project complete definition, considering any additional information that has come to hand. A more detailed project scope is required than that provided in Phase Governance Structure Governance comprises the processes and structures that 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; business aims are met; and risk is balanced against return. It keeps the governing body informed as to: expenditure against budget; resource management; progress against plan; and risks and their management. Effective Governance principles provide a clear set of guidelines for the governing body and the Project Management Team. It is vital to introduce effective Governance principles to: provide for a clear allocation of responsibility and accountability; ensure that the decision-making process at the Governance level is understood; and ensure that the information provided by the Project Management Team is appropriate for the decisions required

26 To ensure an appropriate governance structure, draw up a list of all stakeholders and their possible impact on, and attitudes to the project. The following types of stakeholders are to be considered when compiling the stakeholder list. (Remember, this list is not exhaustive!) Strategic involvement internal to the Council - Determining the department/s affected by the project. It may just be your Project Sponsor s area but it may be advisable to expand the strategic group to a wider group of stakeholders and form a Project Steering Committee (see section for more definition of the role of a Project Steering Committee). Strategic involvement external to the Council - Determining the Government Department/s, other Councils, Local Government Association etc affected by or interested in the project. These may form reference groups or individuals you need to communicate with during the life of the project. These reference groups are known as Project Assurance Groups in the Governance Structure. Management Will have responsibility for, or control of, the project outcomes. Operational Staff Those people who will be involved in and assisting the Project Manager to deliver the project. They are listed against individual tasks in the project schedule. Community Representatives representatives of Council s community who have a core interest in the project. Having determined the stakeholders and requirements of the Project Team, you should document the project organisational structure in the Project Management Plan. The project governance structure should not be complex. It is simply a formal way of defining the decision-making structure to ensure efficiency while keeping all stakeholders involved. On smaller projects the Project Team may simply be the Project Manager reporting to a Project Sponsor, with the Project Manager having limited or no Project Team support. On larger or more complex projects, there may be a need for a Project Steering Committee. The Project Governance structure is shown in the diagram below:

27 Project Sponsor Project Assurance Referance groups Specialist Assurance Project Steering Committee (Project Board) Project Sponsor Senior Managers Elected members (optional) Project Manager Project Team Project Manager Group of Specialists

28 3.2.3 The Project Sponsor (see Section 1.5.2) The Project Steering Committee (see Section 1.5.3) Consult with the Project Sponsor as to whether a Project Steering Committee is required. A good rule of thumb in deciding if a Project Steering Committee is needed is if the project goes across or affects other Departments or Divisions, or if the disaster is major then the Elected Members may wish to be involved. If so, it is beneficial to have a Steering Committee. Elected Members do not have to be on the Steering Committee they will however expect regular updates as the project proceeds. Example: If the disaster is considerable and there is a lot of political and media attention and where more that one department in Council is involved then a Steering Committee can assist with the involvement of members of the Senior Management Team and possibly Elected Members. The stakeholder analysis should be used as a starting point when assessing who should be in the Project Steering Committee The Project Team (see Section 1.5.5) Select your Project Team around the skills and competencies required for the project. Team members include any person who undertakes any task on your project. As well as internal council staff they can include external people such as engineers, contractors, and consultants. For a disaster management project it will be usual for a council to need the assistance of outside consultants and contractors. Those people may have: good technical understanding of the project and task requirements, with experience in similar project delivery; operational support, being the people who will be affected by the outcome of the project; good consultation skills where high-level consultation is required; financial support in terms of budgeting and cost-planning for the project; administration support for projects that are of such a scale and complexity that they will require dedicated administration such as updating the Asset Register and asset valuations; and management interest in terms of responsibility for project outcomes or the eventual delivery of rehabilitation works projects. In the case of a disaster recovery project the first project will result in a detailed report and plan which will include identification of all damaged assets, costing and prioritisation of a program of works for Council and a submission to the Local Government Disaster Fund for uninsured assets and Council s insured for insured works. In an ideal world, your Project Team will have the right mix of these skills to deliver the perfect result. In reality the available resources within and external to Council, budgets and time constraints, will limit you. Start to build your Project Team by listing the skill-set you need on the team. It is important to identify where skill and/or experience gaps exist because you may need to look at procuring the services of an external contractor or consultant to join the Project Team on a part

29 time or full-time basis. It may even be that you need to engage a specialist external Project Manager The Project Assurance It may be necessary to have a Project Assurance Team - a group of independent specialists who advise the Project Manager and/or the Project Sponsor/Project Steering Committee on matters relating to the project. These people are often independent specialists or people with a special interest in the project who are called upon to give specific advice on some issues or products produced during the life of the project. A Project Assurance Team could include legal advisors for contractual matters, academics for advice on complex issues or a reference group from the affected community, which you would use to assure yourself that you are on the right track. 3.3 Work Breakdown Structure & Project Scheduling To develop a Project Schedule a Work Breakdown Structure (WBS) which breaks down the task requirements into manageable units is first required. All the project strategies and deliverables are defined, with a breakdown of key tasks for each area. A Work Breakdown Structure: summarises all deliverables and activities; relates work elements to each other; enables cross-referencing and better scheduling of activities; supports cost-analysis, risk-analysis and simulates various project scenarios; provides information that can be clearly communicated and understood by all stakeholders; and provides the foundation for thorough, accurate and detailed planning, costing and scheduling. The WBS can then be transferred into a Project Schedule. The schedule can be used during the project to track how well the project is progressing. An example of Work breakdown Structures for a disaster recovery project is shown in Appendix B1. There are numerous tools available for developing a project schedule. Microsoft Project is the most commonly used scheduling tool and is recommended. However, a simple Word or Excel schedule could be used for simpler projects (see Appendix B2). A schedule is used to identify tasks and then to assign to each of those tasks: a start date; an end date; Human Resource requirements; and budgets (where applicable). Make sure that all tasks are listed, as well as possible, in chronological sequence for ease of tracking. This first Project Schedule will form the baseline for tracking the progress of your project over time. 3.4 Task and Resource Planning When defining the tasks in your WBS and Project Schedule, use the scope as the starting point, and derive a breakdown of tasks to a level of detail that will ensure: the task definition is clear enough to ensure the assigned personnel will be able to understand the requirements; each task is assigned to an identifiable person (where there is more than one person involved in a task, assign overall responsibility to one person to lead);

30 there are enough levels of detail in the task that the time, cost and scope requirements of each individual task are quantifiable; and it is clear where pre-requisite tasks are required to be completed prior to carrying out a task. In the planning phase of a project, developing the Project Schedule is an iterative process as there will be tasks coming from the development of the Risk Management Plan and the Communication Plan, which need to be included in the schedule. Assigning human resources to tasks is an iterative process during this phase and is important when developing budgets. The size of your project will dictate your human resource requirements. For more large complex projects such as a major disaster recovery project, the varying skill-sets and sheer scale of the activity will dictate what human resources are needed. In planning for human resources, assess when each of the personnel will be required and whether you can plan some level of commitment from them. This way you will have a level of comfort that the resources will be available when required, as well as providing the Project Team members with some lead time to address their other operational requirements (if they have any). 3.5 Risk Management Risk is inherent in any project. All projects have some degree of uncertainty due to the assumptions associated with them and the environment in which they are executed. Project risks cannot be eliminated, but many of them can be anticipated and reduced. Risk is the chance of something happening that will have an impact on objectives. Risk is a measure of the likelihood and consequence of not achieving a defined goal, and is specific to time and place. Risk has three main components: an unexpected event; the likelihood of occurrence of that event; and the impact of that event, that is, the amount of damage the event could do if it occurred. Some degree of risk is inevitable doing nothing can often be worse than taking a considered risk. The trick is to obtain the right balance between hasty action and a search for absolute security and certainty, neither of which exists. Risk arises out of uncertainty. It is the exposure to the possibility of events such as financial loss, physical damage, injury or delay - as a result of either following or not following a particular course of action. Uncertainty is at the heart of the definition of risk. Risk may be well understood in a statistical sense but still be uncertain at the level of individual events. For example, insurance companies cannot predict whether any single driver will be killed or injured in an accident, even though they can estimate the yearly number of crash-related deaths and injuries. It is therefore important that project risks are identified, monitored, controlled and managed throughout all phases of the life of the project. In each Council risk management must be undertaken in accordance with Council s own Risk Management Policies and Procedures which are based on ISO 31000:2009 as shown below

31 Principles for managing risk 2. Establish the context 1) Creates value 2) Integral part of organisational processes 3) Part of decision making 4) Explicitly addresses uncertainty 5) Systematic, structured & timely 6) Based on the best available information 7) Tailored 8) Takes human & cultural factors into account 9) Transparent & inclusive 10) Dynamic, iterative & responsive to change 11) Facilitates continual improvement & enhancement of the organisation 1. Communicate and consult 3. Indentify risks 4. Analyse risks 5. Evaluate risks 6. Treat risks Risk Assessment 7. Monitor and Review It is during the planning phase of a project that the Project Manager undertakes risk analysis and develops a Risk Management Plan for the project. Drawing upon the initial project scoping and the details of the WBS, areas of risk are investigated. This is best done as a team exercise using simple risk management tools to grade risks, to determine the level of attention each risk demands and to put in place clear strategies to minimise the chances of them occurring and step-by-step contingencies for if/when they do occur. When developing a Risk Mitigation Plan, the following risk strategy table will prove useful: Response Strategy Risk avoidance Risk reduction Risk transfer Risk sharing Impact mitigation Risk retention Description A strategy to circumvent unacceptable risk posed by the project Action to eliminate sources of risk or minimise probability of loss should risk emerge. Responsibility for risk shifted to another party better able to control it. Apportions risk exposure where formula for sharing can be agreed. Minimisation of consequence of risk with effort to manage impacts. Risk cannot be avoided or cost of avoidance not worthwhile. The most effort should be paid to addressing the most serious risks. It is also good practice when you identify mitigation strategies and action to treat risks that you place those actions in your project schedule so you can track them. An example of a Risk Management Plan for a disaster recovery project is shown in Appendix B

32 3.5 Communication Plan Clear, effective communication is an essential component of Project Management. It will: reduce the risks; minimise mistakes; minimise misunderstanding; increase efficiency; ensure inclusivity, understanding and a sense of common purpose; address misconceptions and incorrect assumptions; and lack of internal and/or external support for the project. There are two areas of communication for projects: Internal communication, which is communication between the Project Sponsor, Project Steering Committee, Project Manager and Project Team. Communication to a broader audience, which can include the rest of the organisation or the general community. This is a form of public relations, which for a project such as this is essential for success and for upholding the good name of the council. Generally speaking, communication requirements which are internal to the project will fall into two broad categories Reporting and Meetings. The format of each and the frequency will be discussed later in this manual. A Project s Public Relations program has as its objective to ensure that the public and staff affected by the project and political environment in which the project operates are all managed so that they assist the achievement of the project s agreed outcomes. A sound Public Relations strategy is essential for a disaster recovery project and will: secure and maintain public support for the project; secure and maintain stakeholder support for the project; ensure positive perceptions of the project; minimise potential road-blocks to project progress; demystify, educate and increase public confidence with regard to the project; and counter and minimise any negative media coverage. There are some tried and tested rules for the communication-savvy Project Manager: be consistent; look at the project from all sides of the communication equation supportive and adversarial; ensure project meetings consider stakeholder interests; keep the Project Team informed of stakeholder interests and issues as they emerge; ensure effective and regular communications with all stakeholder groups; ensure communication systems and processes are as secure as possible against mischievous leaks; use the best people knowledgeable and good communicators; and convey bad news early - tell it truthfully, tell it first, tell it all. Like the Risk Management Plan process, it is best to develop the Communication Plan in a workshop situation

33 3.6 Communication Planning Process The process for developing a Communication is as follows: 1 Identify Main Communication Tasks 2 Identify Stakeholders 3 Determine Impact level on Stakeholders 4 Identify Secondary Communication Tasks 5 Identify Appropriate Communication Channels 6 Determine Tone & Manner 7 Determine Timelines & Allocate Responsibilities 8 Es ta bli s h KPIs 9 Es tabli s h Re vie w Me chanis m s Identify Main Communication Message Articulate, in one or two short clear crisp sentences, what the primary communication message with regard to the project is. Example: Council has put a team together to assess flood damage, develop a prioritised fully costed plan for rehabilitation works and will be seeking funding through Government agencies

34 3.6.2 Identify Stakeholders Stakeholders are individuals or groups who have a direct or indirect interest in the project or who can reasonably expect to be affected, positively or negatively, by the project either while it is in progress and/or when it is concluded. These can include: Council; Senior Management; Staff; Residents & Ratepayers; Community Groups; Members of Parliament/Minister; Service Clubs; Neighbouring Councils Peak Industry Bodies; Business and Industry; Lobby Groups; Private individuals; the Chief Executive of Government Departments/s; Environmental Groups; Media; Planning Authorities (Planning SA & Local Council); and Unions Determine Impact Level on Stakeholders The impact of a project on stakeholders will vary. However, the determination of the impact on the various stakeholders will assist the Project Manager to prioritise the communication tasks thereby ensuring that resources are allocated to the greatest effect: High impact means that those stakeholders will be severely affected by the project. This group should be addressed in the communication plan from the outset to ensure they have input right from the initial stages of the project. This will facilitate buy-in and will maximise synergy as the project progresses. Medium impact means that those stakeholders will be moderately affected by the project to the extent where consultation is appropriate as the project progresses. It is expected that these stakeholders will have to make changes to their business practices, but not at the level which would necessitate them being involved in project decision-making. Rather, they should be invited to have some input. Low impact means that those stakeholders will be affected by the project only insofar as they need to be informed of coming changes, what those changes are and the effect they will have. The provision of regular, general information is still important for this group as even the smallest changes are resisted in the normal course of events Identify Secondary Communication Messages Secondary communication messages are those that cascade out of the primary communication message yet are essential to the effective delivery of the project. Example: Alert the community most affected by the flood that Council staff will assess their areas first to ensure public safety and will meet with them shortly to discuss their immediate needs

35 3.6.5 Identify Appropriate Communication Channels Communication channels are those devices and methods by and through which communication takes place and can include: Newsletters; Television & Radio; Community newspapers Letters; Flyers; Internet/web site; s; Displays/Exhibitions; Signage; Fact Sheets & Fliers; Public meetings; and Workshops Determine Tone and Manner An effective Project Communication Plan will pay due attention to the tone and manner of the communication, ensuring that they are appropriate to the tasks. Tone and manner can be described variously as: legalistic; business informal; bureaucratic; official; business formal; friendly; and accessible Determine Timelines & Allocate Responsibilities Each communication task must be sequenced, assigned a deadline and allocated to an individual whose responsibility it is to ensure its timely and efficient completion. This is when the Project Manager should transfer the tasks to your Project Schedule so that they fit into the sequence of the whole project plan Establish KPIs Key Performance Indicators are quantifiable measurements, agreed to beforehand, that reflect the critical success factors of project communications. In the context of a Project Communication Plan, KPIs will differ according to the stakeholder/s and the communication task/s Establish Review Mechanisms Once KPIs have been determined and validated, mechanisms must be put in place within the context of the Communication Plan to implement any changes necessary to ensure that the communication tasks are completed and outcomes achieved. For major project seek professional assistance when developing and implementing the Communication Plan. The Communication Plan template and a copy of a disaster management Communication Plan are attached in Appendix B4 & B4a

36 3.7 Budget and Financial Planning Depending on how your project was initiated, either you will have a defined budget or you will need to develop or at least check the budget as part of the Project Planning phase. Whatever the scenario, a budget should be broken down into a cost plan at the planning stages. Again, using the WBS at the lowest task level will assist in more accurate costing of a project. The accuracy of the cost estimates will depend on experience and knowledge of similar activities undertaken before. Where a number of people are involved in working on the plan, make sure there is a consistent approach to the way the estimates are broken down. The less knowledge or information available to cost an activity, the higher the risk of getting the cost plan wrong. It is important to allow for a contingency amount in your project. In particular, in construction projects where site conditions or omissions from contract documents can play a big factor in the final cost of a project. The amount of a contingency depends of the risk of over-run, however as a guide a minimum of 10% should always be allowed. Appropriate contingencies will vary for different types of costs. You will need to draw on your own experience or call on advice from others who are well-experienced in order to develop appropriate contingencies. Project Accounting In developing the cost plan, costs may be split between capital and operational costs. If you are unsure of the treatment of each of your costs then seek advice from the Finance Manager. 3.7 Project Management Plan The Project Management Plan is the document, which brings together all the planning documentation developed during the planning stage. The Project Schedule, Risk Management Plan, Communication Plan. The Project Management Plan is owned and utilised by the Project Sponsor and if applicable, the Project Steering Committee to ensure the delivery of defined project outcomes. It is maintained by the Project Manager. The aim of the Project Management Plan is to define the scope, objectives, and overall approach the Project Manager and the Project Team will take during the conducting and completion of the project. The Management Plan serves as an agreement between the Project Manager and the Project Sponsor stating what the project is to deliver including time constraints, resources, relationship with stakeholders, and standards to be followed through to the completion of the project. The sections of the Project Management Plan are summarised below: Executive Summary - Provides a high level summary of the entire Project Management Plan. Project Scope - Describes the project goals and objectives, the deliverables, and the logical, organisational and temporal boundaries of the project. Project Approach - Defines the methods by which the projects will be managed. It documents the methodology to be followed by the project and the approaches for managing issues, scope, risk, and quality as well as the approaches for knowledge coordination, knowledge transfer, and training on the project. Project Organisation - Defines the governance and initial human resource requirements and proposed organisation of the project

37 Information compiled during Project Planning is used and applied in the development of the Project Management Plan. To write an effective, comprehensive Management Plan, the Project Manager must work with the Project Sponsor, Project Team members and other appropriate stakeholders. If issues or conflicting project expectations are uncovered while developing the Project Management Plan, the Project Manager must communicate with stakeholders to resolve the discrepancies, elevate the issues when appropriate and obtain consensus. Decisions that impact significantly on project expectations should be thoroughly documented. A Project Management Plan is developed to provide: A comprehensive overview of the project outputs and describes the roles and responsibilities of each of the parties; Key stakeholders with a documented framework to ensure the delivery of defined project outcomes and to effectively monitor the project from start to finish; and A formalised agreement between the governing body and the Project Manager regarding the project structure, scope and key components. Additionally, the development of a Project Management Plan contributes to the following key success factors: structured management organisation; disciplined management processes; project governance; project Management best practices; and internal/external communications. Having a Project Management Plan will provide the following benefits: improved stakeholder partnerships; improved Project Management processes; improved headquarter/regional communications; better Project Sponsorship; recognition of Senior Management s role; improved relationships with stakeholders; and improved on-time and on-budget delivery of projects. The document expands upon the original Project Charter and establishing clear guidelines for the project to proceed. The Project Management Plan seeks an agreement with the stakeholders that: provides specific details on the scope, governance, budget and milestones of the project defines the project and quality management processes to be used throughout the project; and formalises authorisation to proceed with the project The Project Management Plan template is included in Appendix B Sign-off of Project Management Plan The Project Sponsor is responsible for ensuring that the objectives, resources, methodologies etc laid out in the Project Management Plan and other project planning documents, are consistent with the policies and procedures of Council. Discussions should be held with the Project Manager where there are questions or concerns or where any of the documents are considered not to have been developed appropriately. Only when the Sponsor is satisfied should the Project Management Plan be signed off and permission given to proceed to the Delivery Phase of the project

38 SECTION 4 PHASE 3: PROJECT DELIVERY 4.1 Purpose 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 from a project management perspective. The basic iterative process, which carries on until the project objectives are delivered, is shown in the following diagram: Set up Project Document Control Project Status Reporting Meetings and other Reports Deliverables Provided Management of Issues and Risks 4.2 Project Control Control is the process of monitoring, evaluating and comparing planned results with actual results to determine the status of the project cost, schedule, and quality objectives. Control also involves the constraining of resources through corrective action to conform to a project plan of action. A well documented Project Plan is essential to project monitoring and control and will deliver the following: a baseline to measure progress and performance; a common understanding; a breakdown of stages relating to key deliverables; details of important dates, milestones and time constraints; indication of interdependencies and relations with other projects; lists of accountabilities and responsibilities according to activities; clarification of approval processes;

39 highlights of key review or decision points; details of evaluation framework; details of risk management framework; and outlines of resources and cost estimates. As project-specific tasks are performed during Project Delivery, Time, Quality and Cost (TQC) will need to be managed according to the processes established during Project Planning. The TQC is not static. Although Project Planning is complete and plans approved, some components of TQC will continue to evolve as a result of the execution of project tasks. Throughout the remaining project phases, as more information about the project becomes known and the product of the project is developed, TQC will likely be affected and will need to be closely managed. The Project Manager needs to: manage changes to Project Scope; control the Project Schedule and manage Schedule Changes; implement Quality Assurance and Quality Control Processes according to the Quality Standards revised during Project Planning; and control and manage costs established in the project budget. 4.3 Scope Change Control During the course of any project it is likely the scope or objectives will need to be amended due to any number of external influences or occurrences. This is not necessarily a sign of poor project management. However, good project management requires that this be recognised as a possibility and that a formal change process is in place and utilised. This ensures that changes are managed in a controlled way. Scope Management is the formal process by which changes to the scope of the project are managed. The main tools to manage scope are the Project Management Plan, the Change Request Form and the Change Log (templates for each are included in Appendix C3 and C4). The Project Management Plan specifies the original scope of work as signed off. Change Requests are created to document any subsequent change to this baseline scope and are tracked using the Change Log. Change Requests are to be assessed in terms of their impact on the: deliverable Scope; work Effort Scope; cost; schedule; and any other implications. All proposed changes must be documented as Change Requests and screened by the Project Manager. The Project Manager will determine the impact of accepting or rejecting the proposed changes. If evaluation of the Change Request itself has an impact on the project (e.g., the use of significant project resources, cost or time delay), it will be brought to the attention of the Project Sponsor and noted on the Change Request. The Project Sponsor makes the decision (sometimes with input from the Project Steering Committee) to approve or reject any change to the project scope. The Project Manager will maintain records of all Change Requests in the Change Log

40 An example of a project scope change could be if there was a subsequent disaster event which causes additional damage, the change which the project manager must evaluate and the Sponsor decide on is whether or not the further damage assessment is to be included in the project. This is a change in scope as it will add cost and time to the project. See in Appendix C3a for example. 4.4 Process Flow Chart The following is the flow chart representing the process to be followed and a description of responsibility in that process

41 Process Description All proposed changes to the original scope must be documented as a Change Requests. The Requested Change section of the form is filled in by the originator of the request, describing the change and the reason for the change. The change is given a number and entered into the Change Log by the Project Manager. On receiving approval, the Project Manager undertakes the investigation. Change Requests are to be assessed in terms of their impact on the: Deliverable Scope Work Effort Scope Cost Schedule Any other implications The Project Manager provides the Sponsor with a report outlining the impact of the scope change (in particular outlining the impact on the budget, the schedule, on resource requirements and on other projects if applicable. In some cases it will be necessary to provide fully assessed options. The Project Manager will provide a recommendation The Change Request Form is updated by the Project Manager The Change Log will be updated by the Project Manager The Sponsor will consider the results of the investigation The Sponsor may give approval to implement the change The Sponsor may not approve and instruct to proceed without the change The Sponsor may ask for further investigation on the change or an alternative change. The Change Request Form is updated by the Project Manager The Change Log will be updated by the Project Manager The Project Manager updates the Project Schedule and Project Budget if required The Project Manager issues the revised Schedule and Budget to the Project Sponsor, Project Steering Committee (if applicable) Project Team and other stakeholders The Project Manager implements the change in scope If the decision is to not proceed with the Scope Change the change Request form and the Change Log are updated by the Project Manager. The Project Manager retains copies of all Change Requests and keeps their status recorded in the Change Log. Changes under Contractual Circumstances For projects involving contractual relationships, changes require an extra duty of care. Changes in contract relationships need to be recorded and documented as variations to the contract

42 Council usually have a separate set of policies and practices on Contract Management that sits outside the scope of this Project Management Manual. These Contract Management procedures include the management of variations and these should be followed in all contractual cases. The Project Sponsor must approve any material changes to the Project Plan within approved delegations. Where higher authority is required, the Project Sponsor shares responsibility with the Project Manager for ensuring that this is sought and obtained in the correct manner. 4.5 Reporting During Project Delivery, the Project Manager, Project Team, Project Sponsor, Project Steering Committee and stakeholders will share information using a variety of communication mechanisms. Formal status reporting will include: Project Team members reports to the Project Manager; Project Manager reports to the Project Sponsor; and Project Manager reports to the Project Steering Committee (if one exists). Good project reporting is about ensuring that the right information is communicated at the right frequency to the right stakeholders during the life of the project. Regular, written project status reports are an essential part of monitoring the project against the project plan. Project Report templates are provided as Appendix C6 to C7. The usual frequency of the reports is set out in the table below. This will however, be agreed during the Planning Phase and documented in the Project Management Plan. Reports Frequency Project Team members reports to the Project Manager Weekly Project Manager reports to the Project Sponsor Monthly/Fortnightly Project Manager reports to the Project Steering Committee Monthly 4.6 Meetings Regular face-to-face meetings are a necessity for the success of any project. Depending on the project s requirements, it may be necessary to set-up a framework for one or more of the following meetings: Project Team Meetings; Project Sponsor Meetings; and Project Steering Committee Meetings. Meetings need to be structured to achieve their purpose and must include an agenda and a record of minutes. Good meetings will: update stakeholders of progress in the project; allow stakeholders to voice opinions and suggestions; take on Steering Committee different interests and different perspectives; make decisions on agreed actions; build Project Team and stakeholder relationships; and

43 encourage a sense of ownership among stakeholders. For Project Team meetings, it is useful to use an action list as both the meeting agenda and the minutes. An Action List template is included in Appendix C5. The usual frequencies of the meetings are set out in the table below. This will however, be agreed during the Planning Phase and documented in the Project Management Plan. Meetings Frequency Project Team meetings Weekly Project Manager meeting with the Project Sponsor Monthly/Fortnightly Project Manager meeting with the Project Steering Committee Monthly 4.7 Project Document Control All project documents need to be controlled in accordance with Council s policies and procedures for its Document Management System. The Project Manager has responsibility for Project Document Control. 4.8 Project Safety It is the responsibility of the Project Manager to ensure safety on projects. Risk planning should raise issues of safety and put strategies in place to manage them. The Project Manager must ensure that these are followed and that safety of the public is also adequately addressed by Council staff and contractors. 4.9 Updating all Project Planning documents The Project Management Plan and in particular the Project Schedule will require regular review to ensure that the project is running in accordance with expectations. They will require updating on an as-required basis but, as a general rule, it is good practice to update the documents at least at the completion of each Project Status Report

44 SECTION 5 PHASE 4: PROJECT COMPLETION 5.1 Purpose Once the Disaster Recovery project is completed: its outcomes are to be recorded, documentation and administrative requirements are to be completed in accordance with Council s procedures lessons learned during the course of project captured for future reference. The first 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. 5.2 Project Closure The Project Plan must always include a final stage of Project Close-out which is a formal process for ensuring: the stakeholders have formally accepted all outcomes a formal handover to council has been completed

45 documentation is completed and filed in accordance with Council s Records Management System the project outcomes have been reported to all stakeholders Project Evaluation has been completed a Project Closure Report has been completed where required Two procedures are developed to establish the interactions necessary to perform the closure activities across the entire project or for a project phase. 5.3 Close Project Procedures Administrative Closure Procedure The Administrative Closure Procedure comprises all the activities and the related roles and responsibilities of the Project Team members involved in closure. It includes procedures to transfer the project outcomes to the Council. This procedure provides a step-by-step methodology for administrative closure that addresses: actions and activities to define the stakeholder approval requirements for all deliverables; actions and activities necessary to confirm the project has met all sponsor, and other stakeholders requirements; actions and activities that verify all deliverables have been provided and accepted and that completion and exit criteria have been met; and integrated activities needed to collect project records, analyse project success or failure, gather lessons learned and archive project information for future use by the organisation Contract Closure Procedure The requirements for closing out contracts must follow the requirements of Council s Procurement and Contract Management policies and procedures. The procedure for each contract provides a step-by-step methodology that addresses the terms and conditions of the contracts and any required completion or exit criteria for contract closure. It contains all activities and related responsibilities of the Project Team members and other stakeholders involved in the contract closure process. The actions performed formally close all contacts associated with the completed project. This procedure involves: product verification (that all work has been completed correctly and satisfactorily); and administrative closure (updating of contract records to reflect final results and archiving that information for future use). The contract terms and conditions can also prescribe specifications for contract closure that must be part of this procedure. 5.4 Project Closure Report All projects require a Project Closure Report. The Project Closure Report documents the effectiveness of what was produced in meeting the needs of the Council and the Local Government Disaster Fund. The report assesses the success or otherwise of the project in achieving the objectives and deliverables outlined in the Project Brief and Project Management Plan (with any subsequent scope changes). A template for a Project Closure Report is provided in Appendix D1. The Project Manager must present the report to the Project Sponsor and Project Steering Committee if one exists

46 The Project Sponsor will take ownership of the report and ensure that all lessons learned from the project are available to future Project Managers thus continuously improving project management in the organisation. There also may be an opportunity to share lessons learned with other Councils. 5.5 Project Evaluation The Project Manager will lead a review of the effectiveness of the project in order to capture outcomes and lessons learned during the course of the project for subsequent similar projects. The review outcomes should be captured in a Project Closure Report. Use the template in Appendix D1 as a guide to carrying out the review and formulating the report. In the report, the Project Manager will distil information gathered during the project and gleaned from the discussion with stakeholders and will organise it according to the feedback categories in the template. The report documents the effectiveness of Project Management and the Project Team, how well the organisation supported the project, lessons learned, best practices to be used in future similar projects

47 APPENDIX A: PROJECT INITIATION TEMPLATES A1 Project Charter A2 Project Charter example

48 A1 Project Charter Name: Project Manager: Business Representative: Date: PROJECT CHARTER Original Author(s) Current Revision Author(s) File Reference Insert here centralised file number for all documents Version Date Author(s) Revision Notes Project Charter Approved Approval to Plan Project Manager Signature Date Project Sponsor Signature Date

49 1. Project Scope (Description/Background): 2. Project Outcome: 3. Project Deliverables: 4. Project Management Deliverables: 5. Stakeholders: 6. Project Milestones Milestone Completion Date 8. Estimated Cost

50 Project Organisation and Reporting Project organisation defines the project participants and staffing requirements based on the project roles and responsibilities and the business requirements. It outlines the project structure including the project management and control structure, the Project Team organisation, and the project support organisation. Project Team members will be drawn from various sources according to the skills required to deliver the project. The following chart depicts Project Structure: Project Sponsor Project Steering Committee Project Manager Project Team The Project Manager will formally report to the Project Sponsor fortnightly. The Project Team members will formally report to the Project Manager weekly. Should anything occur which threatens the project; the Project Manager will consult the Project Sponsor who will determine the appropriate course of action

51 Resourcing Resources for the project are as indicated in the project structure shown above. These are the major resources involved. However, more resources that may be called upon from time to time as the project proceeds. Related Projects The following is a list of related projects (existing or proposed) that will have an effect <Name> project. Project Impacts Each Project Manager will liaise with the other Project Managers to ensure a coordinated approach and to minimise any risk to the project. Programs for these projects will also have a bearing on resourcing the programs of work coming from this project

52 A1a Project Charter Example PROJECT CHARTER Name: Clare & Gilbert Valleys Council Renewal Program Project Manager: Mike Nolan Business Representative: Roy Blight Date: 29/03/2011 Original Author(s) Current Revision Author(s) File Reference Mike Nolan Mike Nolan Insert here centralised file number for all documents Version Date Author(s Revision Notes ) 1 29/3/11 M. Nolan Original submitted to Sponsor for consideration 2 8/04/11 M. Nolan Addition of Leanne Schirmer to Project Team & milestone details Project Charter Approved Approval to Plan Mike Nolan Project Manager Signature Date Roy Blight Project Sponsor Signature Date

53 6. Project Scope (Description/Background): 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 for submission to the Local Government Disaster Fund. 7. Project Outcome: 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. 8. Project Deliverables: 1. 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. 9. Project Management Deliverables: The Project Management deliverables will include: 1. Preparation of a Project Management Plan including a schedule of tasks, resources and timeframes required to undertake the project, a Communication Plan and a Risk Management Plan. 2. Regular Project Team meetings. 3. Regular meetings with the Project Sponsor. 4. Provide reports (or ensure the preparation of) required as part of the project i.e. reports to the Council and/or the LG Grants Commission and the LGA. 5. Stakeholder Management 6. Issue management 7. Scope management

54 10. Stakeholders: Internal Stakeholders Roy Blight CEO Council Local Government Association SA Local Government Disaster Fund External Stakeholders Ratepayers & residents Rural land holders Transport companies DTEI Stockport Recovery Committee & Stockport Community Association Rhynie Improvement Scheme Riverton Community Management Committee Tarlee Hall and Community Services 6. Project Milestones Milestone Completion Date 1. Report & Plan complete & Submitted to LG Disaster Fund 1/07/11 2. Asset Registered and valuations updated 1/07/11 8. Estimated Cost 1. Delivery of Report and Program Plan to the Clare & Gilbert Valleys Council: Cost Centres Project Manager Engineer Finance Analyst Community Engagement/Communication Officer Total: Estimated Costs $xxx $xxx $ xxx In House or LGA $xxxxx

55 Project Organisation and Reporting Project Organisation defines the project participants and staffing requirements based on the project roles and responsibilities and the business requirements. It outlines the project structure including the project management and control structure, the Project Team organisation, and the project support organisation. Project Team members will be drawn from various sources according to the skills required to deliver the project. The following chart depicts Project Structure: Project Sponsor Roy Blight Project Manager Mike Nolan Project Team Grant McKenzie (Council-Works) Steve Walker (Tonkin) Pat Flood Proxy Leanne Kunoth (Council Risk & Governance) Leanne Schirmer (Council Works) Carol McAvaney (Council- Finance) Lol Hill (Council - Community Consultation) John Wright (Financial Analyst) The Project Manager will formally report to the Project Sponsor fortnightly. The Project Team members will formally report to the Project Manager weekly. Should anything occur which threatens the project; the Project Manager will consult the Project Sponsor who will determine the appropriate course of action. Resourcing Resources for the project are as indicated in the project structure shown above. These are the major resources involved. However, more resources that may be called upon from time to time as the project proceeds

56 Related Projects The following is a list of related projects (existing or proposed) that will have an effect on the Clare & Gilbert Valleys Council Renewal Program Project. Project Impacts Works program Resource issues Stormwater reuse projects Timing & communication with stakeholders & resource issues Insured asset replacement Resource issues Each Project Manager will liaise with the other Project Managers to ensure a coordinated approach and to minimise any risk to the project. Programs for these projects will also have a bearing on resourcing the programs of work coming from this project

57 APPENDIX B: PROJECT PLANNING TEMPLATES B1 WORK BREAKDOWN STRUCTURE EXAMPLE 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

58 B1 Work Breakdown Structure (Examples of part of WBS)

59 B2 Project Schedule Version no: Infrastructure Disaster Recovery in Local Government Task description Start Date Finish Date Resource

60 B2a Project Schedule Example Task description Start date Finish Date Resource 1 Set up team & technology for Data Collection Mon 28/03/11 Fri 15/04/ Organise data collection team Mon 28/03/11 Mon 28/03/11 Grant McKenzie 1.2 Train data collection team Wed 30/03/11 Wed 30/03/11 Tonkin Consulting 1.3 Organise new the PDA Mon 4/04/11 Mon 4/04/11 Grant McKenzie 1.4 Source potential spare PDA in case of current PDA failure Mon 11/04/11 Fri 15/04/11 Grant McKenzie 1.5 Ensure there are 2 trained backup data collection staff to Mon 11/04/11 Fri 15/04/11 Grant McKenzie fill possible absences 1.6 Test transfer of data to Tonkins for potential problems Mon 11/04/11 Fri 15/04/11 Grant McKenzie 2 Undertake Data Collection Fri 1/04/11 Thu 7/04/ Undertake & test data collection in Area 7 Fri 1/04/11 Thu 7/04/ Collect sample data Fri 1/04/11 Tue 5/04/11 Grant McKenzie Send to Tonkins Wed 6/04/11 Wed 6/04/11 Grant McKenzie Test and give feedback on data Thu 7/04/11 Thu 7/04/11 Tonkin Consulting 2.2 Undertake Data collection Mon 11/04/11 Fri 6/05/ Complete Data Collection in Area 7 Mon 11/04/11 Tue 12/04/11 Grant McKenzie Complete Data Collection in Area 6 Wed 13/04/11 Fri 15/04/11 Grant McKenzie Complete Data Collection in Area 5 Mon 18/04/11 Thu 21/04/11 Grant McKenzie Complete Data Collection in Area 4 Fri 22/04/11 Tue 26/04/11 Grant McKenzie Complete Data Collection in Area 3 Wed 27/04/11 Fri 29/04/11 Grant McKenzie Complete Data Collection in Area 2 Mon 2/05/11 Tue 3/05/11 Grant McKenzie Complete Data Collection in Area 1 Wed 4/05/11 Fri 6/05/11 Grant McKenzie Ensure data is backupped daily Mon 11/04/11 Fri 6/05/11 Grant McKenzie Check data collected at least weekly to ensure quality of data & no sections are missed Mon 11/04/11 Fri 6/05/11 Grant McKenzie,Leanne Schirmer 3 Download data to Conquest & forward to Tonkin for analysis Wed 13/04/11 Mon 9/05/11 Tonkin Consulting 3.1 Download data & forward to Tonkin for Area 7 Wed 13/04/11 Wed 13/04/11 Tonkin Consulting 3.2 Download data & forward to Tonkin for Area 6 Mon 18/04/11 Mon 18/04/11 Tonkin Consulting 3.3 Download data & forward to Tonkin for Area 5 Fri 22/04/11 Fri 22/04/11 Tonkin Consulting 3.4 Download data & forward to Tonkin for Area 4 Wed 27/04/11 Wed 27/04/11 Tonkin Consulting 3.5 Download data & forward to Tonkin for Area 3 Mon 2/05/11 Mon 2/05/11 Tonkin Consulting 3.6 Download data & forward to Tonkin for Area 2 Wed 4/05/11 Wed 4/05/11 Tonkin Consulting 3.7 Download data & forward to Tonkin for Area 1 Mon 9/05/11 Mon 9/05/11 Tonkin Consulting 4 Tonkin analyse & report on data including priorities & costs Mon 28/03/11 Mon 8/08/11 Tonkin Consulting Grant McKenzie, 4.1 Prioritisation criteria to be developed & agreed between Leanne Schirmer, Mon 11/04/11 Fri 15/04/11 Council & Tonkin Roy Blight, Steve walker 4.2 Receive formal Council approval for prioritisation criteria Thu 2/06/11 Thu 2/06/11 Grant McKenzie 4.3 Council to provide Tonkin with local costs of materials Mon 11/04/11 Wed 13/04/11 Grant McKenzie, Leanne Schirmer 4.4 Obtain agreement by LG Disaster Fund of costing methodology Mon 28/03/11 Mon 28/03/11 Mike Nolan 4.5 Provide Tonkin with list of all works undertaken since 2007 Mon 18/04/11 Fri 13/05/11 Leanne Schirmer 4.6 Add new works to 2007 Asset Register Mon 16/05/11 Thu 19/05/11 Tonkin Consulting 4.7 Analyse updated Asset Register and reduce condition for intervening years Fri 20/05/11 Thu 26/05/11 Tonkin Consulting 4.8 Tonkin analyse & Report on data for Area 7 Fri 27/05/11 Thu 2/06/11 Tonkin Consulting 4.9 Tonkin analyse & Report on data for Area 1-6 Fri 27/05/11 Thu 2/06/11 Tonkin Consulting 4.10 Tonkin to report progress and issues to Project Manager weekly 4.11 Council to review work prioritisation of work recommended by Tonkin Fri 15/04/11 Thu 30/06/11 SteveWalker Fri 3/06/11 Mon 8/08/11 Grant McKenzie, Leanne Schirmer, Mike Nolan 5 Analyse costing provided by Tonkin Fri 3/06/11 Mon 6/06/11 Financial Analyst 5.1 Analyse costing provided by Tonkin for Area 7 Fri 3/06/11 Mon 6/06/11 Financial Analyst 5.2 Analyse costing provided by Tonkin for Area 1-6 Fri 3/06/11 Mon 6/06/11 Financial Analyst 6 Provide data to update the Asset Register Wed 13/04/11 Thu 30/06/ Council to inform Tonkin of requirements re the asset register and valuations Wed 13/04/11 Wed 13/04/11 Carol McAvaney 6.2 Undertake validation of Area 7 data for Asset Register Tue 7/06/11 Wed 8/06/11 Carol McAvaney 6.3 Tonkin provides Asset Register data to Financial Analyst Fri 3/06/11 Fri 3/06/11 Tonkin Consulting

61 Task description Start date Finish Date Resource 6.4 Financial Analysist checks data Mon 6/06/11 Thu 9/06/11 Financial Analyst 6.5 Council provided with data to update the Asset Register Fri 10/06/11 Fri 10/06/11 Tonkin Consulting 6.6 Liaise with Auditor and Financial Analyse asset register and financial sustainability Mon 2/05/11 Thu 30/06/11 Carol McAvaney 7 Prepare Project schedule of work Fri 3/06/11 Thu 9/06/11 Tonkin Consulting, Mike Nolan, Grant McKenzie 7.1 Prepare Project Schedule for Area 7 Fri 3/06/11 Tue 7/06/11 Mike Nolan, Tonkin Consulting, Grant McKenzie 7.2 Prepare Project Schedule for full area Fri 3/06/11 Thu 9/06/11 Mike Nolan, Tonkin Consulting, Grant McKenzie 8 Submit detailed Level funding application to LG Disaster Fund Mon 18/04/11 Fri 10/06/11 Roy Blight 8.1 Obtain LG Disaster Fund agreement of format of Council funding submission & report to Council Mon 18/04/11 Fri 22/04/11 Mike Nolan 8.1 Submit detailed Level funding application for Area 7 Wed 8/06/11 Wed 8/06/11 Roy Blight 8.2 Submit detailed Level funding application for full area Fri 10/06/11 Fri 10/06/11 Roy Blight 9 Project reporting & Meetings Mon 28/03/11 Mon 11/07/ Project Team reports & Meetings Fri 15/04/11 Fri 1/07/11 Project Team Members 9.2 Report to Project Sponsor Mon 28/03/11 Mon 11/07/11 Mike Nolan 10 Communication With Stakeholders Mon 11/04/11 Fri 15/07/ Report to Council Meetings Thu 21/04/11 Thu 30/06/11 Roy Blight 10.2 Report to Council Workshops Thu 5/05/11 Thu 7/07/11 Roy Blight 10.3 Undertake weekly briefings of the Mayor Mon 11/04/11 Mon 4/07/11 Roy Blight 10.4 Report to the Audit Committee Mon 2/05/11 Fri 1/07/11 Roy Blight 10.5 Update Senior Management & staff fortnightly Mon 11/04/11 Fri 1/07/11 Roy Blight, Senior Managers 10.6 Meet with Minister & Local Parliamentarians quartly Mon 2/05/11 Fri 1/07/11 Roy Blight 10.7 Write to Minister & Local Parliamentarians every 6 weeks Mon 11/04/11 Fri 1/07/11 Roy Blight 10.8 Send out media release and /or Newsletter monthly to the whole community Mon 11/04/11 Fri 1/07/11 Roy Blight 10.9 Set up area on Council Website to provide detailed information on progress to all stakeholders Mon 11/04/11 Fri 22/04/11 Roy Blight Continually update Website with all relevant information Mon 25/04/11 Fri 1/07/11 Roy Blight Inform the community outside the council are of progress through media releases Mon 18/04/11 Fri 1/07/11 Roy Blight Provide regular information to Tourism SA Mon 18/04/11 Fri 1/07/11 Roy Blight Meet with & send fortnightly progress information to stakeholders directly affected by the floods Mon 11/04/11 Fri 1/07/ Meet regularly with Peak Bodies and Peak Body Chairs Mon 11/04/11 Fri 1/07/11 Roy Blight, Lol Hill Meet with Stockport Recovery Committee every 3 Tue 19/04/11 Fri 1/07/11 Lol Hill weeks Meet with Stockport Community Association monthly Mon 11/04/11 Fri 1/07/11 Lol Hill Meet monthly with Rhynie Improvement Scheme Mon 11/04/11 Fri 1/07/11 Lol Hill Meet monthly with Riverton Community Management Committee Mon 11/04/11 Fri 1/07/11 Lol Hill Meet monthly with Tarlee Hall and Community Services Mon 11/04/11 Fri 1/07/11 Lol Hill Meet monthly with the Chairs of Peak Bodies Mon 2/05/11 Fri 1/07/11 Roy Blight Meet fortnightly with LGA and keep phone and contact Mon 11/04/11 Fri 1/07/11 Roy Blight Continue monthly media contact on progress and issues Mon 11/04/11 Fri 1/07/11 Roy Blight Forthnightly meeting and contact with LG Disaster Fund Mon 11/04/11 Fri 15/07/11 Mike Nolan Contact Transport SA, Trucking industry peek bodies every 2 months or as needed Mon 2/05/11 Fri 1/07/11 Roy Blight Keep in contact with other Councils through Regional networks Mon 18/04/11 Fri 15/07/11 Roy Blight Provide Councils with updated information through the LGA Newsletter Mon 18/04/11 Fri 15/07/11 Roy Blight

62 B3 - Risk Management Plan Ref Risk Description Existing Controls in place Consequence Likelihood Rating Additional Controls to be put in place Consequence Likelihood Revised Rating Priority Responsibility Timeframe

63 B3a - Risk Management Plan Example Project Name: Uninsured Council Infrastructure Renewal Program Project Manager: Mike Nolan Current/Actual Proposed (If current Residual Risk is unacceptable) Risk Issue Impact Existing Controls Likelihood Consequenc e Risk S it Mitigation (Controls/Treatments) Likelihood Consequenc e Risk Severity 1. Staff absences 2. Delay project 3. Cause anxiety in community 4. Lose attention of LGDF 5. Puts pressure on group to catch up 2. Adverse weather 1. Delay project 2. Create access issues 3. Compound damage 4. Coherence of data collection 3. Confuse LGDF / what disaster? 1. Have 1 backup staff 2. Further leave minimised during project 1. Predicted weather forecast is favourable C 3 H 1. Further backup staff sourced 2. Train 2 backup staff immediately C 3 H 1. Undertake work quickly and efficiently E 3 M C 3 H

64 Current/Actual Proposed (If current Residual Risk is unacceptable) Risk Issue Impact Existing Controls Likelihood Consequenc e Risk S it Mitigation (Controls/Treatments) Likelihood Consequenc e Risk Severity 2. Technology failure 1. Delay project 2. Potential loss of data 3. Increase cost 1. Purchased new PDA recommended by Tonkin consulting 2. Users have received training D 4 H 1. Backup system for data utilised daily 2. Source potential spare equipment - Grant to check Tea Tree Gully Council E 4 H 3. Software incompatibility 4. Other projects competing 5. Risk of missing section 6. Lack of accuracy and consistency 1. Delay Project 2. Potential loss of data 3. Increase cost 1. Delay project 2. Cause frustration 1. delay project 2. lose money understate need 1. Delay project 2. Revisit data collection 1. Purchased new PDA recommended by Tonkin consulting therefore software is compatible 1. Work flow planning 2. Project has been allocated priority for timely completion 1. Existing register of roads 2. Total length of roads currently to enable reconciliation 3. Data collectors have a plan to work to 1. Staff have been trained 2. Tonkin currently examining test data and have provided feedback E 3 M 1. Test the equipment prior to use 2. Physical conversion into another format E 3 M 1. CEO mandates this project of being the current highest priority D 4 H 1. Grant / Leanne to check work on a weekly basis D 4 H 1. Grant / Leanne to check data regularly E 3 M E 3 M E 4 H E 4 H 7. Data lost during transmission to Tonkin 1. Delay project rework necessary C 4 E 1. Daily back up of data prior to transmission 2. Keep copies of all data 3. Grant / Leanne to check Tonkin has received data E 4 H

65 Current/Actual Proposed (If current Residual Risk is unacceptable) Risk Issue Impact Existing Controls Likelihood Consequenc e Risk S it Mitigation (Controls/Treatments) Likelihood Consequenc e Risk Severity

66 Current/Actual Proposed (If current Residual Risk is unacceptable) Risk Issue Impact Existing Controls Likelihood Consequenc e Risk S it Mitigation (Controls/Treatments) Likelihood Consequenc e Risk Severity 8. Analysing Data Tonkin workload and priority 1. Delay project 1. Project manager weekly contact with Tonkins and monitoring performance D 3 M 1. Tonkin to report to PM on progress weekly 2. Tonkin to report emerging issues that threaten the project immediately D 3 M 9. Tonkin inability to fulfil 0bligations Absence of Steve W Technology failure 1. Delay project 1. Project manager weekly contact with Tonkins and monitoring performance D 3 M 1. Tonkin to report to PM on progress weekly 2. Tonkin to report emerging issues that threaten the project immediately D 3 M 10. Tonkin proposed prioritisation at odds with local assessment 1. Delay reporting to LGDF 2. Time for review necessary 1. Tonkin provided prioritisation tables C 3 H 1. Grant/Leanne / Roy to agree to prioritisation criteria with Tonkins 2. Grant report to Council to gain approval 3. Grant / Leanne and PM to be involved in development of priority of works E 3 M 11. Lack of accurate data on local cost structures 1. Loss of potential compensation from LGDF 2. LGDF not satisfied with costing and erode credibility of report 1. Tonkin experience C 4 E 1. Grant/Leanne to provide Tonkin with information on local costings 2. Check with their costings and unit rates before submission 3. Project manager to obtain sign off from LGDF on Tonkin costing methodology 4. Financial analyst to check costing and unit rates E 4 H

67 Current/Actual Proposed (If current Residual Risk is unacceptable) Risk Issue Impact Existing Controls Likelihood Consequenc e Risk S it Mitigation (Controls/Treatments) Likelihood Consequenc e Risk Severity

68 Current/Actual Proposed (If current Residual Risk is unacceptable) Risk Issue Impact Existing Controls Likelihood Consequenc e Risk S it Mitigation (Controls/Treatments) Likelihood Consequenc e Risk Severity 12. Tonkins do not understand financial requirements re asset valuations 13. Report doesn t meet LGDF requirements 14. Community becoming disenchanted 15. Financial analyst ability to carry out work in timely manner 1. Product not suitable 2. Issues with auditor and production of annual financial statements 1. Delays release of money 2. Report to be reworked 3. Delays commencement of reconstruction 4. Increases cost of project 1. Dealing with more complaints 2. Lowers morale 3. Credibility of Council impacted 1. Tonkin experience C 4 E 1. Carol and council auditor to meet with Tonkins to inform them of requirements re the asset register and valuations 2. Carol to seek validation of test data 3. Carol to liaise with Financial Analyst on asset register and financial sustainability in consultation with auditor 1. Project manager has met with LGDF 1. Communication plan developed 4. Electoral instability 1. Delay project 1. Consultant experience 2. Timelines already planned in schedule C 4 E 1. Project manager to obtain sign off from LGDF on report format and detail 2. PM to report to Council E 4 H E 4 H B 4 E 1. Implement Communication Plan D 3 M C 3 H 1. Project manager to meet with financial analyst and agree to timelines 2. Project manager to manage the financial analyst 3. PM to liaise with Carol E 3 M

69 B4 - Communication Plan Communication Plan for the <Name> Project <Date> DME

70 BACKGROUND <Insert the general description of the project from your Project Brief document> <Insert the project objectives here> An important aspect of the project management is the development and implementation of a brief yet effective and comprehensive communication strategy to ensure all stakeholders fully and accurately informed as to the progress of the project. Spokesperson/s The Communication Plan presupposes that <Name/s> are the only authorized spokespersons. It is recommended that public statements of substance (ie Monthly Newsletters, Press Releases and Media Statements) be approved by the Project Sponsor and issued over the name of either the <Name/s>. Audiences/Stakeholders <Here list the audience> Eg. Council; Executive Group / Senior Managers; General Staff; Businesses; Locals; Developers & Contractors; Residents Associations; Transport Authorities; Other Relevant Government Departments; Local Council Other Organisations. DME

71 Overarching Objectives All communications with regard to <Project Name> development will be cognisant of the implementation and infrastructure agreements. To achieve the best possible outcomes for the <Organizations Name> during and resulting from the project Delivery the communications program will seek to ensure:- Informed stakeholders that feels valued & respected; Stakeholders that are as supportive of the project as can be reasonably be expected; Stakeholders that, as far as possible, are understanding and accepting of disruptions & inconveniences; Reasons for stakeholder complaint & agitation are minimized; Presentation of the Council and the City as open, accountable, transparent and proactive; As far as possible a pre-emptive approach to queries and complaints. Communication Tasks To achieve the overarching objectives as per above, the following (non-exhaustive) list of communication tasks will be addressed:- <Insert a list here> Provide a regularly updated program of work; Chronicle progress against project plan; Promote existence and role of Project Team; Maintain a focus on the completed product; Address misconceptions as and when they arise; Forewarn and highlight potential and/or probable inconveniences delays and disruptions; Explain, apologise for and offer suggestions to mitigate disruptions and inconveniences including, but not limited to:- <List here>

72 Tasks & Responsibilities Infrastructure Disaster Recovery in Local Government Stakeholder Group Tasks (message and distribution method) Responsibility By When/how often DME

73 B4a - Communication Plan Example Communication Plan for the Clare & Gilbert Valleys Council Uninsured Council Infrastructure Renewal Program Project April 2011 MIKE NOLAN MANAGEMENT SERVICES PTY LTD

74 BACKGROUND 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 for submission to the Local Government Disaster Fund. 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. An important aspect for this project is the development and implementation of an effective and comprehensive communication strategy to ensure all stakeholders are fully and accurately informed as to the progress of the project and information they require. Spokesperson/s The Communication Plan presupposes that the CEO Roy Blight & Mayor Allan Aughey are the only authorized spokespersons. It is recommended that public statements of substance (ie Monthly Newsletters, Press Releases and Media Statements) be approved by the Project Sponsor and issued over the name of either/both of the above. Audiences/Stakeholders The audience/stakeholders for this project are: Council Members; Mayor Audit Committee; Managers & Staff; Minister & Local Members of Parliament (State & Federal) General Community Local Government Association SA; Media; Local Government Disaster Fund; Transport Industry; Other Councils Stockport Recovery Committee & Stockport Community Association Rhynie Improvement Scheme Riverton Community Management Committee Tarlee Hall and Community Services DME

75 Overarching Objectives To achieve the best possible outcomes for the Clare and Gilbert Valleys Council during and resulting from the project. Implementation the communications plan will seek to ensure:- Informed stakeholders feel valued and respected; Stakeholders are as supportive of the project as can be reasonably be expected; Stakeholders, as far as possible, are understanding and accepting of disruptions and inconveniences; Reasons for stakeholder complaint and agitation are minimized; Presentation of the Council as open, accountable, transparent and proactive; As far as possible, a pre-emptive approach to queries and complaints. Communication Tasks To achieve the overarching objectives as per above, the following (non-exhaustive) list of communication tasks will be addressed: Provide a regularly updated program of work; Chronicle progress against project plan; Promote existence and role of Project Team; Maintain a focus on the completed product; Address misconceptions as and when they arise; Forewarn and highlight potential and/or probable inconveniences delays and disruptions; Explain, apologise for and offer suggestions to mitigate disruptions and inconveniences

76 Tasks & Responsibilities Infrastructure Disaster Recovery in Local Government Stakeholder Group Tasks (message and distribution method) Responsibility By When/how often Council Members Formal and or verbal reports to Roy Blight Council & Council workshop on what is happening, what progress is being made, issues that are occurring and what impact the project is having. Mayor Verbal briefings Roy Blight Carol Audit Committee Managers & Staff Minister & Local Members of Parliament (State & Federal) General Community in Council area General Community outside Council area Community directly effected by flooding Stockport Recovery Committee & Stockport Community Association Rhynie Improvement Scheme Report on progress, status of assets and value of assets. Also any risks going forward & how they are managed Staff and Departmental meetings & memos to inform staff of progress and any effect the project will have on them Meet and write to them to ensure they are aware of the extent of damage, keep them up to date and to keep them engaged Statements to Press and/or newsletter and Council Web site on what is happening, what Council is doing and what possible impact on them Statements to Press on what is happening and information to Tourism SA Statements to Press and/or newsletter & meetings on what is happening, what Council is doing district wide, and what possible impact on them. Also meetings with Peak bodies & peak body chairs see below Meetings with organizations informing them on what is happening, what Council is doing and what possible impact on them. Meetings with their Chair Getting feedback on their requirements Meetings with organizations informing them on what is happening, what Council is doing and what possible impact on them. Meetings with their Chair Getting feedback on their McAvaney Roy Blight Roy Blight & Managers Roy Blight Mayor Allan Aughey Roy Blight Roy Blight Roy Blight Mayor Allan Aughey & Councillors Roy Blight Lol Hill Mayor Aughey & Councillors Roy Blight Lol Hill Mayor Aughey & Councillors Council meetings 3 rd Thursday Workshop 1 st Thursday Weekly Quarterly report Fortnightly Meet every quarter Write every 6 weeks Monthly (Statements to Press and/or newsletter) Website to be updated with any relevant information as it comes to hand Every two Months Fortnightly 6 monthly Monthly Every 3 weeks (19 April) recovery committee Monthly As required DME

77 Riverton Community Management Committee Tarlee Hall and Community Services Local Government Association SA Media Local Government Disaster Fund Trucking Industry Other Councils requirements Meetings with organizations informing them on what is happening, what Council is doing and what possible impact on them. Meetings with their Chair Getting feedback on their requirements Meetings with organizations informing them on what is happening, what Council is doing and what possible impact on them. Meetings with their Chair Getting feedback on their requirements Meet, & phone to keep them up to date with progress, issues encountered and to seek assistance where needed Press releases and/or meetings with media representatives to inform them on progress, what is happening, what Council is doing and possible impacts on the community. Meetings & s to seek support for report content & to keep them engaged Contact with Transport SA, Transport industry Peak bodies informing them of what is happening and road routes affected. Meet, & phone to keep them up to date with progress, issues encountered and to seek assistance/collaboration where needed Roy Blight Lol Hill Mayor Aughey & Councillors Roy Blight Lol Hill Mayor Aughey & Councillors Roy Blight & Mike Nolan Roy Blight Mayor Aughey Mike Nolan Roy Blight Roy Blight Monthly As required Monthly As required Weekly or as required Monthly Fortnightly Every two Months or on a needs basis (as the situation changes) At Regional Meeting Article in LGA Newsletter

78 B5 Project Management Plan PROJECT NAME HERE Project Management Plan DATE HERE MIKE NOLAN MANAGEMENT SERVICES PTY LTD

79 Document Information and Revision History File Name Original Author(s) Current Revision Author(s) File Reference Project Name Version Date Author(s) Revision Notes 1 Submitted for approved Name Project Manager Date / / Accepted and Approved on behalf Council Name Project Sponsor Date / /

80 TABLE OF CONTENTS 1. Executive Summary 2. Project Scope 2.1 General Scope 2.2 Project Objectives 2.3 Project Delivery issues 2.4 Organisation Scope 2.5 Financial Scope 2.6 Timing 3. Project Organisation and Reporting 3.1 Resourcing 4. Related Projects Appendices Appendix I Appendix II Appendix III Project Schedule Risk Management Plan Communication Plan

81 1. EXECUTIVE SUMMARY Infrastructure Disaster Recovery in Local Government Purpose of a Project Management Plan The aim of the Project Management Plan is to set out the scope, objectives and overall approach the Project Team will take to conduct and complete the NAME project. This Management Plan serves as an agreement between the Project Manager and the Project Board. It is a clear articulation of what the project is to deliver including; the outputs, time constraints, resources, relationship with stakeholders, and standards to be followed to project completion. The Project Management Plan is not a static document and may change according to changes in business or project conditions. Any changes will be managed in accordance with the procedures outlined in this document. The sections of this Project Management Plan are summarised below: Executive Summary - Provides a high level summary of the entire Project Management Plan. Project Scope - Outlines the project goals and objectives, the deliverables, and the logical, organisational and temporal boundaries of the project. Project Approach - Defines the methods by which the project will be managed. It documents the methodology to be followed by the project and outlines approaches to managing issues, scope, risk, and quality. It also outlines approaches to knowledge coordination, knowledge transfer, and on-the-project training. Project Organisation - Identifies the initial human resource requirements and the organisational parameters of the project. A key document supporting the Project Management Plan is the Project Plan. This document is attached as Appendix 1 and details tasks, timing and resources to complete those tasks. The phases of the project are as summarised below: Stage 1: Project Planning This stage includes: Identification of the Project Sponsor, Project Board and Project Team, Confirmation of the Brief, the Methodology and the Final Deliverables Development of a Risk Mitigation Plan Development of a Communication Plan Development of a Project Plan, including a resource plan Development, review and sign-off of the Project Management Plan Stage 2: Project Delivery Here you describe how you will implement the project, referring to the Project Plan. Describe the different stages and milestones you expect to achieve. <The Delivery stage may be broken up into a number of stages> Stage <final>: Project Closure Here you describe the handover of the final product, whether it is a report or a product. It is also good practice to give a lessons learned report when the project is complete, as well as a post delivery review. DME

82 2. PROJECT SCOPE Infrastructure Disaster Recovery in Local Government 2.1 General Scope The general scope of the Name project is to Describe project for the Organisation. This includes: Here list some details 2.2 Project Objective The objective of the project is to: Here list objectives 2.3 Project Delivery Limits The project will deliver the following: Here list deliverables 2.4 Organisational Scope The Corporate Information System Project is limited to the delivery of the computer applications and necessary hardware upgrades as listed above from Technology One and Tower Software. The hardware supplier is yet to be sourced. 2.3 Financial Scope The budget for the project is as follows: 2.6 Timing The major milestones for the project are as follows: Milestone Completion Date

83 3. PROJECT MANAGEMENT APPROACH 3.1 Consistency To provide consistency across all stages of the project, the Project Manager will ensure a consistent approach to Project Management and documentation. This will include providing the Project Team with clear guidelines on their roles and responsibilities with regard to the project. <Weekly> meetings of the Project Team will occur and detailed records of those meetings kept. 3.2 Project Management Project Management will ensure that all activities of the project are co-ordinated in a timely and professional manner to ensure achievement of all goals and objectives. Key activities to be undertaken include: Establishment of a Project Management Framework to encompass status reports/meetings, issues management, communication plan, scope changes etc. Scheduled meetings with Project Team. Meetings with the Project Sponsor as required. Meetings with representatives of the <name other key stakeholders> Project work. 3.3 Knowledge Coordination Knowledge Coordination is the management of the information associated with the project. The more correct, timely and complete the information in the knowledge base, the more likely the deliverables will accurately reflect the project s goals and objectives. Knowledge Coordination is the responsibility of the Project Manager, who is also responsible for maintaining master copies and back-ups of deliverables and work products. The Project Manager will also perform version control activities. 3.4 Knowledge Transfer Knowledge Transfer addresses the transference of knowledge within the Project Team and from the Project Team to the <here name the key stakeholders who you will be transferring information to> and vice versa, as necessary. Knowledge Transfer will be achieved by making the relevant Project Deliverables available to all authorised personnel. Knowledge Transfer within the Project Team and the Sponsor and external user community will also be achieved through normal project meetings and internal reviews of deliverables. <Note: there may be a need for confidentiality and therefore who has a right to what information should be spelt out> 3.5 Quality Management Approach The Quality Management objectives for the project are to: Ensure that the deliverables produced by the project are an accurate representation of the business needs as reflected in the Project Management Plan; and Ensure that the project is successfully executed within the agreed scheduled time-frame and budget. These objectives will be achieved by: Involving key business representatives as sources of information, as work-product reviewers and as people to drive the project from the point of view of delivery of the project; Clearly defining the roles and responsibilities of all project participants; Using a common approach to Project Management; Using standardised techniques from a formalised methodology; Conducting progress reviews against agreed milestones with management;

84 Regularly reviewing the project work-products; Establishment of a formal issues and scope management process; Adhering to the requirements of quality as represented in the agreed quality management procedures as documented in this Project Management Plan. 3.6 Risk Management Risk Management is a formal process through which problems that may have a negative effect on the project are identified and assessed in a pro-active manner. Risk Management involves a risk assessment, development of risk strategies and on-going monitoring of risk. A formal risk assessment was undertaken as a part of developing the Project Management Plan for this project. A Risk Management Plan was developed which identifies all risks, risk management strategies and actions. Further details including actions are included in the Risk Management Plan. 3.7 Scope Management Scope Management is the formal process by which changes to the scope of the project are managed. The main tools to manage scope are the Project Management Plan and the Change Request Log. The Project Management Plan specifies the original scope of work as agreed to. Change Requests are created to document any subsequent change to this baseline scope and are tracked using the Change Request Log. Change Requests are to be assessed in terms of their impact on the: Deliverable Scope Work Effort Scope Agreed Fee Schedule Any other implications All proposed changes should be documented as Change Requests and screened by the Project Manager. The Project Manager will determine the impact of accepting or rejecting the proposed changes. If evaluation of the Change Request itself has an impact on the project (eg. the use of Project resources), it will be brought to the attention of the Project Sponsor and noted on the Change Request. The Project Sponsor will have the authority to approve any change to the project scope. The Project Manager will maintain records of all Change Requests

85 4. PROJECT GOVERNANCE AND REPORTING Project Governance defines the project participants and staffing requirements based on the project roles and responsibilities and the business requirements. It outlines the project structure including the project management and control structure, the Project Team organisation, and the project support organisation. Project Team members will be drawn from various sources according to the skills required to deliver the project. The following chart depicts Project Structure: Project Sponsor <Name> Project Steering Committee <Name> <Name> <Name> <Name> Project Manager Project Support <Name> <Name> Project Team <Name> <Name> <Name> <Name> <Name> <Name> Project Assurance <Names>

86 Roles and responsibilities are outlined in the following table. Role Person Description Project Sponsor Project Steering Committee Project Manager <Name> Approves the business decisions for the project Makes resources available. Approves work products. Resolves major issues and change requests. Gives advice where required. Chairs the Project Steering Committee. <Name> The Project Steering Committee is responsible for the carriage of the project Responsible to ensure that goals and deliverables of the project are achieved. The Steering Committee members have collective responsibility for the project. Ensures that what is being produced is in accordance with the desires of Council and individually will recommend signoff to the Project Steering Committee of project deliverables. Makes resources available from within their Departments. <Name> Reports to the Project Sponsor Leads the Project Team Controls the day to day aspects of the project Project management processes (structure, plan, assess, report, control, conclude) Executes formal and management reviews Tracks and disposes of issues Tracks action items and budgets Generally first point of external contact for the project Liaises with stakeholders Accept or deny Change Requests/Contract Change Proposals/Variations in a timely manner or refers them to the Project Sponsor for decision. Accept phases in accordance with the project schedule. Allow site access in accordance with an agreed schedule. Approve tests to be conducted and the timetable for testing. Complete any required preliminary works in accordance with the project schedule. Define requirements. Make available all resources required to assist in carrying out the project activities, within the required timeframes

87 Project Team <Name> Is the team of Specialists who carry out the tasks necessary to make the project a success. Complete specific tasks in line with project plans on individual project elements, Is the group responsible for making the technical decisions necessary to deliver a successful product and, through the Project Manager, for making recommendations to the Project Steering Committee and Project Sponsor. Individual Responsibilities: Each member of the Project Team has specific knowledge of his/her area within the organisations and as such is responsible for advising the Project Manager of workflow and operational issues as they affect the delivery of the project. They will participate in testing and final acceptance of the application. Immediately escalate to the organisation s Project Manager any issues that may affect the quality, timing or cost of the project Monitor the implementation of the application, and report regularly to the organisation s Project Manager. The Project Manager will formally report to the Project Sponsor <timing>. Should anything occur which threatens the project; the Project Manager will consult the Project Sponsor who will determine the appropriate course of action. 4.1 Resourcing Resources for the project are as indicated in the project structure shown above and in the Project Plan. These are the major resources involved. However, more resources that may be called upon from time to time as the project proceeds could include additional staff to assist in quality control and testing, and external expertise to provide legal and technical advice

88 5. RELATED PROJECTS Infrastructure Disaster Recovery in Local Government The following is a list of related projects (existing or proposed) that will have an affect on the Disaster Recovery Project. Project Impacts Each Project Manager will liaise with the other Project Managers to ensure a coordinated approach and to minimise any risk to the project. The Project Manager will advise the Project Sponsor where other projects may effect the success of a specific project

89 APPENDIX I Project Schedule APPENDIX II Risk Management Plan APPENDIX III Communication Plan

90 B5a Project Management Plan Example Clare & Gilbert Valleys Council Renewal Program Project Management Plan 15 th April 2011 MIKE NOLAN MANAGEMENT SERVICES PTY LTD 2011 Document Information and Revision History

91 File Name Original Author(s) Current Revision Author(s) File Reference Clare & Gilbert Valleys Council Renewal Program Mike Nolan Mike Nolan Version Date Author(s) Revision Notes 1 15/04/11 Mike Nolan Original submitted to Sponsor for consideration Submitted for approved Mike Nolan Project Manager Date / / Accepted and Approved on behalf Council Roy Blight Project Sponsor Date / /

92 TABLE OF CONTENTS 1. Executive Summary 2. Project Scope 2.1 General Scope 2.2 Project Objectives 2.3 Project Delivery issues 2.4 Organisation Scope 2.5 Financial Scope 2.6 Timing 3. Project Organisation and Reporting 3.1 Resourcing 4. Related Projects Appendices Appendix I Appendix II Appendix III Project Schedule Risk Management Plan Communication Plan

93 1. EXECUTIVE SUMMARY Infrastructure Disaster Recovery in Local Government Purpose of a Project Management Plan The aim of the Project Management Plan is to set out the scope, objectives and overall approach the Project Team will take to conduct and complete the Clare & Gilbert Valleys Council Renewal Program Project. This Management Plan serves as an agreement between the Project Manager and the Project Sponsor. It is a clear articulation of what the project is to deliver including; the outputs, time constraints, resources, relationship with stakeholders, and standards to be followed to project completion. The Project Management Plan is not a static document and may change according to changes in business or project conditions. Any changes will be managed in accordance with the procedures outlined in this document. The sections of this Project Management Plan are summarised below: Executive Summary - Provides a high level summary of the entire Project Management Plan. Project Scope - Outlines the project goals and objectives, the deliverables, and the logical, organisational and temporal boundaries of the project. Project Approach - Defines the methods by which the project will be managed. It documents the methodology to be followed by the project and outlines approaches to managing issues, scope, risk, and quality. It also outlines approaches to knowledge coordination, knowledge transfer, and on-the-project training. Project Organisation - Identifies the initial human resource requirements and the organisational parameters of the project. A key document supporting the Project Management Plan is the Project Schedule. This document is attached as Appendix 1 and details tasks, timing and resources to complete those tasks. The phases of the project are as summarised below: Stage 1: Project Planning This stage includes: Identification of the Project Sponsor, Project Board and Project Team, Confirmation of the Brief, the Methodology and the Final Deliverables Development of a Risk Mitigation Plan Development of a Communication Plan Development of a Project Schedule, including a resource plan Development, review and sign-off of the Project Management Plan Stage 2: Project Delivery The detailed tasks, timeline and human recourses required to undertake this project are outlined in the Project Schedule which is attached as Appendix 1. Stage 3: Project Closure This project ends with the receipt of grant funds from the Local Government Disaster Fund following the submission of a grant application to the Fund and the receipt by Council of a prioritised and costed plan to carry out the required work to recover from the floods

94 2. PROJECT SCOPE Infrastructure Disaster Recovery in Local Government 2.1 General Scope 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. 2.2 Project Objective 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. 2.3 Project Delivery Limits 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. This project does not include the management of the civil and structural works identified in this project. These works will involve a series of separate projects. 2.4 Organisational Scope This project is carried out on behalf of Clare & Gilbert Valleys Council. It is undertaken with the assistance of the Local government Association of South Australia and the Local Government Disaster Fund. 2.5 Financial Scope The budget for the project is as follows: Cost Centres Project Manager ($250 per hour) Engineer Finance Analyst Community Engagement/Communication Officer Total: Estimated Costs $xxxxxx $xxxxxx $xxxxxx In House or LGA $xxxxxx

95 2.6 Timing The major milestones for the project are as follows: Milestone Completion Date 1 Set up team & technology for Data Collection Fri 15/04/11 2 Undertake Data Collection Thu 7/04/ Undertake Data collection Fri 6/05/11 3 Download data to Conquest & forward to Tonkin for analysis Mon 9/05/11 4 Tonkin analyse & report on data including priorities & costs Mon 8/08/11 5 Analyse costing provided by Tonkin Mon 6/06/11 6 Provide data to update the Asset Register Thu 30/06/11 7 Prepare Project Schedule of work Thu 9/06/11 8 Submit detailed Level funding application to LG Disaster Fund Fri 10/06/11 9 Project reporting & Meetings Mon 11/07/11 10 Communication With Stakeholders Fri 15/07/

96 3. PROJECT MANAGEMENT APPROACH 3.1 Consistency To provide consistency across all stages of the project, the Project Manager will ensure a consistent approach to Project Management and documentation. This will include providing the Project Team with clear guidelines on their roles and responsibilities with regard to the project. Fortnightly meetings of the Project Team will occur and detailed records of those meetings kept. 3.2 Project Management Project Management will ensure that all activities of the project are co-ordinated in a timely and professional manner to ensure achievement of all goals and objectives. Key activities to be undertaken include: Establishment of a Project Management Framework to encompass status reports/meetings, issues management, communication plan, scope changes etc. Scheduled meetings with Project Team. Meetings with the Project Sponsor as required. Meetings with representatives of the Local Government Association, The Local Government Disaster Fund and the local community. Project work. 3.3 Knowledge Coordination Knowledge Coordination is the management of the information associated with the project. The more correct, timely and complete the information in the knowledge base, the more likely the deliverables will accurately reflect the project s goals and objectives. Knowledge Coordination is the responsibility of the Project Manager, who is also responsible for maintaining master copies and back-ups of deliverables and work products. The Project Manager will also perform version control activities. 3.4 Quality Management Approach The Quality Management objectives for the project are to: Ensure that the deliverables produced by the project are an accurate representation of the business needs as reflected in the Project Management Plan; and Ensure that the project is successfully executed within the agreed scheduled time-frame and budget. These objectives will be achieved by: Involving key business representatives as sources of information, as work-product reviewers and as people to drive the project from the point of view of delivery of the project; Clearly defining the roles and responsibilities of all project participants; Using a common approach to Project Management; Using standardised techniques from a formalised methodology; Conducting progress reviews against agreed milestones with management; Regularly reviewing the project work-products; Establishment of a formal issues and scope management process; Adhering to the requirements of quality as represented in the agreed quality management procedures as documented in this Project Management Plan. 3.5 Risk Management Risk Management is a formal process through which problems that may have a negative effect on the project are identified and assessed in a pro-active manner. Risk Management involves a risk assessment, development of risk strategies and on-going monitoring of risk

97 A formal risk assessment was undertaken as a part of developing the Project Management Plan for this project and is attached. A Risk Management Plan was developed which identifies all risks, risk management strategies and actions. The following were the strategies identified for the extreme and high risks. Further details including actions are included in the Risk Mitigation Plan. 3.6 Scope Management Scope Management is the formal process by which changes to the scope of the project are managed. The main tools to manage scope are the Project Management Plan and the Change Request Log. The Project Management Plan specifies the original scope of work as agreed to. Change Requests are created to document any subsequent change to this baseline scope and are tracked using the Change Request Log. Change Requests are to be assessed in terms of their impact on the: Deliverable Scope Work Effort Scope Agreed Fee Schedule Any other implications All proposed changes should be documented as Change Requests and screened by the Project Manager. The Project Manager will determine the impact of accepting or rejecting the proposed changes. If evaluation of the Change Request itself has an impact on the project (eg. the use of project resources), it will be brought to the attention of the Project Sponsor and noted on the Change Request. The Project Sponsor will have the authority to approve any change to the project scope. The Project Manager will maintain records of all Change Requests

98 4. Project Governance and Reporting Project Governance defines the project participants and staffing requirements based on the project roles and responsibilities and the business requirements. It outlines the project structure including the project management and control structure, the Project Team organisation, and the project support organisation. Project Team members will be drawn from various sources according to the skills required to deliver the project. The following chart depicts Project Structure: Project Sponsor Roy Blight Project Manager Mike Nolan Project Team Grant McKenzie (Council-Works) Steve Walker (Tonkin) Pat Flood Proxy Leanne Kunoth (Council Risk & Governance) Leanne Schirmer (Council Works) Carol McAvaney (Council- Finance) Lol Hill (Council - Community Consultation) John Wright (Financial Analyst) The Project Manager will formally report to the Project Sponsor fortnightly. The Project Team members will formally report to the Project Manager weekly. Should anything occur which threatens the project; the Project Manager will consult the Project Sponsor who will determine the appropriate course of action

99 Roles and responsibilities are outlined in the following table. Role Person Description Project Sponsor Project Manager Project Team Roy Blight Approves the business decisions for the project Makes resources available. Approves work products. Resolves major issues and change requests. Gives advice where required. Mike Nolan Reports to the Project Sponsor Leads the Project Team Controls the day to day aspects of the project Project management processes (structure, plan, assess, report, control, conclude) Executes formal and management reviews Tracks and disposes of issues Tracks action items and budgets Generally first point of external contact for the project Liaises with stakeholders Accept or deny Change Requests/Contract Change Proposals/Variations in a timely manner or refers them to the Project Sponsor for decision. Accept phases in accordance with the project schedule. Complete any required preliminary works in accordance with the project schedule. Define requirements. Make available all resources requires to assist it in carrying out the project activities, within the required timeframes. Grant McKenzie Lol Hill Pat Flood (Proxy Leanne Kunoth) Leanne Schirmer Carol McAvaney Steve Walker John Wright Is the team of Specialists who carry out the tasks necessary to make the project a success. Complete specific tasks in line with project plans on individual project elements, Is the group responsible for making the technical decisions necessary to deliver a successful product and, through the Project Manager, for making recommendations to the Project Sponsor. Individual Responsibilities: Each member of the Project Team has specific knowledge of his/her area within the organisations and as such is responsible for advising the Project Manager of workflow and operational issues as they affect the delivery of the project. Immediately escalate to the organisation s Project Manager any issues that may affect the quality, timing or cost of the project Report each Friday to the Project Manager

100 The Project Manager will formally report to the Project Sponsor fortnightly. Should anything occur which threatens the project; the Project Manager will consult the Project Sponsor who will determine the appropriate course of action. 4.1 Resourcing Resources for the project are as indicated in the project structure shown above and in the Project Plan. These are the major resources involved. However, more resources that may be called upon from time to time as the project proceeds could include additional staff to assist in data collection, and external expertise to provide legal and technical advice. 5. Related Projects The following is a list of related projects (existing or proposed) that will have an affect on the Disaster Recovery Project. Project Council works program Impacts People not being available to collect data. - Sponsor instructed that this project is top priority. Each Project Manager will liaise with the other Project Managers to ensure a coordinated approach and to minimise any risk to the project. The Project Manager will advise the Project Sponsor where other projects may effect the success of this project

101 APPENDIX I Project Schedule APPENDIX II Risk Management Plan APPENDIX III Communication Plan

102 APPENDIX C: PROJECT DELIVERY TEMPLATES C1 - CHANGE REQUEST FORM C1A - CHANGE REQUEST FORM (EXAMPLE) C2 - CHANGE LOG C2A CHANGE LOG (EXAMPLE) C3 - PROJECT TEAM MEETING ACTION LIST C3A - PROJECT TEAM MEETING ACTION LIST (EXAMPLE) C4 - PROJECT TEAM MEMBER REPORT C4A - PROJECT TEAM MEMBER REPORT (EXAMPLE) C5 - PROJECT MANAGER REPORT TO PROJECT SPONSOR AND PROJECT STEERING COMMITTEE C5A - PROJECT MANAGER REPORT TO PROJECT SPONSOR AND PROJECT STEERING COMMITTEE (EXAMPLE)

103 C3 Change Request Form General Project Title Client Document Folder Project Manager Type of Change (tick box) Requested Change Description of Requested Change Change Request No. Budget Resources Schedule Quality Scope Other Reason for Change /Nature of Problem pproval to Undertake Investigation Impact of Change Impact (impact on budget, schedule, resources, other projects, etc if accepted / rejected) Change Finalisation and Implementation by Project Manager, C&SP Client advised on (date) Additional Funding Required Yes No Recommended Source of Funding: Project Plan Revised Remarks Yes No Project Manager Signoff Project Manager Prepared By Relevant Supporting Material attached Date Signature Client Signoff Approval Conditional Upon Change request is Approved Not approved

104 Client Name Date Signature

105 C3a Change Request Form (Example) General Project Title Client Change Request No. District Council of Orb District Council of Orb Document Folder File ABC 5037 Project Manager Type of Change (tick box) Requested Change Description of Requested Change Reason for Change /Nature of Problem Approval to Undertake Investigation Impact of Change 1 Mike Nolan Budget Resources Schedule Quality Scope Other Following a second flood during data collection it is recommended that a review of damage be undertaken so that any additional works required are identified, costed and submitted for funding. Further damage has occurred which will require additional funding to repair. As we currently have a team collecting data it would be cost effective to do this work now. Impact (impact on budget, schedule, resources, other projects, etc if accepted / rejected) 1 Schedule extension by 8 days 2 Additional cost for data collection and analysis $12,000 Change Finalisation and Implementation by Project Manager, C&SP Client advised on (date) 5 th June 2011 Additional Funding Required Yes No Recommended Source of Funding: Project Plan Revised Remarks Yes No None Project Manager Signoff Project Manager Prepared By Mike Nolan Date 5 th June 2011 Signature Relevant Supporting Material attached None Client Signoff Approval Conditional Upon Change request is Approved Not approved

106 Client Name Joe Smith Date 7 th June 2011 Signature

107 C4 Change Log Client Project Name Date File No. Page 1 of 1 Change Number Change Name Revision # Priority Date Opened Status Date Closed

108 C4a Change Log (Example) Client District Council of Orb Project Name Mike Nolan Date File No. File ABC 5037 Page 1 of 1 Change Change Name Revision Priority Date Status Date Number # Opened Closed 1 Further data collection 1 1 5/6/11 Urgent 7/6/

109 C5 Project Team Meeting Action List Action List No. In Attendance: Apologies: From Meeting of No. Description Responsibility Due Date

110 C5a Project Team Meeting Action List (Example) Action List No. In Attendance: Roy Blight Grant McKenzie Lol Hill Pat Flood Leanne Schirmer Carol McAvaney Mike Nolan Apologies: None From Meeting of No. Description Responsibility Due Date 1. Meet with Tonkins to insure data is correct for Asset Carol McAvaney 21/5/11 valuation for end of financial year 2. Identify backup data collectors Grant McKenzie 22/5/11 3. Brief Council Roy Blight 22/6/

111 C6 Project Team Member Report Infrastructure Disaster Recovery in Local Government Project Period: Project Member: Brief Description of Project Responsibility: Project Manager: Progress against schedule: Milestone Completion Date Planned Forecast Actual Status/ Comments Note: If you are delivering ahead of time or late enter into Forecast. When task complete enter into Actual Achievements this period Forecast achievements next period

112 Issues this period Actions to address issues No. Issue No. Action Report here any problems encountered Report how you are addressing them Financial Status: Comments re Financial Status Description Overall Budget Period Tracking Budget Forecast Variance Anticipated Actual Spend Spend Variance Risk Monitoring: (Report any new risks or risks we have identified where the rating has increased) Risk No. Risk Severity Risk Status/Comments General Comments:

113 C6a Project Team Member Report (Example) Project Period: 16 th April to 28 th April Project Manager: Mike Nolan Project Members: Grant McKenzie & Leanne Schirmer Brief Description of Project Responsibility: Data collection & checking Tonkin report Progress against schedule: Milestone Completion Date Status/ Comments Planned Forecast Actual 1.1 Organise data collection team 28/03/11 Complete 1.3 Organise new the PDA 4/04/11 Complete 1.4 Source potential spare PDA in case of current PDA 15/04/11 12/04/11 Complete failure 1.5 Ensure there are 2 trained backup data collection 15/04/11 15/04/11 Complete staff to fill possible absences 1.6 Test transfer of data to Tonkin s for potential 15/04/11 14/04/11 Complete problems Collect sample data 5/04/11 5/04/11 Complete Send to Tonkin 6/04/11 6/04/11 Complete Complete Data Collection in Area 7 13/04/11 13/04/11 Complete Complete Data Collection in Area 6 29/04/11 18/04/11 Complete Complete Data Collection in Area 5 11/05/11 19/04/11 Complete Complete Data Collection in Area 4 18/05/11 27/04/11 Complete Complete Data Collection in Area 3 24/05/11 28/04/11 Complete Complete Data Collection in Area 2 30/05/ Complete Data Collection in Area 1 2/06/ Ensure data is backup daily 2/06/ Check data collected at least weekly to ensure 2/06/11 quality of data & no sections are missed Milestone Completion Date Status/ Comments Planned Forecast Actual

114 4.1 Prioritisation criteria to be developed & agreed between Council & Tonkin 4.2 Receive formal Council approval for prioritisation criteria 4.3 Council to provide Tonkin with local costs of materials 4.8 Council to review work prioritisation of work recommended by Tonkin 15/04/11 21/04/11 13/04/11 24/06/11 28/04/11 27/04/11 Sub-categories for Cat 3 roads forwarded to Tonkins 22/04/11 27/04/11 Issues this period Actions to address issues No. Issue No. Action None None Risk Monitoring: Risk No. Risk Severity Risk No new risks Status/Comments General Comments:

115 C7 Project Manager Report to Project Sponsor & Project Steering Committee Project Name: Project Sponsor: Project Manager: Project Period: Brief Description of Project: Progress against schedule: Milestone Completion Date Planned Forecast Actual Status/ Comments

116 Achievements this period Forecast achievements next period Issues this period Actions to address issues No. Issue No. Action Total Number of issues: Number Resolved: Outstanding Issues 1-5 days: 6-10 days: days: 30+ days:

117 Financial Status: Comments re Financial Status Description Overall Budget Period Tracking Budget Forecast Variance Anticipated Actual Variance Spend Spend Risk Monitoring: Risk No. Risk Severity Risk Status/Comments Change to Scope: Project Communication: Other:

118 C7a Project Manager Report to Project Sponsor & Project Steering Committee (Example) Project Sponsor: Roy Blight Project Manager: Mike Nolan Project Period: to 17 th May 2011 Brief Description of Project: 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 for submission to the Local Government Disaster Fund. Progress against schedule: Milestone Completion Date Planned Forecast Actual 1 Set up team & technology for Data 15/04/11 15/04/11 Complete Collection 2 Undertake Data Collection 6/05/11 6/05/11 Complete Status/ Comments 3 Download data to Conquest & forward to Tonkin for analysis 4 Tonkin analyse & report on data including priorities & costs 5 Analyse costing provided by Tonkin 30/05/11 10/06/11 6 Provide data to update the Asset 30/06/11 30/06/11 Register 7 Prepare Project schedule of works 2/06/11 2/06/11 9/05/11 9/05/11 Complete & sent to Tonkin 31/05/11 31/05/11 Tonkin received update the Asset Register but has asked for further details on plant & labour rates from Grant. This is a critical item which if delayed will hold up the project. Tonkin have commence analysis all areas. 8 Submit detailed Level funding 3/06/11 15/06/11 Because of delay (See 4 above) Tonkin now analysing all areas together application to LG Disaster Fund 9 Project reporting & Meetings 11/07/11 11/07/11 Reports received from all for first week, only from Grant & Leanne S. Rest on holidays. 10 Communication With Stakeholders 15/7/11 15/07/11 Have not received update report as Lol is away. Will catch up next week

119 Issues this period Actions to address issues No. Issue No. Action 1 Delay in providing Asset updates since 2007 is delaying Tonkins ability to commence assessment. 1 Tonkin has only now received the data and is looking for further information. Financial Status: Description Overall Budget Period Tracking Budget Forecast Variance Anticipated Actual Variance Spend Spend Project Manager ($xxxx per hour) $xxxxx $xxxxx $xxxxx $xxxxx Engineer $xxxxx $xxxx $xxxxx $xxxxx Finance Analyst $ xxxx $ xxxx $xxxxx $xxxxx Community Engagement/Communication Officer In House or LGA In House or LGA $xxxxx $xxxxx Total: $xxxxxx $xxxxxx $xxxxx $xxxxx Comments re Financial Status Risk Monitoring: Risk No. Risk Severity Risk 1 M Any further delay in providing asset updates of work since 2007 will delay the project further Status/Comments Discussed with Grant & Leanne S and update the Project Schedule

120 APPENDIX D: PROJECT COMPLETION TEMPLATES D1 PROJECT CLOSURE REPORT DME

121 D1 Project Closure Report <Insert Main Title here> Project Closure Report

122 DOCUMENT CONTROLS Project Reference Number:. File Reference Number:. Version History Version Date Author Comments

123 TABLE OF CONTENTS 1 EXECUTIVE SUMMARY 1.1 Background 1.2 Reason for Closing the Project 2 CLOSURE ACTIVITIES 2.1 Project Deliverables 2.2 Project Objectives/Benefits Realisation 2.3 Contract Closure 2.4 Risk Management 2.5 Financial Management 2.6 Knowledge Management 2.7 Post Project Responsibilities 3 PROJECT CLOSURE APPROVAL 4 APPENDICES 4.1 Acceptance / Sign off by relevant Business Owner 4.2 Lessons Learned

124 EXECUTIVE SUMMARY Infrastructure Disaster Recovery in Local Government Background <Insert here briefly describe the background to the project> Reason for Closing the Project <Insert here state the reason why this project is being closed. This may be because the outputs have been delivered, the outcomes have been achieved, the closing date has been reached and/or the budget has been expended. In some cases a project may be closed for other reasons, for example a change in policy or agency priorities or funding has been fully expended> CLOSURE ACTIVITIES 1.1 Project Deliverables <Insert here summarise current status of all deliverables, what is/is not complete. Where applicable, highlight specific deliverables which need work to complete and determine if you are going to hand over those deliverables unfinished> 1.2 Project Objectives/Benefits Realisation Information in this table (See Appendix 4.2) is based on data outlined in the Project Brief or Business Case. These are based on the quantified objectives or benefit of the project. 1.3 Contract Closure <Insert here summarise status of all contracts to ensure that the specifications have been met, as well as final payment and release of contract. Mention also if there are maintenance contracts involved.> 1.4 Issues Management <Insert here identify any outstanding issues and who will continue to progress the issues> 1.5 Risk Management <Insert here identify any risks which will transfer to an operational area and who has responsibility for monitoring them> 1.6 Financial Management <Insert here identify any outstanding financial issues and how they will be handled> Estimated Cost (Include breakdown of major expenses) Actual Cost (following completion of project & any comments) 1.7 Knowledge Management <Insert here identify the arrangements to hand over the hard copy and soft copy (electronic) records and project documents to the appropriate person> 1.8 Post Project Responsibilities <Insert here list any matters that are outstanding, what actions are required to address them and who is responsible. This should include things that are outstanding or have not been formally agreed prior to this stage such as outcomes yet to be achieved, outputs not yet delivered, maintenance of the outputs or other operational matters such as meeting future training requirements>

125 PROJECT CLOSURE APPROVAL Infrastructure Disaster Recovery in Local Government Acceptance / Sign off by relevant Business Owner & Project Sponsor Name Title Signature Date

126 Lessons Learned ID Lesson Learned Title Lesson Learned Description Recommended Action Target Resolution Date Status DME

127 D1a Project Closure Report (Example) Clare & Gilbert Valleys Council Uninsured Council Infrastructure Renewal Program Project July 2011 Project Closure Report Mike Nolan Management Services Pty Ltd 2011 DME

128 DOCUMENT CONTROLS Project Reference Number: 1 File Reference Number: xxx Version History Version Date Author Comments 1 15 July 2011 M. Nolan Draft only

129 TABLE OF CONTENTS 1 EXECUTIVE SUMMARY 1.1 Background 1.2 Reason for Closing the Project 2 CLOSURE ACTIVITIES 2.1 Project Deliverables 2.2 Project Objectives/Benefits Realisation 2.3 Contract Closure 2.4 Risk Management 2.5 Financial Management 2.6 Knowledge Management 2.7 Post Project Responsibilities 3 PROJECT CLOSURE APPROVAL 4 APPENDICES 4.1 Acceptance / Sign off by relevant Business Owner 4.2 Lessons Learned

130 EXECUTIVE SUMMARY Infrastructure Disaster Recovery in Local Government Background 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 for submission to the Local Government Disaster Fund. Reason for Closing the Project Project is complete. CLOSURE ACTIVITIES 1.1 Project Deliverables The following has been delivered: A detailed report and plan which includes identification of all damaged uninsured assets and costing and prioritisation of a program of works for Council. A detailed proposal to satisfy the LG Disaster Fund of the claimable amount to return the network to the pre-flood condition. An updated road register reflecting the condition of the road network after the flood event. A detailed report advising Council on: o the implications for Council s asset and financial management plans o recommend changes as required to accommodate works to be undertaken o the long term implications o Identification of service provision issues with recommendations to Council on how best to address these matters. 1.2 Project Objectives/Benefits Realisation Council is now aware of the extent of work required to renew all uninsured assets damaged by the floods in the area. There now is a prioritised and costed plan to carry out the required work. The Local Government Disaster Fund has the necessary information to assess the funding required by Council so that the work may be carried out. 1.3 Contract Closure Contract for the Project Manager, the Consultant Engineer and Financial Advisor have been completed. 1.4 Issues Management Council are waiting for the outcome of the Local Government Disaster Fund deliberations. 1.5 Risk Management There are risks going forward that: Council may struggle to have the resources to manage the works and a lack of local resources to carry out the work in a timely manner These can be managed with the application of sound project management practices in particular detailed planning. 1.6 Financial Management Estimated Cost (Include breakdown of major expenses) $xxxxxxx Actual Cost (following completion of project & any comments) $xxxxxxx

131 1.7 Knowledge Management The Project Manager handed over all deliverables to the Project Sponsor. 1.8 Post Project Responsibilities Council to liaise with the Local Government Disaster Fund and undertake the works that are funded. PROJECT CLOSURE APPROVAL Acceptance / Sign off by relevant Business Owner & Project Sponsor Name Title Signature Date M. Nolan Project Manager 23/7/11 R. Blyth Project Sponsor 30/7/

132 LESSONS LEARNED ID Lesson Learned Title Lesson Learned Description Recommended Action 1 2 Late data collection Because detailed data collection did not occur until approximately 3 months after the flood the extent of the evidence of damage was not easy to see as the Council had already carried out extensive works. Data collection errors Initial use of the data collection technology was not correct and rework was necessary. Appoint a project Manager immediately and collect the data while still evident. Ensure that the data collectors know how to use data technology. Provide training and visit the sites with them to insure correct usage. Target Resolution Date Next event Next event Status DME

133 APPENDIX E: SPECIFIC LOCAL GOVERNMENT ISSUES E1 FINANCIAL SUSTAINABILITY, ASSET MANAGEMENT PLAN AND 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 DME

134 E1 FINANCIAL SUSTAINABILITY, ASSET MANAGEMENT PLAN & ASSET RE-VALUATION A key objective for Local Government is the achievement and maintenance of the financial sustainability of SA Councils, both collectively and individually. A major natural disaster, such a major flood, can throw into disarray councils plans to achieve sustainability. A council's long-term financial performance and position is sustainable where planned long-term service and infrastructure levels and standards are met without unplanned increases in rates or disruptive cuts to services. While each council will have undertaken a planning process that ensures that they get the most value from each of your assets and have the financial resources to rehabilitate and replace them when necessary. These Asset Management Plans can be thrown into disarray following a disaster and council s financial resources will be stretched if no assistance is provided. Following a disaster and before all assets are brought back to a pre-disaster condition Councils will need to reflect this new reduced valuation at the end or year. Data collection will provide the information required. The asset register must be up to date to reflect the pre-disaster condition before the new condition is analysed and the new valuation can be assessed. It is important to have your Auditor involved in the revaluation and ensure that the Audit Committee are advised. This same information is required by the Local government Disaster Fund as they will only fund up to the pre-disaster condition. Any improved condition must be funded by the Council. E2 - DEVELOPMENT PLAN - POSSIBLE NEED FOR REVIEW Following a major disaster where private as well as public property is damaged it may be important to review Councils Development Plan. For instance if areas of the Council are in a flood plane and major damage occurred to private property then it might be prudent to review development conditions in that area. E3 - EMERGENCY MANAGEMENT PLAN, IMMEDIATE EMERGENCY RESPONSE REVIEW AND IMPROVEMENT The Emergency Management Act 2004 defines an emergency as: an event that causes, or threatens to cause- (a) the death of, or injury or other damage to the health of, any person; or (b) the destruction of, or damage to, any property; or (c) a disruption to essential services or to services usually enjoyed by the community; or (d) harm to the environment, or to flora or fauna During emergencies, Councils support their communities directly and indirectly by providing resources and information to emergency services and to the community. A Council's ability to handle emergencies can be strongly influenced by its Council's attitudes, preparedness and involvement in emergency management. Emergency management involves the plans, structures and arrangements which are established to bring together the activities of government, voluntary and private agencies in a comprehensive and coordinated way to deal with emergency needs, including prevention, response and recovery. It is essential that following a disaster that Councils Emergency Management Plans are reviewed, lessons learned and plans improved. One has only to read the outcome of various enquiries in Australia following natural disasters to see that plan put in place prior to the experience of a

135 disaster often do not work as well as hoped and therefore have not met the needs of the community adequately. E4 - RECOVERY ISSUES Immediately following a disaster Councils concentrate on making safe as far as possible local infrastructure. Council also has a responsibility as a leader of the community to ensure that as far as possible communications with its stakeholders is restored and meets the need of the community. Council should then undertake a program of assessment of damage to its assets and this should be done immediately. To let time pass can erode evidence of the damage as council may feel the pressure to repair damage before data can be collected which is necessary to make application for disaster funding. It is recommended that councils immediately appoint a Project Manager to manage data collection and analysis. This manual sets out how such a project should be planned, managed and delivered. E5 - FLOOD PROTECTION REVIEW Following a disaster, such as a major flood, waterway and drainage may have to be substantially repaired. This gives Council the opportunity to review the standard of flood protection in the council area. In some cases the level of protection could have contributed to the damage and therefore reinstating to the same level does not make sense. Obtain professional advice on the design of work being reinstated so that protection can be increased and further likely damage to the asset is minimised. E6 - FUNDING OF WORKS LOCAL GOVERNMENT DISASTER FUND & OTHER Local Government Disaster Fund The Local Government Disaster Fund is the main body where councils can seek funds for disaster recovery works. The following are guidelines for councils in making submissions to the Fund. Type of Disaster Natural disasters of a significant size relative to the capacity of the council to fund. Loss or damage caused by council negligence is not eligible for assistance. Type of Damage Loss of or damage to property in the care, control and management of the council will be considered eligible for assistance. Assessment of Claims Claims for assistance will be assessed by the Local Government Disaster Fund Management Committee on a case by case basis. Form and level of assistance The form of assistance will also be determined on a case by case basis, and may include assistance either as a once-off grant or a subsidy towards borrowing costs. The scale of the disaster relative to the capacity of the council will be assessed when determining the level of assistance. Format of submission Councils which believe they are eligible for assistance should provide a submission which includes: a) Evidence of the nature and extent of the loss or damage. b) An assessment of reinstatement or replacement costs. c) All relevant details of the event causing the loss or damage

136 d) An assessment of Councils financial situation including proposed arrangements for financing the reinstatement or replacement. Information to include: 1. A map of the district showing the main watercourses, where the flood water came from, the major outfalls where water dissipated, and the areas affected by flooding. 2. All damage sites, including sections of road and/or culverts, should be highlighted and numbered in priority order on the map in order to demonstrate their importance to council s overall network (the priorities should be identical to those on Parts 2 and 3 of the application forms). 3. For each section of affected road: a) Provide name, total length and width, traffic use, date and type of constructions before the flood and cost to build in that location. (eg. Brown s Road, 6 km by 8m with side drains, last constructed 1985, 100mm limestone rubble pavement, unsealed surface $15,000 per km). b) Date and type of maintenance last carried out, c) The length of section of road where major damage has occurred and the proposed reinstatement details including full costings. Of this indicate the contribution council is seeking from the Fund. d) Indicate how frequently it is flooded, the last year such flooding occurred and the source of this information. (eg. Blacks Road, flooded on average every 5 years, last flooded Source: council minutes). e) Indicate the current year s works budget and whether it provided for maintenance of the road in question. If so, how much. f) The importance of the road as a thoroughfare. (eg.cul de sac, access road to farms, major access to adjoining areas). 4. Similar levels of detail should be provided for damage to culverts, bridges and other related infrastructure. The information provided must be able to give the Committee an accurate, verifiable picture of the condition of each damaged road section (or culvert etc) before flooding occurred, a means of assessing the cost to bring the infrastructure back to that condition, and the portion of that cost being claimed. It is not acceptable to provide costings for repair and/or reconstruction of a road of higher quality than previously existed, nor for the entire length of a road when only a section has suffered major damage

137 Australian Governments Natural Disaster Relief and Recovery Arrangements The Commonwealth Department of Transport and Regional Services provide funding to the state Government for natural disaster recovery. This has the following aims basic principles and categories of assistance. : 1.1 Aim and overview of the Natural Disaster Relief and Recovery Arrangements Natural disasters often result in large-scale expenditure by state governments in the form of disaster relief and recovery payments and infrastructure restoration. To assist with this burden, the Commonwealth has made arrangements to provide financial assistance to the states in some circumstances. Usually the assistance is in the form of partial reimbursement of actual expenditure The Commonwealth s assistance is intended to be directed to state measures that complement other strategies in relation to natural disasters, such as insurance and disaster mitigation planning and implementation The arrangements (called the Natural Disaster Relief and Recovery Arrangements ) are set out in this Determination and are administered by the Department of Transport and Regional Services. 1.2 Basic principle for assistance to states The Commonwealth may make payments to a state in partial reimbursement for state expenditure in relation to a natural disaster The payments may be made if: a) the state expenditure is on eligible measures (as defined in this Determination); and b) the state expenditure meets certain financial requirements set out in this Determination; and c) the state meets other conditions set out in this Determination Although payments are generally made after the state has submitted a claim for financial assistance, the Commonwealth may provide advance payments if the Minister is satisfied that exceptional circumstances exist. Categories of assistance Category A measure is a form of emergency assistance that is given to individuals to alleviate their personal hardship or distress arising as a direct result of a natural disaster

138 Category B measure is assistance of one of the following types: a) restoration or replacement of certain essential public assets damaged as a direct result of a natural disaster. The assistance must meet the requirements set out in clause 3.6; b) loans, subsidies or grants listed in subclause to alleviate the financial burden of costs incurred by certain businesses, primary producers, voluntary non-profit bodies and individuals as a direct result of a natural disaster. The assistance must meet the requirements set out in clause 3.7; c) counter disaster operations for the protection of the general public. The assistance must meet the requirements set out in clause 3.8. Category C measure is a community recovery package designed to support a holistic approach to the recovery of regions, communities or sectors severely affected by a natural disaster. The package comprises one or more of the following: a) a community recovery fund in circumstances where a community is severely affected and needs to restore social networks, community functioning and community facilities. Expenditure from the fund is aimed at community recovery, community development and community capacity building, and is administered by the state government in close collaboration with local government bodies or other community bodies; b) recovery grants for small businesses where the business sector is severely affected and the community risks losing essential businesses. Grants to small businesses are aimed at covering the cost of clean-up and reinstatement, but not at providing compensation for losses; c) recovery grants for primary producers where the farming sector is severely affected, with threats to viability and disruption of production likely to extend beyond the current season. Grants to primary producers are aimed at covering the cost of clean-up and reinstatement, but not at providing compensation for losses. A Category D measure is an act of relief or recovery carried out to alleviate distress or damage in circumstances that are, in the opinion of the Minister, exceptional