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					                     GENERIC
              MONITORING & REPORTING
                    GUIDELINES
                              FOR
                    INFRASTRUCTURE PROJECTS




3S01 Monitoring & Reporting Guidelines v4-0
                                                        Contents

DEFINITIONS .................................................................................................................... III

1     INTRODUCTION ......................................................................................................... 5

2     REPORTING FREQUENCY ........................................................................................ 5

3     REPORTING THROUGHOUT PROGRAMME/PROJECT CYCLE ............................. 5

4     REPORTING PROCESS ............................................................................................. 5

4.1      Programme Establishment .................................................................................... 5

4.2      Project Delivery ...................................................................................................... 6

FIGURE 1 REPORTING PROCESS.................................................................................. 7

5     REPORTING FORMAT ............................................................................................... 7

5.1      Management Reports............................................................................................. 7

5.2      Summary Report for Management ........................................................................ 9

5.3      Contractors Report ................................................................................................ 9

5.4      Reporting Hierarchy............................................................................................... 9

FIGURE 2 REPORTING FLOW & HIERARCHY .............................................................. 10

5.5      Use of Micro Soft Projects................................................................................... 10

5.6      Reporting Medium ............................................................................................... 10

6     MONITORING PERFORMANCE .............................................................................. 11

6.1      Reviewing Performance ...................................................................................... 11

6.2      Taking Corrective Action ..................................................................................... 11

6.3      Monitoring Compliance ....................................................................................... 11

7     EVALUATION ........................................................................................................... 11

7.1      What is Evaluation? ............................................................................................. 11

7.2      Types of Evaluation ............................................................................................. 12

7.3      Internal Evaluations ............................................................................................. 12


3S01 Monitoring & Reporting Guidelines v4-0                                                                                            Page i
7.4     External Evaluations ............................................................................................ 12

7.5     Proposals for Evaluations ................................................................................... 12

8     REPORT TEMPLATES ............................................................................................. 12




3S01 Monitoring & Reporting Guidelines v4-0                                                                                    Page ii
DEFINITIONS
In order to provide clarity the following definitions and terminology are used within this
document:
Achievement Management Schedule (AMS) - schedule used to track progress of the
                activities within each project
AMS -           see Activity Management Schedule
Development Management – The management of the entire project cycle from project
                inception to post construction commissioning
Feasibility Study – Study carried out within the Phase 1 Project Inception to determine
                the feasibility of the project, project scope, budgetary requirements,
                timeframe, site suitability, site ownership etc.
IA –            see Implementing Agent
Implementing Agent (IA) – The organisation responsible for implementing the project on
                behalf of the client organisation
Organisation – in the context of this document is the Client Organisation form whom the
                infrastructure project is being undertaken and who is overall responsible for
                the infrastructure programme
Programme Establishment – The planning and establishment of the Programme in terms
                of the strategic objectives and projects prioritised for development
Project Delivery – The entire project delivery cycle including the sub-phases of Project
                Inception (Set Up), Project Planning, Project Construction and Project
                Completion.
Project Completion – comprises the completion phase of each project including the
                contract completion (final account and retention release as well as the
                completion of the documentation for the project)
Project Construction – comprises the construction of the works by the Contractor up to
                project completion and commissioning
Project Initiation (Set Up) – The initial phase of each project commencing with project
                selection in terms of a feasibility assessment and budget approval
Project Planning –comprises the planning and Design Phase culminating in tendering
                and award of the works contract
Principal Agent – the professional appointed by the implementing agent assigned
                responsibility for leading the professional team and administering the
                construction contract (usually an architect)


3S01 Monitoring & Reporting Guidelines v4-0                                                     Page iii
Procurement – the process of procuring services, supplies or construction including
                preparing tender documents, calling for bid offers, tender evaluation and
                award of contracts i.e. the entire tendering process
Project Cycle - the entire cycle of activities required to select, plan, construct and
                complete a project
Project Tracking Schedule (PTS) - see Template 3T01 the schedule which provides
                reporting detail for each project against key performance indicators
                (financial, project status, social and physical progress)
PTS -           See Project Tracking Schedule
W-              Written report see Template 3T11
Work Process        The procedures and activities required to manage the projects




3S01 Monitoring & Reporting Guidelines v4-0                                                 Page iv
MONITORING AND REPORTING GUIDELINES WITHIN                              THE    INFRASTRUCTURE
DEVELOPMENT PROJECTS


1 INTRODUCTION

      The projects form part of the organisations infrastructure and/or maintenance programmes.
      In order to ensure that the projects are delivered on time, within budget and to specification,
      a monitoring and reporting system is required to provide uniform reporting, which can be
      used to monitor progress, and identify blockages in order for corrective action to be taken
      timeously.

2 REPORTING FREQUENCY

      Monthly reporting of progress on all projects is required in order to adequately track
      progress and respond timeously to resolving blockages.

3 REPORTING THROUGHOUT PROGRAMME/PROJECT CYCLE

      An important principle is that reporting should occur throughout the programme/project cycle
      including during:
           Programme Establishment
           Project Delivery including:
                 o Project Initiation (set up of the project)
                 o Project Planning
                 o Project Construction
                 o Project Completion
           Programme Completion

4 REPORTING PROCESS


4.1    Programme Establishment

       Within the Programme Establishment Phase the Programme Manager is responsible for
       reporting progress to management on the progress made in the establishment of the
       Programme and any management decisions and support required. The Programme
       Manager prepares a monthly progress report comprising three components namely
       – Written progress report (W) see Template 3T04 + Project Tracking Schedule
       (PTS) see Template 3T03+ Activity Management Schedule (AMS) see Template
       3T05




3S01 Monitoring & Reporting Guidelines v4-0                                                    Page 5
4.2     Project Delivery

4.2.1    Project Initiation/Set Up
        Within the Project Initiation Phase the Programme Manager receives progress reports
        from the professional team appointed to carry out the Feasibility Study and reports
        progress to management. The Programme Manager prepares a monthly project
        progress report comprising three components namely – Written progress report
        (W) + Project Tracking Schedule (PTS) + Activity Management Schedule (AMS).


4.2.2    Project Initiation

        Principal Agent – prepares monthly project progress report comprising three components
        namely – Written progress report (W) + Project Tracking Schedule (PTS) + Activity
        Management Schedule (AMS).

        Project Manager (within the Implementing Agent) – receives monthly progress reports for
        each project from the Principal Agents and prepares a consolidated monthly report for all
        projects being undertaken by the IA – (W+PTS+AMS)

        Programme Manager (Organisation) – receives monthly reports from IA and prepares a
        consolidated report for all projects within the programme (W+PTS+AMS).

4.2.3    Project Construction
        Once the Contractor has been appointed then on a monthly basis the Contractor is also
        required to report with respect to local employment as follows:

        Contractor – prepares monthly payment certificate and reports employment data for the
        project using the Contractors Employment Report 4T14.

        Principal Agent – prepares monthly project progress report comprising three components
        namely – Written progress report 3T04 (W) + Project Tracking Schedule (PTS) 3T03 +
        Activity Management Schedule (AMS) 3T05.

        Project Manager (within the Implementing Agent) – receives monthly progress reports for
        each project from the Principal Agents and prepares a consolidated monthly report for all
        projects being undertaken by the IA – (W+PTS+AMS)

        Programme Manager (Organisation) – receives monthly reports from IA and prepares a
        consolidated report for all projects within the programme (W+PTS+AMS) and summarises
        the information from the reports for each project.

      The reporting process is shown in Figure 1 below.




3S01 Monitoring & Reporting Guidelines v4-0                                                 Page 6
FIGURE 1 REPORTING PROCESS




                                                                  PHASES
                     Organisation Management                      0 - Programme Establishment
                                                                  1 - Project Initiation (Feasibility)
                                                                  2 - Project Planning
                                                                  3 - Project Construction
                                                                  4 – Project Completion
                  Phases 0, 1, 2, 3, 4 & 5                        5 – Programme Completion
              Organisation Programme Manager
           Consolidated Organisation Projects Report: 25th of
                               month



                      Phases 2, 3 & 4
             Implementing Agent Project Manager
                   IA Consolidated Report : 15th of month




                              Phases 2, 3 & 4
                              Principal Agent
                         Project Report : 10th of month




                                     Phase 3
                                    Contractor
                  Monthly Employment Report : 5th of month




5 REPORTING FORMAT

5.1     Management Reports

      The management reports of the Principal Agent, Project Manager (within the
      Implementing Agent) and Client Organisation Programme Manager will all follow a
      similar report format with reports being consolidations of the reporting from the level
      below. A similar report format will be used for each Phase of the project except that
      the milestones reported will be specific to the Phase.

3S01 Monitoring & Reporting Guidelines v4-0                                                 Page 7
   The monthly report format comprises three components namely:
     Written report (W) see Template 3T04;
     Project Tracking Schedule (PTS) see Template 3T03; and
     Activity Management Schedule (AMS) see Template 3T05, which are explained
       below.

    Over and above the monthly report, the Organisation Programme Manager also
    prepares a summary report for management comprising a consolidation the
    summary key milestone data for each project see Template 3T06.


    Written Reports (W) 3T04–The written report provides a summary of:
        progress for the month against defined milestones;
        financial progress (i.e. expenditure against budget and cash flow projection;
        physical progress once the project is in construction
        social impact i.e. local employment data once the project is in construction;
        problems encountered and the actions proposed to resolve the problems;
           and
        Information required which has an impact on undertaking the work at hand

    Project Tracking Schedule (PTS) 3T03 –
    This is an Excel- based schedule which tracks the following for each project:
        Project details (number, name, description, scope of work, service
           providers/Contractor name)
        Project budget and expenditure to date
        Project location (for GIS plotting)
        Project physical progress and problems encountered
        Project employment data
        Current status of the project

      Summary information from the PTS is abstracted to provide the summary
      information within the written report

    Activity Management Schedule (AMS) 3T05–
    This is an Excel- based schedule which lists all of the major activities and milestones
    which must be achieved within the Programme Establishment and within each
    project.
    For example:
        Project Feasibility complete;
        Funding approved for project Design;
        Design team appointed;
        Design complete;
        Project scope approved;
        Tender Award;
        Construction complete etc.
     Summary information from the AMS is abstracted to provide the summary
     information against key milestones within the Written report.

      The AMS tracks the planned completion dates for the key activities as well as the
      actual completion of the activity. The actual completion date for the activity can
      then be compared against the planned completion date in order to determine
3S01 Monitoring & Reporting Guidelines v4-0                                           Page 8
        whether the project is ahead or behind for each activity and what is the overall
        progress.
        The AMS provides a „Plan of Action” and a “monitoring mechanism”, all in one
        schedule which empowers the various levels of management to:
            Plan the project effectively
            Monitor progress against planned activities
            Formulate quickly corrective action to resolve delays and get back on
              Programme.


5.2     Summary Report for Management

The monthly report can be further summarised for presentation to senior management by
condensing the information to overall key milestones and expenditure. See template 3T06 for
the summary report format.

5.3     Contractors Report 4T14

      Organisations are not only concerned with the development of the infrastructure but
      are also interested in reporting the social impact of the project within the community
      by providing employment opportunities and thus building skills and experience within
      the local community during the construction of the facility. To this end, the Contractor
      is required to report on a monthly basis the community employment information
      including the amount paid as wages to the local community and the employment
      opportunities created for women, youth and men. The Contractors report must
      accompany the Contractors monthly payment claim. The Contractors report format is
      set down in Template 3T14 and comprises the following parts:
           Part 1 – Contractors Report cover page.
           Part 2 – Overall Project Worker Schedule: which lists all of the local
           community workers who have been employed on the project since the start of
           the project?
           Part 3 - Weekly Task Wage Register: which is to be used to record on a
           weekly basis the community workers who have worked on the project within that
           week?
           Part 4 – Local Labour Schedule: which consolidates the amount spent on
           community labour as well as the total number of community workers who have
           worked on the project?

5.4     Reporting Hierarchy

The flow of reporting and hierarchy of reporting up to the summary management report is set
down below in Figure 2.




3S01 Monitoring & Reporting Guidelines v4-0                                              Page 9
FIGURE 2 REPORTING FLOW & HIERARCHY




                                          3T06 Summary Report
                                          Status and Key
                                          Performance Indicators for
                                          all projects




                                   3T06 Summary project key performance
                                   indicators (expenditure, progress and
                                   milestones)



      Financial
      Management                     3T03 Project Tracking             3T05 Activity Management
                                     ScheduleProject data              Schedule
      System
                                     (financial, project details,      Status of all activities within
      Expenditure
                                     status, employment etc)           a phase
      against budget



                                          4T14 Employment
                                         Report
                                         Employment data for
                                         each project (Phase 3)




5.5    Use of Micro Soft Projects

Project Managers are encouraged to use MS Projects for more detailed reporting of activities
and to analyse the critical path within projects. However, the basic reporting proposed is within
Excel to facilitate universal usage and compact reporting. Data from MS Projects can be
imported into the Activity Management Schedule and vice versa.

5.6    Reporting Medium


        E-mail Reports
        Maximum use should be made of email to transmit the IA reports, in order to
        minimize paperwork and ensure that the information is provided electronically
        within the reporting chain.

        Hardcopy Reports are required from the Contractor and Principal Agent as
        these provide the data source for the entire reporting system.

3S01 Monitoring & Reporting Guidelines v4-0                                                        Page 10
6 MONITORING PERFORMANCE

6.1   Reviewing Performance

On the basis of a uniform reporting process described above the managers within the process
are empowered with simple tools which will enable them to review performance against key
milestones and deliverables. They can review progress measured against a baseline of what
was planned. They can review quality of services and construction, and deliverables achieved.
The key test is has quality been achieved in which quality is defined as:
“provision of the scope of work within the specified timeframe and within budget”
This can be summarised as the “4 R‟s or four rights i.e.
     the Right Job
     done Right
     within the Right Time and
     Right Budget.

6.2   Taking Corrective Action

Problem Definition & Corrective Action
On the basis of the information provided within the reports the managers will then be able to
determine what the problems are, what corrective action is required, who is responsible for
resolving the problem and can then set timeframes for resolving the problems.

Problem Resolution Management
Definition and management of resolving the problems commences with each level of
management from the Contractor, Principal Agent, IA project manager and finally to
Organisation Programme Manager.


6.3   Monitoring Compliance

Once the blockages/problems have been defined adequately then managers can monitor that
the problems and blockages have been adequately resolved i.e. ensure that the problem has
been effectively and efficiently dealt with and the attendant risk is minimised. Once problems
have been resolved this should be reported in the next monthly report and then removed from
the problems list once resolved.

7 EVALUATION

7.1   What is Evaluation?

Evaluation comprises the process of reviewing what has been done, and identifying weaknesses
on the basis of which improvements can be made both to the way the Programme is
implemented as well as individual projects. Evaluation provides a “feedback” loop to enable
continuous improvements.




3S01 Monitoring & Reporting Guidelines v4-0                                             Page 11
7.2   Types of Evaluation

Distinction needs to be made between internal evaluations i.e. by the various levels of
management within the Programme and external evaluations which are independent
assessments of the effectiveness of the Programme. Both types of evaluation are important.
Furthermore, evaluations can be either very focused e.g. evaluation of quality or of employment
or can be very broad covering the entire scope of development as well as resultant impact.


7.3   Internal Evaluations

The internal evaluations providing an opportunity for those involved in the Programme to stop
and take stock by evaluating honestly the work and formulate improvements. Those involved in
the Programme have first-hand experience and are often acutely aware of the weaknesses, and
therefore can identify them quickly. The problem with internal evaluations is that people tend to
be protective and biased towards self-interest and may not see (or want to see) the problems, as
they may in fact are the problem! Furthermore, being so close “to the coal face” they often
cannot see how the problems can be resolved.

This is why independent evaluations are necessary and important.

7.4   External Evaluations

External evaluations should be carefully planned in order for them to be effective. They are not
without their problems as well. In some instances because the evaluator does not fully
understand the work undertaken or circumstances he/she can make biased value judgements
not based on all the correct information.

The main problem with external evaluations is when should they be undertaken within the
Programme/Project cycle, often they occur too late in the Programme to be of any use in
bringing about improvements. Thus of critical importance is the scope and methodology of the
external evaluations and their timing i.e. what should be evaluated how and when.
Previous experience indicates that a number of focused “mini” evaluations has more value
added then large scale evaluations which tend to be “too big too late”.

7.5   Proposals for Evaluations

Within the Programme it is recommended that internal evaluations should be undertaken on at
least a 6-monthly basis in order for the managers involved to take stock and formulate rapidly
improvements.
External independent evaluations should be undertaken at least annually and should focus on
problem areas so that the impact on improvements is maximised. They should include a formal
feedback loop to the managers within the Programme both to clarify issues raised within the
evaluations and to provide the managers with insight into proposed improvements. The
evaluations (both internal and external) should always include formal appropriate and realistic
recommendations for improvements. Senior management should be held accountable to
seriously consider the recommendations, as part of performance review and implement
approved recommendations timeously, so that the Programme can benefit from the
improvements as soon as possible.

8 REPORT TEMPLATES
The following templates should be used for the monthly progress reporting:


3S01 Monitoring & Reporting Guidelines v4-0                                                Page 12
3T03 – Project Tracking Schedule (Excel)
3T04 – Written Report (Word)
3T05 – Activity Management Schedule (Excel)
3T06 - Summary Progress Report (Excel)
4T14 – Contractors Employment Report (Word)



These templates are contained in the Templates section of this module.




3S01 Monitoring & Reporting Guidelines v4-0                              Page 13

				
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