Supporting Templates
Post Implementation Review process
The recommended PIR process is outlined in the diagram below. The PIR process may vary depending on the specific circumstances of each project. Further detail on each step is provided following the figure.
The PIR process for Tier 1 and Tier 2 projects
Before the Post Implementation Review process commences
Before the process commences, the PIR Sponsor (the Executive Branch Manager of ICA for Tier 1 and selected Tier 2 projects or the Sponsoring Agency for most Tier 2 projects) should appoint a PIR Advisor who will be responsible for conducting the review. Refer to Roles and responsibilities of those involved in the PIR process table for a description of the roles and responsibilities in the PIR process.
The PIR Advisor who conducts the review must be independent from the Project Team. This is critical for objective identification and reporting of issues encountered and lessons learnt from these major projects. The PIR Advisor typically will be an external consultant (particularly for Tier 1 projects).
Step 1: Request project documents
The PIR Advisor should document a robust information gathering process that commences with a comprehensive list of all documents that are required.
The PIR Advisor should then develop the document request in collaboration with the PIR Coordinator and issue the request to the relevant document holders as early as possible. The PIR Coordinator is a separate role from the PIR Advisor and is typically someone from ICA (for Tier 1 and some Tier 2 projects) or the Sponsoring Agency (for most Tier 2 projects). Refer to Governance for further information. This approach will maximise the time for stakeholders to gather documents and provide immediate access to those documents that are readily available.
Some information may take time to obtain. The PIR Advisor should request these items early in the process to allow time for review and clarification as required. Additionally, documents received early in the PIR process can help to inform the design of the PIR interview questionnaires in Step 3.
The PIR Advisor may require the following background material to complete the review:
- Approved Business Case
- Business Case supporting appendices
- Business Case supporting documents including any feasibility study, risk management plan, economic analysis, communications strategy, etc.
- Documents necessary for measuring KPIs and objectives stated in the Business Case
- Documents relating to any sustainability assessments and reviews related to the project
- Risk Registers
- Functional Design Brief
- Final project capital cost
- Funding profile (budget approvals) and any subsequent changes to the profile
- Procurement Plan Minute
- Tender documents (provided to tenderers)
- Tender process documents (related to review, evaluation and award)
- Final design documents and draft design or sketch plans (if applicable)
- Executed contract and the results of value management processes or contract negotiations
- Notice of construction completion
- Issues log and progress reports
- Reports on stakeholders’ issues (e.g. complaint registers)
- Risk management assessments and reports
- Health and safety reports and files
- Steering Committee records
- Project Control Group minutes and other governance/management documents
- Project Financial Reports including:
- Appropriate Drawdowns
- Expenditure Reports
- Asset Capitalisation documents
- Any subsequent revaluation of the completed assets
- Other documents relevant to the project.
Step 2: Review and analyse documents
The PIR Advisor should conduct a detailed document review and analysis in conjunction with the PIR interviews. This step provides an important foundation for completing the review and determining the key PIR findings. The level of documents reviewed for each Evaluation Area (refer to Evaluation methodology) will vary based on the complexity of the project and identified areas specific to the project that warrant closer consideration.
Evaluation Questions are provided in Evaluation methodology section. The PIR Advisor should consider these questions and items as a basis to determine the content required to be covered in the review.
There are likely to be recurrent themes throughout the review that warrant closer consideration. This could result in additional document requests and/or requests for more detail on specific items.
Step 3: Post Implementation Review interviews
A critical component of the process is for the PIR Advisor to conduct interviews with individuals who had a role in the project. Interviews should occur with enough key individuals to get a comprehensive first-hand account of the full project lifecycle from planning through to asset completion and handover. The PIR Advisor also should conduct interviews with the project’s end users.
Stakeholders that should be interviewed as part of the PIR process can be both internal or external to Government, including advisors to Government and, if appropriate, the private sector partner undertaking the design and construction of the project. Where necessary, information and commentary provided will be treated as commercial-in-confidence to encourage candid discussion and frank and fearless advice and feedback.
A list of potential interviewees is provided below:
- Key members of the Project Team, including those involved in the project’s planning, the financial representative, Project Director and the project manager
- Business Case author and/or any other individuals with a key role in informing the underlying assumptions and project objectives
- Members of the Project Board or Executive Steering Committee (ESC)
- Members of the Project Review Committee (PRC), Risk and Change Management Committee (RCMC) or Project Control Group (PCG)
- Procurement Officer, where relevant
- Project Authorised Person (PAP), MPC or external, where relevant
- Project officer, MPC, where relevant
- Asset’s end users
- In some circumstances, it may also be appropriate to include those integral to the implementation of the project, such as the Contractor, Design team, ESD consultant, Independent Commissioning Agent, Building Services Engineering Review Consultant and others.
Step 4: Complete the Evaluation Matrix
The PIR Advisor should summarise the information gathered during the document review and populate the Evaluation Matrix (provided in the PIR Report template), which is used to develop the PIR Report. The PIR Advisor should use the information obtained in Step 2 and Step 3 to inform their completion of the Evaluation Matrix.
Step 5: Draft Post Implementation Review Report
The PIR Advisor should use the PIR Report template to develop the PIR Report. The PIR Report template provides further detail on the content to include within each report section. The length of the report and level of detail should be commensurate with the scope and complexity of the project.
Step 6: Follow-up Post Implementation Review interviews
The PIR Advisor may need to ask follow-up questions of PIR interviewees, request additional information and/or verify observations. The PIR Advisor may make a brief presentation of preliminary results to key PIR interviewees to confirm that the PIR evaluation results are an accurate reflection of project performance and outcomes.
Step 7: Finalise Post Implementation Review
Once completed, the PIR Coordinator should circulate the draft PIR Report for review and comment to the Steering Committee (refer to Governance section) and selected members of the Project Team.
A separate PIR Summary Report must also be prepared. The PIR Summary Report should contain the key findings, successes, improvement opportunities and lessons learnt, but not sensitive or commercial-in-confidence information (e.g. detailed stakeholder commentary).
Once the results have been agreed, the PIR Coordinator should work with the PIR Advisor to finalise both the PIR Report and PIR Summary Report.
The PIR Sponsor must then prepare a submission to ERC or the responsible Subcommittee of Cabinet to present the final PIR Report.
Information sharing
As the PIR Report and its attachments are a Cabinet document, it will not be published or circulated generally within Government. The PIR Summary Report is produced for this purpose.
Once the PIR Report has been considered by ERC, the PIR Sponsor should circulate the PIR Summary Report to relevant Business Units within Agencies who have an interest in the PIR, to ensure that the relevant outcomes of the PIR are incorporated into the Infrastructure Investment Lifecycle for other infrastructure investments.
ICA will maintain a database of all PIR Summary Reports, which will be available within government upon request. Key lessons learnt will also be incorporated in ICA’s provision of infrastructure advice. Opportunities for improvement to the Capital Framework identified through a PIR will also be considered by ICA.
Agencies should then apply these lessons appropriately across the entire Infrastructure Investment Lifecycle, starting at Stage 0 – Plan, to help improve future planning.
Timeframe and sequencing
The timing of the PIR for a Tier 1 or Tier 2 project will vary depending on the scope of the project, but it is generally recommended that the PIR process is commenced about 6-12 months after construction completion. The purpose of conducting the PIR after construction completion and commencement of operations is to ensure enough time has elapsed to show and assess the benefits, outputs and outcomes of the project once the asset is in operation. This also allows the early operating performance to be assessed.
Footnotes: