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 4T14........................................................................................................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
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7.4 External Evaluations.............................................................................................................12 7.5 Proposals for Evaluations.....................................................................................................12 8 REPORT TEMPLATES.................................................................................................12

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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 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 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) Implementing Agent (IA) The organisation responsible for implementing the project on Development Management The management of the entire project cycle from project

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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 WSee Project Tracking Schedule Written report see Template 3T11 The procedures and activities required to manage the projects

Work Process

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MONITORING AND REPORTING GUIDELINES WITHIN DEVELOPMENT PROJECTS 1 INTRODUCTION

THE

INFRASTRUCTURE

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

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4.2 4.2.1

Project Delivery 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.

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FIGURE 1 REPORTING PROCESS

Organisation Management

Phases 0, 1, 2, 3, 4 & 5 Organisation Programme Manager

Consolidated Organisation Projects Report: 25th of month

PHASES 0 - Programme Establishment 1 - Project Initiation (Feasibility) 2 - Project Planning 3 - Project Construction 4 Project Completion 5 Programme Completion

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.
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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) 3T04The 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.

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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 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.

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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 System

Expenditure against budget

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

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.
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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 Rs 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.

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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:

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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.

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