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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Page 3 of 16

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.

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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.