PAPER
C
Purpose
: for Decision
REPORT
TO THE EXECUTIVE
Date : 13 AUGUST 2003
Title : DOCUMENT
IMAGING / ELECTRONIC DOCUMENT MANAGEMENT
REPORT OF THE PORTFOLIO HOLDER FOR RESOURCES
IMPLEMENTATION DATE : 26 August 2003
1.
To seek approval and funding to
progress a corporate Document Imaging / Electronic Document Management project.
2.
The national Modernising
Government agenda set out the principle of building services around citizen’s
choices and making services more accessible to the public. The same agenda also set the target that all
services which are suitable for electronic provision must be provided by such
means by 2005.
3.
The Council responded to these
challenges by establishing the GAGS (Great Access to Great Services) project
approved by Full Council in February 2003 which sets out the vision of becoming
a truly customer centred organisation, together with four key supporting
principles:
-
80% of enquiries to be dealt
with at the point of first contact
-
all customer facing points to
be managed, and act, in a consistent way
-
a wide choice of contact
methods / all services available at all service points
-
where possible, information to
be captured once only and shared as appropriate
4.
In order to achieve this
vision, the Council needs to implement new mechanisms to capture, manage and
move information around the organisation efficiently and effectively so that
officers have the necessary information on hand to provide high quality
services to customers.
5.
The Document Imaging Processing
(DIP) / Electronic Document Management (EDM) solution proposed is a key enabler
of this and is a central part of the GAGS agenda to improve the efficiency and
effectiveness of the organisation.
6.
DIP / ERM systems provide a
number of different types of functions:
·
Document Image Processing (DIP)
is the electronic scanning and indexing of paper documents in such a way that
the documents can be easily retrieved and viewed on a computer screen. Document Image Processing is a critical
element of a digital authority and to achieve the overall vision it will be
necessary to introduce the technology across all parts of the authority.
·
Electronic Document Management
System (EDMS) stores documents electronically instead of in paper format. The exact format of storage is decided by
users and can be set up to replicate existing filing systems. An EDMS could in fact be referred to as an
Electronic Filing Cabinet. With all
documents stored electronically in a central location there is no longer any
need to retain large filing areas. Also
more than one person can access a document at the same time without the need
for a copy to be made.
·
Electronic Workflow (EW) is a
sophisticated method of working electronically which enables the manual and
automatic routing of pieces of work around the organisation according to
defined business rules. An example of EW
would be if a member of staff were to complete an electronic sickness form on
screen. The system can then be programmed to route this form to the line
manager for approval and, once approved, a copy can be sent simultaneously to
the relevant parts of the authority which in this case would be the payroll and
personnel departments.
·
Electronic Records Management
(ERM) enables the authority to share information collected about people,
property and businesses avoiding the inefficiency of duplication and multi
entry. ERM would allow the recall of
information instantly instead of via the lengthy current paper work process.
Retention and Disposal of all documents corporately would be managed by ERM.
·
Electronic Forms can collect
information electronically and automatically input it in to the appropriate
existing ICT Systems. An example of
this would be to enable people to submit Planning Applications online.
7.
In practice, this means that the organisation will be able to:
-
Scan, index store and retrieve
paper documents of all types
-
Access, update and archive
documents in a controlled and auditable manner
-
Reduce the amount of physical
paper flowing around the organisation
-
Reduce the amount of storage
space required
-
Always have immediate access to
relevant information
-
Manage information in a manner
which properly and fully complies with the requirements of the Data Protection
Act , the Freedom of Information Act and similar legislation
-
Implement electronic forms
-
Route information
electronically around the organisation according to pre-defined rules
-
Integrate information from back
office systems into web based services, for example to provide the public with
full on-line planning application information
-
Re-engineer business processes
into the new ‘front office - back office’ environment.
8.
The new system will be
implemented initially in the Planning Department and then rolled out across the
organisation. The council’s data networks need to be updated to support this
and the project allows for the procurement of new network switching equipment
and systems management facilities to support the operation of the DIP/EDM
system (and other anticipated systems such as the forthcoming Land and Property
Gazetteer and Customer Contact Management System).
9.
The proposals for this part of
the project are based on recommendations from an independent external
consultant (the NCC, formerly the government’s National Computing Centre).
10.
The national Modernising
Government agenda set out the principle of building services around citizen’s
choices and making services more accessible. The project is entirely consistent
with this.
11.
The national e-government
agenda set the target that all services which are suitable for electronic
provision must be provided by such means by 2005. The project is a crucial part
of the council’s response to this target.
12.
Successfully implementing an
EDMS will help move the Council towards its goal of being an excellent provider
of services by enabling the Council to develop a customer centred culture
through promoting better access to services.
This project will also enable the authority to re-engineer business
processes in a way which would not otherwise be possible.
13.
The implementation of a
corporate EDMS supports the Island Futures Community Strategy by helping
improve access to services. It will do this by allowing staff at all points of
enquiry access to information regarding all Council services. By doing this it will also help reduce
social exclusion based on such things as transport, communications etc.
14.
The project helps the IW
Council achieve the commitments listed in the Statement of Intent from the Isle of Wight Council, The Isle of Wight
Primary Care Trust and the Isle of Wight NHS Trust.
15.
The project was originally
proposed as part of the corporate ICT strategy and was subject at that time to
extensive consideration by both Members and officers. Further consultation has
taken place as the project has developed with Members, Directors, Heads of
Service, front line staff - especially in the Planning department, other
authorities, St Mary’s hospital, technical advisors and suppliers.
16.
During the project,
consultation has also taken place with the following;
DIP
Project Board consisting of
David
Price, Executive
Roger
Brown, Senior Supplier
Muriel
Miller, Senior User (Members)
Andrew
Ashcroft, Senior User
David
Hughes, Senior User
Sue
Thompson, Senior User
Caryl
Murphie, Senior User
IWC
Planning Department Management and relevant Officers
IWC
ICT Department Head, Networks and Software Development Managers, relevant
Department Officers
IWC
Property Services Department Management
IWC
GAGS Programme Board
IWC
Legal Services department
IWC
Finance & Business Services department
IWC
Audit Department
17.
Technical advice was purchased
from the NCC for both the DIP/EDM system and the supporting core network
upgrade.
18.
In a recent coincidental review
of DIP/EDM suppliers by SOCITM (the local authority of Society of IT Managers),
the Society concluded that the suppliers recommended in this proposal were the
clear leaders in terms of supplier performance, functionality and reliability.
19.
The project has taken account
of the potential needs of strategic partners such as the NHS Trust and the
Primary Care Trust as far as is reasonably possible at this and the proposed
system would be capable of meeting partner requirements subject to the procurement
of additional user licences, storage and processing power at the appropriate
time.
20.
The proposed solution will cost
£2.09m over five years, an average annual cost of around £418kpa. Of this,
£152k is covered by existing expenditure leaving a funding requirement of
£1.94m over five years as follows:
(a)
2003/04 - £507k
(b)
2004/05 - £473k
(c)
2005/06 - £416k
(d)
2006/07 - £287k
(e)
2007/08 - £257k
21.
These costs can be funded from
the strategic ICT budget that the Council may make from year to year.
22.
It should be noted that the
project consumes a significant portion of the overall GAGS budget that has been
made available to date and Members should be aware that the other major
projects which form part of the GAGS portfolio (call centre, land and property
gazetteer, contact management system) will require additional funding to the
tune of around £600kpa. However the Directors Group has committed to finance
the development over the five year life of the project. Decisions on these
issues will be sought from the Executive in September once the advice from an
external consultant is to hand.
23.
The project offers the
potential for significant financial savings although the extent to which these
will be genuinely cash releasing is not yet clear. Example efficiency gains
identified in the Business Case include:
-
Time saved in looking for /
retrieving documents £160kpa
-
Time saved in filing documents £166kpa
-
Telephone call back costs
avoided £90kpa
-
Photo copying avoided £30kpa
-
Not replacing Netware File
Servers £27k
24.
The extent to which it will be
possible to identify the eventual savings from the project is also questionable
as it is anticipated that the new system will be implemented for the most part
alongside other GAGS initiatives. Any
cash releasing benefits achieved are therefore likely to be due to a
combination of the enabling capacity of DIP / EDM technology and the business
process re-engineering that will be carried out as part of the front office /
back office shift.
25.
The Council will enter into a
formal contractual arrangement with a third party supplier for the procurement
of the proposed system. A contract for this purpose has already been negotiated
and approved by the Legal Department and implementation can begin as soon as
the project is approved.
26.
The recommendation supports the
improvement of delivery of a range of statutory functions in a manner
consistent with the duty to deliver continuous improvement.
27.
The power to incur expenditure
is contained within section 111 of the Local Government Act 1972 and part 1
Local Government Act 2000 in conjunction with the substantive powers and duties
creating the various functions of the Council.
28.
Option 1 - Do Nothing – If no
action were taken then paper work would continue to build up requiring an ever
increasing amount of money to be spent on storage. An increased percentage of files would be lost and the service
delivered to the public would decline in quality. Therefore this option is not recommended.
29.
Option 2 – Develop an in-house
solution. - Although the IW Council has an excellent software development
department (its work in developing the IW Councils website is widely agreed to
be outstanding) in order to develop an in house solution several additional
staff would need to be recruited specifically.
Given the increasing difficulties being experienced in attracting and
retaining staff this process may mean a delay of months or even years before a
suitable team is assembled. Therefore
this option is not recommended.
30.
Option 3 - To support the
Procurement of an Electronic Document Management System – Procuring an
accredited solution would enable the authority to implement and maintain an
Electronic Document Management System for use within the entire Council within
a relatively short timescale. In
addition the solution is currently successfully in use in a number of other
local authorities. The solution also
complies fully with Public Records Office requirements for Electronic Records
management.
31.
A comprehensive business case
has been prepared which covers these options in more detail and is available
from Corporate Services.
32.
Risk will be managed through
the standard PRINCE2 risk management methodology
33.
The risks associated with not
introducing Electronic Document Management include the following: -
(a)
Continually increasing risk of
loss of critical documentation due to such things as fire, theft, accidental
loss, flood or vandalism
(b)
Increased cost of renting or
procuring premises specifically for the retention of paper documents
(c)
Increasing amount of staff time
spent retrieving and filing paper documents
(d)
Inability to meet target of
resolving 80% enquiries at first point of contact
(e)
Possible undermining of GAGS
programme due to increased difficulty of providing back office information to
front office staff.
34.
The Council has reached the
point where it needs to make a series of step changes in the way it works if it
is to make the significant improvements in efficiency and service that are
anticipated by the central government Modernising Government agenda and by the
council’s own GAGS initiative.
35.
The efficient management of
information is a crucial part of this and the council will need to implement a
solution along these lines at some stage in the foreseeable future, if not at
the moment, in order to meet these central government expectations as well the
requirements of key legislation such as the Freedom of Information Act. The fit
with other aspects of the GAGS agenda mean that it is timely to implement the
system now.
36.
The option of buying in a
managed service was considered and rejected as inappropriate given the nature
of the council’s services and a comprehensive evaluation of the marketplace was
carried out. Of the twenty four companies that responded to the Statement of
Need, ten were long listed and three were short-listed, including the supplier
of the Revenues and Benefits Service DIP system.
37.
The preferred solution was
eventually chosen because :
-
It provides all of the
functionality specified in the Statement of Need
-
It offers the greatest fit with
other aspects of the GAGS agenda
-
It provides a full corporate
solution rather than a collection of departmental based solutions
-
It is the only solution to have
full Public Records Office approval
-
Reference sites were highly
supportive of the system
38.
The project team is therefore
confident that the proposed solution is right for the authority and that the
organisation has the necessary skills and capacity to implement the solution
successfully across the organisation.
39.
The system will be implemented
initially in the Planning Department and there is an extremely high level of
commitment to the project from that area. The department is committed both to
implementing the system and to re-engineering their working practices to take
advantage of it and this is expected to provide a model for rolling the system
out elsewhere.
|
RECOMMENDATIONS 40.
That the Head of
Organisational Development in consultation with the Portfolio Holder for
Resources and where appropriate with the GAGS Strategic Programme Board, is
given a specific delegation to purchase, implement and operate an Electronic
Document Management System and associate network improvements. 41.
That the costs of the
project, based on the projections set out in this report, be met from budgets
made available to the Head of Organisational Development for the purpose of strategic ICT development. |
42.
Business Case for Document
Image Processing Project
43.
DIP Business Case Review Report
– The NCC Group
44.
Isle of Wight Council; Network Core Performance report; NCC Global; May
2003.
45.
Implementing E Government Strategy
46.
Information Communications
Technology Strategy
47.
Department of Organisational
Development Service Plan (2003 – 2004)
48.
Community Strategy
49.
Statement of intent from the
Isle of Wight Council, The Isle of Wight Primary Care Trust and the Isle of
Wight Healthcare NHS Trust – 1ST July 2003
50.
Becoming an “Excellent” Council
– Our CPA Improvement Plan
Contact Point:
David Price, Head of Organisational
Development
Telephone
01983 823502
Email:
[email protected]
David
Martin, DIP Project Manager.
Telephone
01983 823332
Email:
[email protected]
Andrew
Ashcroft, Head of Planning Services
Telephone
01983 823556
Email:
[email protected]
Muriel
Miller Chairman of Development Control Committee
Email:
[email protected]
|
D PRICE Head of Organisational Development |
R R Barry Portfolio Holder for Resources |