Post on 12-Mar-2018
Mobile & Flexible Working
In Regulatory Services
Project Initiation Document
ReGS Project PID
Purpose
This Project Initiation Document uses PRINCE2 project management methodology. It is designed to
provide a full and firm foundation for the implementation of the project.
Contents
1 Background ..................................................................................................................................... 1
2 Project Definition ............................................................................................................................. 2
2.1 Objectives ................................................................................................................................ 2
2.2 Scope ...................................................................................................................................... 2
2.3 Outline Project Deliverables and/or Desired Outcomes .......................................................... 3
2.4 Exclusions ............................................................................................................................... 3
2.5 Constraints .............................................................................................................................. 3
2.6 Interfaces ................................................................................................................................. 4
2.7 Assumptions ............................................................................................................................ 4
3 Project Management ....................................................................................................................... 5
3.1 Project Board ........................................................................................................................... 5
3.2 Project Board stage responsibilities ........................................................................................ 5
3.3 Organisation Structure ............................................................................................................. 7
3.4 Project Board Members ........................................................................................................... 8
3.5 Communications Plan ............................................................................................................ 13
3.6 Quality Plan ........................................................................................................................... 14
3.7 Controls ................................................................................................................................. 16
ReGS Project PID
Page 1 of 16
1 Background
Regulatory Services is the name given to a group of services that exist to ensure public and
environmental protection. The term covers a variety of local authority services, principally
enforcement, including:
Metrology
Petroleum and explosives
Consumer credit, advice and education
Product safety
Underage sales
Fair trading
Animal health and welfare
Food safety and standards including labelling, sampling and analysis
Food imports and exports
Health and safety at work
Alcohol and public entertainment licensing
Private sector housing enforcement and renewal
Street scene enforcement
Air, land and noise pollution control
These services are often grouped together within Environmental Health and/or Trading Standards
Departments. Staff delivering these important front line services tend to be office based and travel to
sites to undertake their inspection activity then return to the office to write up their activities and
prepare letters, reports, notices etc.
There is a national shortage of Environmental Health and Trading Standards Officers and many
authorities have to deliver services with reduced staffing resources as a result. This pressure
demands that existing officers are used efficiently and their capacity to make professional judgements
and give specialist advice is maximised through reduction in administration, travel and other non-
productive activity.
Officer activities and actions are routinely recorded electronically. To this end Flare Software
Systems Ltd (now under the name of Civica Public Protection Ltd) provide a versatile back office
management system in use by 200 local authorities. Typically, the system is used to record actions,
requests for service and programme inspection activity. The Civica APP (Flare) system has been
designed as a traditional desktop solution. Currently Civica Public Protection does not offer an off-
the-shelf mobile solution, although they have worked with several third party companies to implement
small, mobile solutions. Most such implementations have been docking solutions, rather than real
time, wireless. Discussions with Civica Public Protection have revealed a willingness to share
expertise and develop system enhancements.
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2 Project Definition
2.1 Objectives
Develop and implement technology solutions to enable mobile and flexible working across
specified functions
Re-engineer business processes and deliver widespread organisational and cultural change,
thereby increasing efficiency by a minimum of 10%
Provide a baseline for calculation of efficiency savings (for example a reduction in number of
office based desks) of any future mobile working projects
Improve service to businesses and citizens through instant deliverables such as on-site
provision of pertinent documentation e.g. inspection reports
2.2 Scope
This project is a partnership between Barnsley Metropolitan Borough Council and Sheffield City
Council. Within the two partner authorities, four service departments will be within scope:
Barnsley Regulatory Services (Environmental Protection, Consumer Protection, Licensing)
Barnsley Strategic Housing (Private Sector Housing Renewal and Regeneration)
Sheffield Environmental Regulation division (Environmental Protection, Food/Health and
Safety and Trading Standards)
Sheffield Private Sector Housing (Care and Support, Urban Renewal and Private Rented)
Specific functions that require a remote access solution that links with the Flare database include:
Food Hygiene inspections
General Enforcement Work (including elements of Environmental/Pollution Control, H&S,
Animal Health, Metrology and Food Standards Inspections)
Environmental Regulation (including Pest Control and Dog Wardens)
Licensing
Housing Renewal Inspections, Home Improvement Loans, Fitness Rating Scheme
Key system requirements include:
Ability to search Civica APP database for property histories and specific jobs and actions on
properties across such functions as trading standards and general enforcement work whilst
working remotely, adding actions and transferring data from and into the back office database
Ability to retrieve key property details and capture information, such as food hygiene
inspection notes, using e-scripts and to combine the two to generate relevant documentation,
such as inspection report letters and risk assessment sheets, which can be printed and left at
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the premises during the inspection. To enable key data from this to be sent back to Civica
APP to update the necessary action screens and property history
Sending and receiving of information in real time, manually when required or the data stored
and downloaded when connected to a broadband connection or back in the office
Jobs capable of being pushed out to officers and inspection reports produced and returned to
Civica APP (or relevant network areas)
2.3 Outline Project Deliverables and/or Desired Outcomes
Mobile enabled staff through provision of Tablet PC’s, PDA’s, SmartPhones
Fully enabled Home / Mobile / flexible working
Access to e-mail, calendar and corporate networks in “the field” and from home
Read/write access to back office from anywhere
Development of new systems integrating with back office to support on site inspection activity
Added functionality beyond access to back office e.g. front-end e-scripts to enable easier
recording of Food Hygiene Inspections and generation of documentation
On site printing of schedules, statutory notices, fixed penalty notices etc
“User Manuals” available to staff direct on their mobile device for user support “in the field”
Ability to design simple forms for use in the field and link them to the relative data fields within
the back office system remotely
2.4 Exclusions
Any other disciplines within Barnsley or Sheffield Services remit not listed in this PID
Creation of supporting mobile and flexible working policies (however, this project will inform
those responsible for the creation of such documentation)
Provision of new I.T Infrastructures e.g. corporate networks and any Electronic Document
Management Systems (however, the project will inform such future infrastructure
developments as mobile working becomes more prevalent in local government)
2.5 Constraints
2.5.1 Financial
Project has defined capital funding from external source (Regional Centre of Excellence), alongside
equivalent match funding from the two partner authorities. It is not anticipated that any additional
funding will be available to support this project. An initial pre-financing release of funds from the RCE
has been made for the project. Once all the stated outcomes in this PID are delivered across
prioritised areas, a second release of funds from the RCE is required, to enable further purchase of
equipment and consumables as required to further implement deliverables across a wider area within
Regulatory Services for both partner authorities.
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2.5.2 Legislative
The Project will work within current legislative requirements. Any changes to legislation during the
course of the project will be monitored and could impact deliverables, outcomes and approach.
2.5.3 Organisational
The Project will work within current organisational structures within both partner authorities. Any
changes to structures during the course of the project within either authority could impact
deliverables, outcomes and approach.
2.5.4 Resource
The project assumes availability of staff resource based on current establishments. Any changes that
effect available resource could impact deliverables, outcomes and approach. The project requires
internal and external technical solutions resource. Any reduction in availability of this may impact
upon the deliverables, outcomes and approach.
2.6 Interfaces
2.6.1 Customer
Currently no direct interface exists between Regulatory Services systems and either authority’s
customer facing systems. It is anticipated that both authorities will implement CRM systems in the
future, at which time this project would then need to consider interface solutions with corporate CRM.
2.6.2 Internal
The Civica APP system interfaces with Barnsley and Sheffield’s’ Corporate Networks and corporate
storage area systems.
2.6.3 Supplier
Kirona
Civica Authorities Public Protection (formerly known as Flare)
IT Hardware suppliers (e.g. Box Technologies)
External Network Providers (e.g. Orange)
2.7 Assumptions
The success of the project will be impacted if there are no supporting corporate policies which allow
flexibility in terms of how, where and when employees work. There is an assumption that these
supporting policies will be in place within each of the participating authorities, alongside the necessary
IT infrastructure.
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3 Project Management
As stated this project will be managed using PRINCE2 methods. This section of the PID defines,
roles, responsibilities and outlines appropriate organisational structures.
3.1 Project Board
The Project Board’s primary role is to take a high level view of Project progress against the
Implementation Plan, this will include:
Receive reports and exception from Project Management and Work Stream/Strands
Co-ordinate all individual elements of the Project
Manage inter-dependencies
Monitor, review and mitigate risks and issues
Sign-off key deliverables
The Project Board is responsible to the Regional Centre of Excellence (as major sponsor), as well as
Barnsley and Sheffield Councils’ Corporate Management and Cabinet. The Board has responsibility
for the overall direction and management of the Project, within the authority given by Corporate
Management and Cabinet (the Project Mandate). The Project Board approves all major plans and
authorises any major deviation from agreed Stage Plans. It signs off the completion of each stage as
well as authorises the start of the next stage. It ensures that required resources are committed and
arbitrates on any conflicts within the Project or negotiates a solution to any problems between the
Project and external bodies. In addition, it ratifies the appointment and responsibilities of the Project
Management Team and any delegation of its Project Assurance responsibilities. The Project Board
ensures that the Project is delivered within the agreed timeframe, to the agreed cost and to the
agreed quality standards. The Project Sponsor (Executive) is the key decision maker supported by
advice and commitments from others on the project team.
3.2 Project Board stage responsibilities
3.2.1 Beginning of the Project
Approve the start of the Project via acceptance of the Project Brief
Agree the definition of the roles and responsibilities required to perform the Project
Confirm with Project Management all project tolerances
Specify external constraints on the Project
Approve an accurate and satisfactory Project Initiation Document, including that it complies
with relevant standards and policies
Delegate any Project Assurance roles
Commit Project resources required by the next Stage Plan
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3.2.2 As Project progresses
Provide guidance and direction to the Project, ensuring it remains within specified constraints
Review each completed stage and approval of progress to the next stage
Review and approve Stage Plans and any Exception Plans
Ensure Board Members own one or more of the identified risks, as allocated at plan approval
Approve changes outside the agreed tolerances
Ensure compliance with Corporate Management instructions
Approve any appropriate interim project reports
3.2.3 At Project close
Assure that all products have been delivered
Assure that all Acceptance Criteria have been met
Approve the End Project Report, including Lessons Learned Report and the passage of
actions to appropriate group (e.g. Strategic IT or Technical Infrastructure Group)
Decide on the recommendations for follow-on actions and the passage of these to the
appropriate authorities
Approve, where appropriate, a Post- Project Review Plan
Notify project closure to the Regional Centre of Excellence, Corporate Management and
Cabinet Representation
The Project Board is ultimately responsible for assurance that the project remains on course to deliver
the desired benefits at the required quality to meet the defined project deliverables and desired
outcomes defined in the Project Initiation Document.
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3.3 Organisation Structure
The initial structure for managing the project is outlined in the diagram below. As the project develops
it is anticipated that the basic structure will remain as shown, but changes of individuals and
responsibilities to reflect the project demands may vary.
Regional Centre for Excellence
BMBC/SCC Cabinets
BMBC/SCC Corporate
Management Teams
NOMAD Forum
Department of Communities and Local Government Efficiency Team
BMBC/SCC Corporate
Management Team/Programme Board
ReGS Project SupportTechnical Support Officer x 2
Admin supportSupplier(s) Technical support
Food Hygiene
Organisational Change
General Enforcement
Environmental Regulation Licensing Private Sector
Housing
Proof of concept
Benefits Realisation
Technology and Integration
Workstreams
Project BoardSenior Supplier(s) Project Executive Senior User x2
Project Manager x2
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3.4 Project Board Members
The Project Board has an Executive, Senior User(s), Senior Supplier(s) and Project Manager(s).
3.4.1 Executive and Barnsley MBC Sponsor: Ken Eastwood
Key Role: “Own” the Business Case; Responsible for overall business assurance of the project.
Specific Responsibilities: Oversee development of Project Brief and Business Case
Ensure coherent project organisation structure and logical set of plans
Authorise customer expenditure and set stage tolerances
Monitor and control progress at a strategic level, continually reviewing the Business Case
Ensure proposed changes of scope, cost or timescale are checked against their possible
effects on the Business Case
Ensure risks are being tracked and mitigated
Brief Regional Centre of Excellence about project progress
Organise and Chair Project Board Meetings
Approve the End Project Report and Lessons Learned Report and ensure that any
outstanding issues are documented and passed on to the appropriate body
Approve sending of the project closure notification to the RCE
Ensure benefits have been realised by holding a post-project review and forward the results
to the RCE, and all partners
3.4.2 Sheffield CC Sponsor: Ian Ashmore
Key Role: Support the Business Case ensuring appropriateness and relevance to Sheffield City
Council to ensure project balance; Deputise for Executive if required.
Specific Responsibilities:
Contribute to development of Project Brief and Business Case
Support the Executive in completion of specific responsibilities in so far as they relate to
Sheffield City Council
Authorise expenditure within tolerances set by Executive
Continually review the Business Case from a Sheffield CC perspective
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3.4.3 Senior User(s): Chris Galley (SCC); Peter Hubbard/Simon Frow (BMBC)
Key Role: Responsible for the specification of needs of all who will use the final product(s), for user
liaison with the project team and for monitoring that the solution will meet those needs within the
constraints of the Business Case in terms of quality, functionality and ease of use. Commit user
resources and monitor products against requirements.
Specific Responsibilities:
Ensure desired outcome of the project is specified
Ensure progress towards the outcome required by the users remains consistent
Promote and maintain focus on the desired project outcome
Ensure that any user resources required for the project are made available
Approve Product Descriptions for those products that act as inputs of outputs (interim or final)
from the supplier function or will affect them directly
Ensure that the produces are signed off once completed
Prioritise and contribute use opinions on Project board decisions on whether to implement
recommendations on proposed changes
Resolve user requirements and priority conflicts
Provide the user view on Follow-on Action Recommendations
Brief and advise user management on all matters concerning the project
3.4.4 Senior Supplier(s): Kirona; Civica APP
Key Role: Represent interests of those designing, developing, facilitating, procuring, implementing
and possibly operating and maintaining the project products. Has accountability for the quality of
products delivered by the supplier, with authority to commit to acquire supplier resources.
Specific Responsibilities:
Agree objectives for supplier activities
Ensure progress towards the outcome remains consistent from the supplier perspective
Promote and maintain focus on desired project outcome from the point of view of supplier
management
Ensure that the supplier resources for the project are made available
Approve Product Descriptions for supplier products
Contribute supplier opinions on Project Board decisions on whether to implement
recommendations on proposed changes
Resolve supplier requirements and priority conflicts
Arbitrate on, and ensure resolution of, any supplier priority or resource conflicts
Brief non-technical management on supplier aspects of the project
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3.4.5 Project Manager(s): Laura Humphreys (BMBC); Gary Heane (SCC)
Key Role: Authority to run project day-to-day on behalf of the Project Board within constraints laid
down by board. Prime responsibility is to ensure the project produces the required products, to the
required standard and within the specified constraints of time and cost. Also responsible for the
project producing a result that is capable of achieving the benefits defined in the Business Case.
Specific Responsibilities:
Manage production of the required products
Direct and motivate the project team
Plan and monitor the project
Agree any delegation and use the Project Assurance roles required by the Project Board
Produce the Project Initiation Document
Prepare Project, Stage and Exception Plans in conjunction with Team Managers
Manage the risks, including the development of contingency plans
Take responsibility for overall progress and use of resources and initiate corrective action
Responsible for change control and any required configuration
Prepare and report to the Project Board through Highlight Reports and End Stage Reports
Liaise with the Project Board to assure the overall direction and integrity of the project
Agree technical and quality strategy with appropriate members of the Project Board
Prepare the Lessons Learned Report
Prepare any Follow-on Action Recommendations required
Prepare the End Project Report
Identify and obtain support and advice required for management, planning and control
Responsible for project administration
Liaise with any suppliers or account managers
May also perform Team Manager and Project Support roles
3.4.6 Project Team
The Project Team consists of the Project Board Members plus Project Support Officer(s), Work
stream Leaders and Teams; Project Support Officers and those employees who are charged with
delivering the project proof of concepts.
3.4.7 Project Support Technical: Steve Snell (BMBC); Tom Dodd (SCC); Supplier(s)
Specific Responsibilities:
Provision of technical solutions, advice and guidance to work stream leaders
Produce technical highlight reports for Project Board submission
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3.4.8 Project Support (Admin): To be agreed
Specific Responsibilities:
Administer change control
Set up and maintain project files
Establish document control procedures
Compile, copy and distribute all project management products
Collect actual data and forecasts
Update plans
Administer the quality review process
Administer Project Board meetings
Assist with the compilation of reports
Specialist expertise (e.g. training)
Creation of document library and operation of document control system
3.4.9 Board Meetings
Board Meetings, Chaired by the Project Executive and attended by the Project Board members are
designed to provide a forum for:
Discussing and agreeing the deliverables of the Project
Ensuring that Stakeholder interests in the Project are satisfied
Communicating Project progress
Ensuring those staff affected by Project are represented
Ensuring that the Change Management consequences of changing processes and structures
are discussed and agreed
Receiving highlight and exception reports
3.4.10 Project Assurance
Project Assurance covers all interests of the Project including business, user and supplier. The
following Project Assurance responsibilities are the responsibility of the Project Board:
Maintenance of thorough liaison throughout the Project between all involved in its delivery
User needs and expectations are being met or managed
Risks are being identified and controlled
Adherence to the Business Case
Assessment and reassessment of value-for-money
Fit with the overall corporate strategy
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The right people are being involved
An acceptable solution is being developed
The Project remains viable
The scope of the Project is not ‘creeping upwards’ unnoticed
Focus on the business need is maintained
Internal and external communications are working
Applicable standards are being use
Any legislative constraints are being observed
The needs of specialist interests (for example, Health and Safety) are being observed
Adherence to quality assurance standards
Any contractual arrangements have been properly entered into and are in accordance with
Standing Orders and Financial Regulations
Robust arrangements exist to monitor and report on the costs of the Project
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3.5 Communications Plan
The communications plan defines all parties with an interest in the Project and the means and
frequency of communication between them and the Project.
Com
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PID
Bus
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ase
Hig
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Pro
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Boa
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Exc
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Inte
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Interested party
05/0
6
11/0
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M1
M1
M1
AR
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12/0
6
04/0
7
04/0
7
RCE Y Y Y Y
Cabinet Y
CMT Y
Prog Board Y Y Y Y Y Y Y
Project Board O O Y O O Y Y Y O O O
NOMAD Forum Y Y Y
DCLG Y Y Y Y
Project Support Y O Y Y O O Y Y Y Y
Workstream Leads Y Y O Y Y O O O Y Y Y
Abbreviation Definition
M1 Produced monthly
AR Produced when issues arise or exceptions need recording as work progresses within the work streams
W1 Produced weekly
Y “Yes” i.e. interested party requires this communication
O “Owner” i.e. Interested party is responsible for producing and distributing this communication
Communication approach will be e-mail to all interested parties identified in the matrix above.
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3.6 Quality Plan
The Project Quality Plan defines how the project will meet stakeholder Quality expectations. It
identifies the techniques and standards to be used. The plan also identifies Quality responsibilities for
the project. Ultimately it is the responsibility of the Project Board to ensure that quality expectations
and acceptance criteria as defined below are met.
3.6.1 Quality Expectations
Within projects, quality is a question of identifying what it is about the project’s products or services
that make them fit for their purpose of satisfying stated needs. Projects should not rely on implied
needs. These lead to uncertainty and, as such, are of little use. Quality expectations could be
considered under a number of headings, such as: functional requirement; performance; practicability;
security; compatibility; reliability; maintainability; deployment capability; flexibility; clarity; comparison
to another product; cost; implementation date. Stakeholder expectations are primarily around
learning experience and efficiency gains from use of mobile working within Local Government.
Consequently, quality measures will largely be focussed on reports, statistics and benefits
statements, and quality expectations are therefore centred on performance and costs. An area of
particular importance for quality expectation is the deployment capability of the proof of concept.
3.6.2 Acceptance Criteria
The acceptance Criteria defines in measurable terms what must be done for the final outputs or
outcomes of the project to be acceptable to the stakeholders of the project:
Target Dates
Major Functions
Performance Levels
Capacity, Accuracy
Availability, Reliability
Development Cost
Running Costs
Security
Ease of Use
Timings
Criteria should be measurable. Each criterion should be individually realistic. The criteria as a group
should be collectively realistic, for example, high quality, early delivery and low costs may not go
together. The acceptance criteria should form a complete list of criteria to define what will constitute a
product acceptable to the major stakeholders.
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3.6.2.1 Criteria 1: Fully working e-script
Suitable evidence of meeting the acceptance criteria would include the ability to:
Input inspection findings directly into a user friendly “front office” system, independently from
the back office system
Produce documents on-site
Perform a full remote integration into the back office system, ensuring data is transferred
direct, with no double entry
3.6.2.2 Criteria 2: Fully working dashboard
Suitable evidence of meeting the acceptance criteria would include the ability for:
Officers to log in and out of a simple web page from home, office or site
Users to view other users’ work status at any time
The system to generate time sheets directly from recorded system details
A full range of panic and programmable alarms
SMS broadcasting to teams
Instant messaging to teams
GPS functionality
3.6.2.3 Criteria 3: General System deliverables
Suitable evidence of meeting the acceptance criteria would include the ability to remotely:
Access network files for viewing and updating
Send and receive e-mails
Access web pages and on-line statutory/professional documentation
Receive jobs and update the back office system with action taken
Access the back office system for updating and retrieval of information
Print documentation which meets the needs of the related work area
The sending and receiving of information shall be in real time, manually when required or the data
stored and then downloaded when connected to a broadband connection or back in the office.
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3.7 Controls
3.7.1 Project Level Reporting
The Project Managers will provide regular (monthly) highlight reports to the Project Executive. The
Project Board will meet at key milestone dates to review progress and to sign-off progression to the
next stage of the plan. These dates will be agreed between the Project Executive and Project
Managers and will be documented within the Project Plan.
3.7.2 Stakeholder Reporting
As detailed in the Communication Plan, the Project Executive will provide highlight reports to the
Regional Centre of Excellence at the end of key milestone events. Regular reporting within each
Council will take place through existing Corporate Management reporting structures.
3.7.3 Project Level Exception Process
Project and Stage Tolerances are to be agreed between the Project Executive and the Project
Managers and will be documented within the Project Initiation Document. The Project Managers will
instigate the Exception Process as soon as agreed tolerances are forecast to be exceeded and
cannot be rectified e.g. if the project costs are likely to increase dramatically or a deadline will not be
met. The Project Managers will complete an exception report and exception plan and present it to the
project board at an exception assessment.
3.7.4 Document Control
3.7.4.1 Change Process
The control, maintenance, publication and distribution of Project Initiation Documents are the
responsibility of the Project Managers. To facilitate continuing quality improvement, this document
will be subject to periodic review, to ensure that it reflects the current working practice. The document
review should consider the content and/or need for each section and determine if any changes or new
sections are required. When the document has been approved it will be lodged with the Project
Managers. In the event of amendments the document will not be re-issued. All names on the
circulation list will be notified that the document has changed.
3.7.4.2 Documentation Standards
This section is intended to provide a guide to the documentation standards and should be adhered to
for all internal and external communication when working on this Project. All documents will be dated,
titled, page numbered and referenced. All documents with the exception of correspondence will have
issue control (draft or final and version number). Only when a document has been reviewed and is
ready for formal distribution should it be given an issue number. When distributed, a list of recipients
will be recorded within the body of the document.