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Guidance on Managing a Residual Waste Treatment Contract

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Guidance on Managing a Residual Waste Treatment Contract GUIDANCE ON MANAGING A RESIDUAL WASTE TREATMENT CONTRACT: November 2016 Acknowledgements Cambridgeshire County Council, Cornwall Council, Cumbria County Council, Defra, East London Waste Authority, Infrastructure UK, Leeds City Council, North Yorkshire Council, Sharpe Pritchard Solicitors, Sheffield City Council, Suffolk County Council, and Wiltshire Council Guidance on managing a residual waste treatment contract 2 Glossary and abbreviations Term Meaning The Waste Disposal Authority entering into the Contract Authority with the Contractor A strategy setting out how the Authority will manage Communications Strategy internal and external communications regarding the Contract The contract between the Authority and the Contractor Contract for the design, construction, installation, operation and maintenance of the residual waste treatment facility The plan for managing what happens when the Contract Contract Expiry Plan expires, which amongst other things identifies the resources required The principal body within the Authority with responsibility Contract Management Board for overseeing the management of the Contract The document produced by the Authority which sets out Contract Management Manual the key processes to be followed within the Authority to ensure the Contract is managed effectively The named individual with overall responsibility for Contract Manager managing the Contract Management Team and reporting to the Contract Management Board A combination of core team members who manage the Contract Management Team Contract, and specialists who support the core team. The private sector company entering into the Contract Contractor with the Authority, which is normally a Special Purpose Vehicle Defra Department for the Environment, Food and Rural Affairs DPA Data Protection Act 1998 DRP Dispute Resolution Procedure EA Environment Agency EfW Energy from Waste EIR Environmental Information Regulations 2004 EPA Environmental Protection Act 1990 FBC Final Business Case FoI Freedom of Information Act 2000 GMT Guaranteed Minimum Tonnage HWRC Household Waste Recycling Centre IAA Inter-Authority Agreement IT Information Technology Local Partnerships Local Partnerships LLP Guidance on managing a residual waste treatment contract 3 Term Meaning LPA Local Planning Authority MoU Memorandum of Understanding MRF Materials Recovery Facility NGO Non-governmental organisation NNDR National Non Domestic Rates PFI Private Finance Initiative PI Professional Indemnity PID Project Initiation Document PPP Public Private Partnerships Pre-PB FBC Pre-Preferred Bidder Final Business Case RHI Renewable Heat Incentive ROC Renewable Obligation Certificate SAC Special Area of Conservation SoPC 4 Standardisation of PFI Contracts Version 41 SDP Service Delivery Plan SPV Special Purpose Vehicle SRO Senior Responsible Officer The period from Contract signature up to the end of the Transition Period second year of the operational period of the Contract A plan to identify, resource and timetable the tasks which Transition Plan need to be undertaken in the Transition Period Transfer of Undertakings (Protection of Employment) TUPE Regulations 2006 A Business Case produced by the Authority to support its Variation Business Case decision to agree a Revised Project Plan or any other major variation to the Contract Voluntary termination of the Contract by the Authority in Voluntary Termination accordance with Clause 73 of the WIDP Contract WCA Waste Collection Authority WDA Waste Disposal Authority Waste Infrastructure Credits (formerly known as PFI WI Credits Credits) WIDP Waste Infrastructure Delivery Programme The standard form residual waste treatment contract WIDP Contract published by WIDP in November 20102 1 SoPC4 is available online at the following link: http://webarchive.nationalarchives.gov.uk/20130129110402/http://www.hm- treasury.gov.uk/ppp_standardised_contracts.htm 2 The WIDP Contract is available online at the following link: Guidance on managing a residual waste treatment contract 4 Contents 1 INTRODUCTION ............................................................................................................ 14 1.1 The Purpose of the Guidance .................................................................................. 14 1.2 Contract Management ............................................................................................. 15 1.2.1 What is Contract Management? ....................................................................... 15 1.2.2 The Objectives of Contract Management ......................................................... 15 1.2.3 Why is Good Contract Management Important? .............................................. 16 1.3 Aspects of the Guidance ......................................................................................... 18 1.3.1 Scope of Guidance ........................................................................................... 18 1.3.2 The Relationship with the WIDP Contract and the Authority's Contract ........... 18 1.3.3 Key Themes in the Guidance ........................................................................... 18 1.3.4 Terminology in the Guidance ........................................................................... 19 1.3.5 Future Development of the Guidance .............................................................. 20 1.4 Other Support .......................................................................................................... 21 1.4.1 Support from Local Partnerships ...................................................................... 21 1.4.2 Direct Support from WIDP Transactors ............................................................ 21 1.4.3 Contract Management Reviews ....................................................................... 21 1.4.4 Training ............................................................................................................ 22 1.4.5 Network Group meetings .................................................................................. 22 1.5 Other Sources of Information and Support .............................................................. 22 1.5.1 In House Support ............................................................................................. 22 1.5.2 Local Partnerships ............................................................................................ 23 1.5.3 HM Treasury - Operational Taskforce .............................................................. 23 1.6 Explanation of the Structure of the Guidance .......................................................... 24 2 THE PRE-OPERATIONS PERIOD ................................................................................. 25 2.1 The Transition .......................................................................................................... 25 2.1.1 Introduction ....................................................................................................... 25 2.1.2 Project Managing the Transition ....................................................................... 27 2.1.3 Developing a Transition Plan ........................................................................... 28 2.1.4 Developing the Right Reporting Systems ......................................................... 29 2.1.5 Resourcing the Transition ................................................................................ 31 2.1.6 Budgeting for Contract Management ............................................................... 31 2.1.7 Project Governance During the Post Close Period .......................................... 34 2.1.8 The Contract Management Board .................................................................... 36 2.1.9 The Role of the Senior Responsible Officer (SRO) .......................................... 38 2.1.10 Risk and Issue Management ............................................................................ 40 http://webarchive.nationalarchives.gov.uk/20130822084033/http://www.defra.gov.uk/environment/was te/local-authorities/widp/ Guidance on managing a residual waste treatment contract 5 2.1.11 Quality Management ........................................................................................ 41 2.1.12 Producing the Contract Management Manual .................................................. 42 2.1.13 Key Dates and Time Limits in the Contract ...................................................... 45 2.1.14 Interface Issues ................................................................................................ 46 2.1.15 Lessons Learned Log ....................................................................................... 46 2.2 The Planning Period ................................................................................................ 47 2.2.1 Introduction ....................................................................................................... 47 2.2.2 The Contractor’s Role in Securing Planning Consent ...................................... 48 2.2.3 The Authority’s Role in Securing Planning Consent ........................................ 49 2.2.4 The Costs of Securing Planning Permission .................................................... 51 2.2.5 Resetting the Unitary Charge after Planning Delay ......................................... 52 2.2.6 Planning Delay and the Revised Project Plan .................................................. 52 2.2.7 Resource Impact of Planning Delay ................................................................
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