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www.rbkc.gov.uk Project Initiation Document Acolaid Implementation Project IEG Programme Purpose: The purpose of this document is to define the project, to form the basis for its management and the assessment of overall success. Issue Status: Author: Reviewed by: Authorised by:

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www.rbkc.gov.uk

Project Initiation Document

Acolaid Implementation Project

IEG Programme Purpose: The purpose of this document is to define the project, to form the

basis for its management and the assessment of overall success.

Issue Status: Author: Reviewed by: Authorised by:

Library Ref:

Royal Borough Acolaid Implementation of Kensington Date:

& Chelsea Project Initiation Document Issue:

10744 Page 3 of 33 Printed on:22/09/2015

Project Initiation Document History

Document Location This document is only valid on the day it was printed. The source of the document will be found on the Programme Library on the Intranet

Revision History

Date of this revision: 3rd June 2003 Date of Next revision:

Revision date

Previous revision date

Summary of Changes Changes marked

Approvals This document requires the following approvals. Signed approval forms are filed in the Management section of the project files.

Name Signature Title Date of Issue

Version

Distribution This document has been distributed to

Name Title Date of Issue

Version

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CONTENTS

PROJECT INITIATION DOCUMENT HISTORY ....................................................................... 3

DOCUMENT LOCATION .....................................................................................................................3

REVISION HISTORY ..........................................................................................................................3

APPROVALS ....................................................................................................................................3

DISTRIBUTION .................................................................................................................................3

1. BACKGROUND ................................................................................................................... 7

2. PROJECT DEFINITION ....................................................................................................... 8

2.1 PROJECT OBJECTIVES ...............................................................................................................8

2.2 PROJECT SCOPE .......................................................................................................................8

2.3 METHOD OF APPROACH .............................................................................................................8

2.4 PROJECT DELIVERABLES AND/OR DESIRED OUTCOMES ...............................................................8

2.5 EXCLUSIONS .............................................................................................................................9

2.6 CONSTRAINTS ...........................................................................................................................9

2.7 INTERFACES ..............................................................................................................................9

3. ASSUMPTIONS ................................................................................................................... 9

3.1 BUSINESS CONTINUITY ...........................................................................................................9

3.2 THE CORPORATE INFORMATION SYSTEMS STRATEGY ........................................................... 10

3.3 THE COUNCIL’S BRITISH STANDARD COMPLIANT CORPORATE LAND AND PROPERTY GAZETTEER10

3.4 THE ADOPTION OF AN OFF-THE-SHELF PACKAGE AND ‘TRUE’ WINDOWS SYSTEM ..................... 10

3.5 CHANGE MANAGEMENT ....................................................................................................... 10

3.6 DATA TRANSFER ................................................................................................................. 10

4. INITIAL BUSINESS CASE ................................................................................................. 10

5. PROJECT ORGANISATION STRUCTURE ...................................................................... 11

5.1 PROJECT BOARD .................................................................................................................... 11

5.2 PROJECT MANAGEMENT ROLES .............................................................................................. 13

5.3 PROJECT TEAMS ................................................................................................................. 13

5.4 PROJECT SUPPORT OFFICE .................................................................................................... 14

5.5 STRUCTURE DIAGRAM ............................................................................................................ 15

6. COMMUNICATIONS PLAN ........................................................................................... 16

7. PROJECT QUALITY PLAN ............................................................................................... 16

7.1 STANDARDS ........................................................................................................................... 16

7.2 KEY PRODUCT QUALITY CRITERIA ........................................................................................... 16

7.3 QUALITY CONTROL & AUDIT PROCESSES ................................................................................ 17

7.4 CHANGE MANAGEMENT PROCEDURES ..................................................................................... 17

7.5 CONFIGURATION MANAGEMENT PLAN...................................................................................... 17

7.6 TOOLS TO BE USED ................................................................................................................ 17

8. INITIAL PROJECT PLAN .................................................................................................. 17

8.1 PROJECT ACTIVITIES .............................................................................................................. 17

8.2 PLANNING CONSTRAINTS ........................................................................................................ 17

8.3 PROJECT PRODUCTS .............................................................................................................. 18

8.4 PROJECT RESOURCES ............................................................................................................ 19

8.5 PROJECT BUDGET .................................................................................................................. 20

9. PROJECT CONTROLS ..................................................................................................... 20

9.1 CONTROL EVENTS .................................................................................................................. 20

9.2 CONTROL PRODUCTS ............................................................................................................. 21

9.3 ADDITIONAL CONTROL MEETINGS ........................................................................................... 21

10. EXCEPTION PROCESS .................................................................................................. 21

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11. INITIAL RISK LOG ........................................................................................................... 21

12. CONTINGENCY PLANS .................................................................................................. 21

13. PROJECT FILING STRUCTURE .............................................................................. 22

APPENDIX A: PRINCE 2 CRITERIA FOR ASSESSING A PROJECT INITIATION DOCUMENT 23

APPENDIX B: PROJECT PLAN............................................................................................ 24

APPENDIX C: SIGN-OFF LETTER ........................................................................................ 25

APPENDIX D: PROJECT FILE INDEX ................................................................................. 26

APPENDIX E: PROJECT RISK LOG. ................................................................................... 27

ACOLAID PROJECT RISK LOG ............................................................................................ 27

PROJECT INITIATION DOCUMENT HISTORY ....................................................................... 3

DOCUMENT LOCATION .....................................................................................................................3

REVISION HISTORY ..........................................................................................................................3

APPROVALS ....................................................................................................................................3

DISTRIBUTION .................................................................................................................................3

1. BACKGROUND ................................................................................................................... 7

2. PROJECT DEFINITION ....................................................................................................... 8

2.1 PROJECT OBJECTIVES ...............................................................................................................8

2.2 PROJECT SCOPE .......................................................................................................................8

2.3 METHOD OF APPROACH .............................................................................................................8

2.4 PROJECT DELIVERABLES AND/OR DESIRED OUTCOMES ...............................................................8

2.5 EXCLUSIONS .............................................................................................................................9

2.6 CONSTRAINTS ...........................................................................................................................9

2.7 INTERFACES ..............................................................................................................................9

3. ASSUMPTIONS ................................................................................................................... 9

3.1 BUSINESS CONTINUITY ...........................................................................................................9

3.2 THE CORPORATE INFORMATION SYSTEMS STRATEGY ........................................................... 10

3.3 THE COUNCIL’S BRITISH STANDARD COMPLIANT CORPORATE LAND AND PROPERTY GAZETTEER10

3.4 THE ADOPTION OF AN OFF-THE-SHELF PACKAGE AND ‘TRUE’ WINDOWS SYSTEM ..................... 10

3.5 DEPARTMENTAL CHANGE MANAGEMENT .............................................................................. 10

3.6 DATA TRANSFER ................................................................................................................. 10

4. INITIAL BUSINESS CASE ................................................................................................. 10

5. PROJECT ORGANISATION STRUCTURE ...................................................................... 11

5.1 PROJECT BOARD .................................................................................................................... 11

5.2 PROJECT MANAGEMENT ROLES .......................................................................................... 13

5.3 PROJECT TEAMS ................................................................................................................. 13

5.4 PROJECT SUPPORT OFFICE................................................................................................. 14

5.5 STRUCTURE DIAGRAM ............................................................................................................ 15

6. COMMUNICATIONS PLAN ........................................................................................... 16

6.1 COUNCILLORS .................................................................................................................... 16

6.2 PROJECT BOARD ................................................................................................................ 16

6.3 PROJECT TEAM................................................................................................................... 16

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6.4 CORE PROJECT TEAM ......................................................................................................... 16

7. PROJECT QUALITY PLAN ............................................................................................... 16

7.1 STANDARDS ........................................................................................................................... 16

7.2 KEY PRODUCT QUALITY CRITERIA ........................................................................................... 16

7.3 QUALITY CONTROL & AUDIT PROCESSES ................................................................................ 17

7.4 CHANGE MANAGEMENT PROCEDURES ..................................................................................... 17

7.5 CONFIGURATION MANAGEMENT PLAN...................................................................................... 17

7.6 TOOLS TO BE USED ................................................................................................................ 17

8. INITIAL PROJECT PLAN .................................................................................................. 17

8.1 PROJECT ACTIVITIES .............................................................................................................. 17

8.2 PLANNING CONSTRAINTS ........................................................................................................ 17

8.3 PROJECT PRODUCTS .............................................................................................................. 18

8.4 PROJECT RESOURCES ............................................................................................................ 19

8.5 PROJECT BUDGET .................................................................................................................. 20

9. PROJECT CONTROLS ..................................................................................................... 20

9.1 CONTROL EVENTS .................................................................................................................. 20

9.2 CONTROL PRODUCTS ............................................................................................................. 21

9.3 ADDITIONAL CONTROL MEETINGS ........................................................................................... 21

10. EXCEPTION PROCESS .................................................................................................. 21

11. INITIAL RISK LOG ........................................................................................................... 21

12. CONTINGENCY PLANS .................................................................................................. 21

13. PROJECT FILING STRUCTURE .............................................................................. 22

APPENDIX A: PRINCE 2 CRITERIA FOR ASSESSING A PROJECT INITIATION DOCUMENT 23

APPENDIX B: PROJECT PLAN............................................................................................ 24

APPENDIX C: SIGN-OFF LETTER ........................................................................................ 25

APPENDIX D: PROJECT FILE INDEX ................................................................................. 26

APPENDIX E: PROJECT RISK LOG. ................................................................................... 27

ACOLAID PROJECT RISK LOG ............................................................................................ 27

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1. Background 1.1 A bespoke Environmental Health information system (EHIS) was developed

for the Directorate of Environmental Health by an in-house team of programmers. It was first deployed in the very early 1990s. Through the corresponding years EHIS became absolutely critical to the operational effectiveness of the Directorate.

1.2 Although EHIS was advanced 10 years ago it looked increasingly outdated, as

EHIS was not a Windows based system and was founded on an ADABAS database using the Natural programming language. Thus the ‘EHIS Replacement’ project was launched within Environmental Health in late 1996. However investigation of the market in 1997 concluded that the available packages were not sufficiently advanced. By Spring 2000 the Directorate’s managers had re-evaluated the national market and the conclusion was that these products had now matured sufficiently to justify moving ahead towards a formal tender.

1.3 In June 2000 an advertisement was placed in the Official Journal of the

European Communities seeking expressions of interest in providing a replacement system and tender documentation was prepared and dispatched to the interested companies. Tenders were received in August 2001 but of the five companies invited to tender only two submitted tenders. The process was revised from a restricted tender to a negotiated procedure and five Bids were received in November 200l. An evaluation process of written bid evaluation, technical presentations, scenario tests, references and business presentations was undertaken at the end of which a preferred supplier was nominated.

1.4 Detailed negotiations commenced in July 2002 with Plantech (the preferred

supplier). This covered contractual, technical, functional and project management matters. A detailed project plan and revised specification (Amendment Specification) and contract were agreed. A Best and Final Offer was produced in December 2002.

1.5 The Cabinet made a Key decision on the 27th March authorising the award of

the contract to Plantech and the contract documentation was produced and signed.

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2. Project Definition

2.1 Project Objectives

The aim of this project is the implementation of a true windows based Environmental Health Information System using an established and proven software package, for approximately 120 users within the Environmental Health Department. This will involve transferring data from the existing EHIS System and integrating the software with existing and proposed software. The project will also include the training of system administrators and all users of the system, prior to implementation to the entire department.

Business and service continuity is critical to the Department, as operations cannot function without a system in place, thus it is vital that the service and data must be protected and safeguarded at all times. Consultancy and related services have been sought from an external supplier (Plantech) to provide, install and implement this replacement information system and supply training, support and maintenance. As the data is in many cases of a sensitive nature a key element of the contract is to maintain confidentiality and ensuring that data is not compromised. Plantech will provide support services and maintenance provision beyond the final acceptance date of the system.

2.2 Project Scope The project entails the delivery and implementation of the packaged Acolaid system. Once the project is complete all the teams within the department will employ the system utilising the procedures, documents, reports and transferred data that will have been set up. The users will also be able to access stored documents, geographical data, e-mails and up to date corporate land and property data through interfaces with other Council systems. All users and system administrators will have been trained in the use of system. The completion of this will involve personnel from Plantech, Aspect (Document Imaging Company), ISD and Environmental Health.

2.3 Method of Approach

The method of approach is characterised as risk averse (see assumption 3.1). This is manifested in the degree of detailed negotiations with Plantech in setting the project plan and working up the detail of the Amendment Specification. The configuration of the units and the building of the interfaces within a test environment (that are tested comprehensively before rollout) are also used as a method of risk reduction. The users are cushioned from any adverse effects that any of the development might cause and thus only employ the system once it has been comprehensively tested. Although the project elapse-time increases, the risk to the user confidence and business continuity is minimised.

2.4 Project Deliverables and/or Desired Outcomes

The deliverables are described in terms of the main requirements that the project must produce. Further detail and description is in section 8.3 and associated documents of the Requirement Specification and the Amendment Specification.

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2.4.1 Project Plan that details each stage, with associated milestones and resources as indicated in Appendix B

2.4.2 Acolaid Test System 2.4.3 Acolaid User and Supervisor Manuals 2.4.4 Set up of Common Areas of Acolaid that cut across all functions 2.4.5 Data Transfer of data from the EHIS predecessor system and other related

data bases 2.4.6 Procedural set up each of the Business Units (Teams) 2.4.7 Interfaces to other Council systems 2.4.8 Development of Trading Standards unit, Licensing unit, Multiple Windows

functionality and Thin Client/ Performance Testing. 2.4.9 User Acceptance Tests 2.4.10 Live System Delivery 2.4.11 Implementation of the units to each of the operational teams 2.4.12 System maintenance and support

2.5 Exclusions

There are provisions for a number of elements listed in the specification that occur once handover of the system have occurred. These elements include remote data capture, archiving, linkage to One World and the documentation of any bespoke work that is off specification. These items although included within the contract shall be viewed as projects in their entirety commenced only once the main project is completed.

2.6 Constraints

The constraints are identified in the Contract documentation listed as associated documents.

2.7 Interfaces The key interface is with the IEG programme that Acolaid implementation forms a part of.

3. Assumptions (Described as Guiding Principles in previous documentation)

3.1 Business Continuity Due to the importance of EHIS within the department, environmental health managers have adopted an extremely risk-averse approach to its replacement. To ensure no loss of service, EHIS will only be replaced by a proven, tested system that officers know will perform at least as well as the current system. The current EHIS will not be switched off until Acolaid is tested and proven - even though that may entail a period of duplication in systems.

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3.2 The Corporate Information Systems Strategy Acolaid must fit into the Strategy’s vision of a centrally managed core infrastructure with a common platform and set of common tools used throughout the Council.

3.3 The Council’s British Standard compliant Corporate Land and Property Gazetteer Acolaid must use the nationally agreed unique property reference numbers for each property in the Royal Borough.

3.4 The adoption of an off-the-shelf package and ‘true’ Windows system Acolaid must not be a Windows front-end bolted onto an ADABAS database but is required to be a ‘true’ windows system.

3.5 Departmental Change Management The management team will actively lead the Directorate through this period of significant change as the adoption of Acolaid as a package solution will entail a significant adjustment of operational officers’ working practices. Officers will necessarily have to make some compromises and will need re-training.

3.6 Data Transfer There will be a careful evaluation of the precise data transfer requirements to ensure that money is not wasted on moving low priority data into the new system.

4. Initial Business Case The main business benefits that would be obtained from replacing EHIS are listed below: 4.1 Efficiency gains arising from full compatibility and integration with modern

Windows based systems such as Document Imaging and Workflow, mapping systems, Corporate Land and Property Gazetteer, working from remote sites and the use of mobile computers for field work.

4.2 Improved ease, extraction and analysis of information for managerial and

committee purposes. 4.3 More efficient completion of a whole range of statistics and government

returns for which the Directorate is responsible. 4.4 A reduction in the training demand and time; all officers already use a variety

of Windows based packages and find EHIS cumbersome, unfriendly and difficult to learn.

4.5 Routine availability of updates to the system to take account of any major

changes in legislation or in demands by statutory bodies for new or different information.

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Cost Benefit analysis to be included

5. Project Organisation Structure

5.1 Project Board 5.1.1 Role

The overall role of the Board is to oversee the direction and progress of the Project and to ensure that it fulfils the original stated aims through provision of the necessary advice and resources. The Board also retains overall responsibility.

5.1.2 Responsibilities

• To monitor and review the progress of the project and to sign off the completion of each stage and to authorise the commencement of the next stage. To oversee the future plans and to commit the necessary resources as required. To ensure any deviations to the plan are authorised or corrected

• To monitor expenditure against budget, authorise any deviations occurring and recommend remedial action if required

• To decide on matters raised by Project Team and to instruct on the recommended course of action

• To consider any legal implications and ensure that these are addressed within the project

• To handle the interface with the politicians

• To ratify the Project Initiation Document (including the roles and responsibilities and the business case) and to ensure the overall compliance of the Project with these documents through the lifetime of the project

• Monitors Project Assurance to ensure that the quality and parameters of the project are maintained

• To manage the impact of change in the department and authorise minimisation measures.

• To approve the final project report and any necessary actions.

The board has three specific areas of Executive, the Senior User and the Senior Supplier. 5.1.3 The Executive Role: -

Paul Morse –Director of Environmental Health This role is for the overall responsibility of the Project. This comprises the achievement of the expected goals and benefits, the financial status and the overall direction.

5.1.4 Responsibilities

• To provide leadership in the Project and to make the final decisions as necessary

• To ensure that the project fulfils the requirements of the business case and ongoing review occurs especially when any changes are requested

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• To maintain an overview of project progress ensuring the use of sound project plans, structure and methodology

• To take ownership of the control of risk including the authorisation of risk reduction measures

• To authorise payments as each end of stage is signed off. 5.1.5 Senior User Role

Tim Keay, Head of Environmental Health (Residential) Julie Monk, Head of Environmental Health (Commercial) The senior user role is to ensure that the needs and views of the users are represented on the Project Board. To provide leadership to the project and ensure that if a user consensus is not achieved a solution is found

5.1.6 Responsibilities

• Responsible for the needs of the EH users both within the Project Team and the wider department and to ensure that they are adequately catered for within the project. If necessary prioritise the user needs and make the required decisions on direction.

• Responsible for ensuring that the necessary resources are made available fro carrying out the project.

• To ensure that the required benefits to the users are delivered from the project

• To ensure business plans reflect the impact of the resourcing requirements of the project

• To ensure the Product Assurance monitors the product quality 5.1.7 Senior Supplier Role

David Tidey, Head of ISD, Imogen Ashcroft Head of Production, Plantech Role of representing those designing, developing and implementing the products of the project

5.1.8 Responsibilities

• To promote the situation of the supplier and to resolve any issues

• Brief non-technical members on the technical aspects of the project

• Ensure that resources are made available and that products are signed off

• To ensure that project assurance monitors the supplier quality 5.1.9 Project Assurance Role (present at Project Board)

Paul McDonald, Business Analyst Manager, ES Paul Duggan, Group Accountant, Group Finance invitation as required Steve Mariani, Senior Solicitor (Contracts) invitation as required To monitor the project and to ensure it compiles with the agreed principles, methods and aims. To report findings as required to the Project Manager, Team and Board

5.1.10 Responsibilities

• User needs and expectations are being met or managed

• To ensure that the risks are being controlled

• Monitor and report any changes or variances to the risk log, business case, financial control or scope to the Project Board as required

• To monitor that the Internal and external communications are working

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• Record all monitoring functions

5.2 Project Management Roles 5.2.1 Project Manager Role

Catherine Abery; Support Services Manager The role is to manage, coordinate and monitor the project involving all participants of the process including EH, ISD, Plantech and Aspect. To ensure that the project is successful so that it runs on time, within financial constraints and providing the agreed deliverables. To make the necessary decisions in conjunction with the project groups and to report to the Project Board and action their decisions as necessary.

5.2.2 Assistant Project Manager Role (Business Systems) Rada Tidey; Business Systems Unit Leader The role is to support the Project Manager’s role and to deputise where necessary. There is also the need to lead and deliver the delegated subprojects on target and to coordinate the necessary resources allocated to achieve the delegated tasks. The focus is on the system administration and continuity.

5.2.3 Assistant Project Manager Role (EH)

Steve Eckles; Noise and Nuisance and Pest Control Manager The role is to support the Project Manager’s role and to deputise where necessary. There is also the need to deliver the delegated subprojects on time and to coordinate the necessary resources to achieve the allocated tasks. The focus is on the EH technical elements of the project.

5.2.4 Project Manager ISD Roger Hindin; Systems Development Manager To coordinate the inputs from ISD as necessary and to provide the link to EH, and Plantech and provide technical advice as required.

5.2.5 Project Manager Plantech

Jackie Keyes; Environmental Health Project Manager To coordinate the inputs from Plantech as necessary and to provide the link to EH, and ISD and provide technical advice as required.

5.3 Project Teams 5.3.1 Project (Design) Team Role

All Project Managers; EH Team Managers and Elaine Bartram Operational Support Unit Leader; Steve Trudgeon, Business Systems Unit; Alex Vujatovic, Principal Accountancy Assistant; Matthew Castle, Special Projects Officer To monitor project progress and to make decisions relating to departmental-wide issues.

5.3.2 Responsibilities

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• To ratify decisions that relate to the implementation either for departmental or team issues as required.

• To provide resources for project completion through direct involvement or delegation of authority to the various working groups as made available by the Project Board

• To scrutinise the issues and actions logs and monitor project progress

• To identify issues occurring with project and raise awareness to Project Manager

• To put forward key issues to the Project Board for consideration and decision through the Project Manager

• To agree the finalisation of each stage ready for sign off by the Project Board

• To approve project reports before submission to the Board 5.3.3 Core Project Team Role

Consists of all Project Managers (including Assistant Project Managers) from EH, ISD and Plantech and specialist project support by seconded members of the operational teams as required (including permanent BSU input) The role is to coordinate the day-to-day work of the subgroups (such as data transfer, team set up etc). This group would be task focused to ensure that the relevant tasks are carried out including the production of the required reports.

5.3.4 Responsibility

• To ensure that the work is done consistently and to avoid divergence of directions in the subgroups

• To monitor and review task progression and agree remedial action

• To agree on practicalities of how tasks should be undertaken

• To raise issues for consideration to the Project Team, Plantech or ISD as required

5.3.4 Subproject Teams

Each of the deliverables within the plan will form the basis of smaller groups that will form as required to produce them.

5.4 Project Support Office Liz Jeffreys; Support Assistant The role to set up and maintain the project files including document control and quality procedures, project plans, team meetings documents, logs and to assist with the compilation of reports

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5.5 Structure Diagram

Project Assurance Including specialist input: - SSDD, Finance & Legal

Div 3 Asst. EH Project Manager

Div 2 Asst. EH Project Manager

Asst. Project Manager

ISD Project Manager

Project Manager Plantech

Key Member of core project team

Senior User

Senior Supplier –ISD & Plantech

Executive

6. Communications Plan

6.1 Councillors The Councillors are updated via the IEG programme report that is put forward to the Computer and Communications Advisory Group on a quarterly basis. This report contains a status summary, finance update and project plan. This update report is also given to the Cabinet Member for Environmental Health in addition to ad hoc updates given via the Board. The Project Board (Executive) provides the main channel for this communication.

6.2 Project Board The Project Manager updates the Board on a monthly basis. This is done through the use of a highlight report that indicates areas of exception and achievement and includes review of business case and risk log. Recommended remedial action sanctioned by the Board is then directed through the Project Manager.

6.3 Project Team The Project Team is updated on a fortnightly basis with recommendations and decisions being referred to Project Board, Project Manager and Core Project Team through use of the issues log.

6.4 Core Project Team The Core Project Team meets on a bi-weekly basis with recommendations for Project Board, Project Team and the individual sub groups being made. The basis for this is through the Checkpoint report.

7. Project Quality Plan

7.1 Standards The method of achieving quality within the project is set out in section 1-4 of the Schedule 4 within the tender documentation listed in the associated documents

7.2 Key Product Quality Criteria Each of the key products as described in section 2 of this document and as detailed in the Specification and Amendment Specification (see associated documents) have associated acceptance criteria that have been set in the Acceptance Testing Document (Schedule 4 section 4). Each test must be satisfactorily passed before the product can be deemed as being accepted and the stage signed off.

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7.3 Quality Control & Audit Processes Before the final acceptance of the system can occur a final acceptance and pilot user stage occurs to ensure that all elements have been completed to the required standard. The role of the Assurance function will be to ensure that these processes have occurred and that remedial measures have taken place before sign off at each stage.

7.4 Change Management Procedures The tolerances detailed below are to quantify when variations should be put to Board for authorisation so that the necessary action can take place. The levels of tolerance are: -

• If the duration of any stage varies either way by 10 working days

• If the cost of any stage varies by more than £1300 (2 days consultancy from Plantech)

• If any requirements are made that are not included in the Requirement Specification

With each exception detailed in the Exception Report there must be justifications, implications and recommended cause of actions for each item listed. This report must be authorised by the Project Board before continuation with the stage is permitted

7.5 Configuration Management Plan The configuration control is divided into two distinct areas namely software and documentation. 7.5.1 Software control is maintained through Plantech’s version control procedures. 7.5.2 Documentation control is maintained through the dated version of each

document held on the common server (L drive) by the Project Office

7.6 Tools to be Used N/A

8. Initial Project Plan See Appendix B

8.1 Project Activities Activities are the jobs implied with each of the project products and identify interdependencies. The key interdependencies are

8.2 Planning Constraints N/A

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8.3 Project Products The project products are further description of the deliverables identified in section 2.4 above, identified as stages with associated milestones in the plan. The deliverables are cross-referenced to the associated documents of the Requirement Specification and the Amendment Specification as agreed through negotiation with Plantech. Each deliverable is cross-referenced to the related area in these documents and is prefixed S (Requirement Specification – Schedule 2) or AS (Amendment Specification – Schedule 13) or MS (Method Statement – Schedule 8). These deliverables can be classified as per the project plan into the following: - 8.3.1 Project Plan see Appendix B 8.3.2 Acolaid Test System AS107 8.3.3 Acolaid User and Supervisor Manuals – S 8.3, 8.4, 17.2, AS 24, 25 8.3.4 Set up of Common Areas–

8.3.4.1 Security: - S 4.1 – S4.4, S16.1 –S16.4 & AS16, AS40-44 8.3.4.2 Property Details: - S5.1 S6.2 & S20.1- S20.2, S21.1 –S21.2, S22.2,

AS51, AS56, AS57, AS58, AS59 8.3.4.3 Searching: - AS18, AS50 8.3.4.4 User Help Screens Functionality: - S10.2, S18.1- 18.7 - 8.3.4.5 Audit Trail: -S19.1 –19.2, S19.5-19.6, S34.1 –34.3, AS52 –55 8.3.4.6 System Performance: -, S36.5, S36.6, S36.9 – S36.11, AS82, AS83,

AS84, AS85, AS86 8.3.4.7 Time Recording: - S7.3, S33.1

8.3.5 Data Transfer – S5.4, S27.1 – 27.3, AS64, MS section J 8.3.6 Procedural set up of the Units

8.3.6.1 Reporting: -S7.1, S7.5, S30.1, S30.3- S30.7, S32.2, AS 53, AS69-70

8.3.6.2 Statutory reports S31.1 – S31.2, AS 75 8.3.6.3 Performance Reporting S7.4, S35.1 8.3.6.4 Documents S24.2 - 24.3, S25.2, S26.1, S34.8 AS 60- 61, AS63 8.3.6.5 Environmental Quality Unit –S3.8 & AS13, 97 8.3.6.6 Pest Control - S 3 S10 & AS15 8.3.6.7 Licensing – S3.3 8.3.6.8 Events – S3.9 8.3.6.9 Trading Standards- S3.1 8.3.6.10 Food & Health & Safety – S3.4, S3.5, AS9 & 10 8.3.6.11 Housing – S3.2 and AS7 8.3.6.12 Noise & Nuisance S3.6 and AS 11 8.3.6.13 Complaints against the service – S3.7

8.3.7 Interfaces and Development 8.3.7.1 Corporate Land & Property Gazetteer interface –S2.0, S2.2, S12.1 –

S12.7, AS37, MS I6 8.3.7.2 GIS link to Arcview – AS3.0, AS97, MS I3 8.3.7.3 ACOLNET link 8.3.7.4 Document Imaging and Workflow (Eastman) link – S2.1, AS 62, MS

I3, 8.3.7.5 Outlook link - S11.1, S32.2 & AS 29, 78, 79

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8.3.7.6 Excel/ Word link – S 5.3, S10.1 AS 27 8.3.7.7 Development of Trading Standards module – AS6 8.3.7.8 Development of Licensing module –AS 3.3 8.3.7.9 Development of functionality of opening of multiple ‘case’ Windows

at any one time; - S 5.6 & AS106 8.3.7.10 Thin client testing and installation if recommended: -S36.1 S36.15,

S36.5, S36.6, S36.9 – S36.11, AS part 2 AS82, AS83, AS84, AS85, AS86

8.3.8 User Acceptance Tests/ Delivered system Schedule 4 8.3.9 User Training - MS Section L 8.3.10 Implementation of the units to each of the operational teams in turn. This is

accompanied by an associated data transfer – MS section K 8.3.10.1 EQU 8.3.10.2 Pest Control 8.3.10.3 Licensing 8.3.10.4 Events 8.3.10.5 Trading Standards 8.3.10.6 Food & Health & Safety 8.3.10.7 Housing 8.3.10.8 Noise & Nuisance 8.3.10.9 Complaints against the service

8.3.11 Handover of the system – MS section O & P

8.4 Project Resources The resources required are detailed within the project plan and are identified for each stage.

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8.5 Project Budget

2003/04

2004/05

2005/06 2006/07 2007/08 Total

One Off Costs £

£ £ £ £ £

Plantech 172,000 63,000 33,000 268,000

Hardware/Software 32,000 67,000 18,000 117,000

ISD 136,000 90,000 31,000 21,000 278,000

System Integration 37,000 37,000

Contingency 20,000 10,000 30,000

Total

377,000 240,000 92,000 21,000 730,000

Proposed Funding

R&R Fund 360,000 360,000

Capital Exp. Reserve 17,000 97,000 114,000

General Resources 143,000 92,000 21,000 256,000

Total

377,000 240,000 92,000 21,000 730,000

Maintenance Costs

Plantech 22,600 22,600 22,600 22,600 22,600 113,000

ISD 20,400 32,400 34,000 35,700 35,700 158,200

Other 8,000 8,000 8,000 8,000 32,000

Total

43,000 63,000 64,600 66,300 66,300 303,200

9. Project Controls

9.1 Control Events At the end of each stage an end of stage report is produced requesting authorisation from the Project Board for the stage to be signed off and for the following stage to be started. If an issue occurs that is outside the specification or tolerance set then an exception report is produced for the Board to authorise the required action.

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9.2 Control Products The key control products are the routine reports of the highlight and checkpoint reports used for communication between the project groups.

9.3 Additional Control Meetings A Project Assurance meeting occurs monthly with the Project Manager to monitor the running of the project.

10. Exception Process The Project Manager produces an Exception Report if any of the tolerances identified in 7.4 are exceeded or likely to be exceeded. The report is produced for the Project Board and reviewed on a monthly or ad hoc basis as necessary.

11. Initial Risk Log See Appendix E

12. Contingency Plans

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13. Project Filing Structure Files held on the Environmental Health server (‘L’ drive)

Correspondence evaluation process

Logs

Reports

Scoring

Supporting Documents

Team Minutes

Plantech meetings

Timetable

Board Minutes

Councillor decisions

Correspondence- preferred supplier

Implementation Data transfer

Evaluation

Implementation Planning

EHIS replacement

Implementation

Core project team

Project team

Planning

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Appendix A: Prince 2 Criteria for Assessing a Project Initiation Document

• Does the document correctly represent the Project?

• Does it show a viable, achievable Project which is in line with corporate strategy?

• Is the Project organisation structure complete, with names and titles?

• Have all the roles been considered?

• Does it clearly show a control, reporting and direction regime which is implementable, and appropriate to the scale, business risk and business importance of the Project?

• Is the Project organisation structure backed up by agreed and signed job definitions?

• Are the relationships and lines of authority clear?

• Does the Project organisation structure need to say to whom the Project Board reports?

• Do the controls cover the needs of the Project Board, Project Manager and Project Managers?

• Do the controls satisfy any delegated assurance requirements?

• Is it clear who will administer each control?

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Appendix B: Project Plan

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Appendix C: Sign-Off Letter

Sign-Off Letter If you have been sent this document for sign-off, please complete the following note, sign and return a photocopy to the issuer within seven days of receipt. To: Name of Person who should sign-off this document. Address of Persion who should sign-off this document.

PROJECT INITIATION DOCUMENT

I have reviewed the above document.

• I accept the document’s contents as correct and sign it off.

• * I accept the document’s contents as correct and sign it off, subject to the attached comments.

• I do not accept the document’s content and cannot sign it off. or other comments as appropriate.

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Appendix D: Project File Index

Appendix E: Project Risk Log.

Acolaid Project Risk Log

Project: EHIS2000 (risks relating to the

implementation of Acolaid since selection of contractor)

Probability of problems 1 = Very unlikely 2 = unlikely/remote 3 = possibly may happen 4 = likely 5 = very likely/certain

Impact of problem occurring 1 = no impact to service 2 = minor disruption 3 = concern 4 = issue 5 = major issue

Ref

Risk

Prob.

Impa

ct

Risk

Owner Actions taken to mitigate risk Status/ Future Actions

1. Inadequate Response times – having to accept Plantech’s offer of lower standards, that would not be accepted by the users and hence jeopardise the acceptance of the system.

3 5 15 EH/ISD Model for system performance measurement agreed by Plantech. Option for adopting thin client also inbuilt in project plan if required to improve response times.

To be reviewed at thin/fat client stage of plan.

2. Lack of Acolaid Audit trial – Reliance on ISD provision and at additional cost.

2 3 6 ISD ISD to provide service for constructing audit log (service excluded from project). Re assessment of audit options to be made at an early stage

Detailed specification required for audit log and detailed cost by ISD.

3. Suitability of Training – The availability of EH resources to ensure that training is relevant and accepted by the users.

2 4 8 EH BSU and one officer per division to carry out training. This is to ensure relevance of training to the department

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Acolaid Project Risk Log

Project: EHIS2000 (risks relating to the

implementation of Acolaid since selection of contractor)

Probability of problems 1 = Very unlikely 2 = unlikely/remote 3 = possibly may happen 4 = likely 5 = very likely/certain

Impact of problem occurring 1 = no impact to service 2 = minor disruption 3 = concern 4 = issue 5 = major issue

Ref

Risk

Prob.

Impa

ct

Risk

Owner Actions taken to mitigate risk Status/ Future Actions

4. Cost Escalation- with additional features, hardware and extra officer time required.

3 5 15 EH Cost breakdown including ISD costs provided and from quotation from Aspect.

Fluctuations from cost provisions & estimates need to be closely monitored. Cost report to be submitted to Board monthly

5. Payment for TS & Licensing Development – the risk of failing to reach agreement on the payment of TS & Licensing in advance of its existence.

3 2 6 EH Retention scheme in place to retain one ninth of licence fees in addition to the ten % retained on all parts of the project. (i.e. until 3 months after rollout)

6. User Expectations Functionality shortfall Length of timetable Lack of some elements at rollout (e.g. remote data capture)

3 3 9 EH Address system change justification and timetable to users. Possible assistance from Steve Bushnell & Terry Ward to communicate their experiences of system change.

Need to maintain user momentum & commitment over 21 month implementation programme

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Acolaid Project Risk Log

Project: EHIS2000 (risks relating to the

implementation of Acolaid since selection of contractor)

Probability of problems 1 = Very unlikely 2 = unlikely/remote 3 = possibly may happen 4 = likely 5 = very likely/certain

Impact of problem occurring 1 = no impact to service 2 = minor disruption 3 = concern 4 = issue 5 = major issue

Ref

Risk

Prob.

Impa

ct

Risk

Owner Actions taken to mitigate risk Status/ Future Actions

7. Multiple Windows – lack of functionality due to performance issues and the detrimental effect on the provision of services and user acceptance.

4 5 20 EH Draw up specification at an early stage Requires Detailed Business specification and close monitoring

8. Poor Search Response Time Effect that this has on the users due to heavy reliance on this feature for carrying out routine work

3 4 12 EH On recent interrogation Planning enjoys good response times Agreed and embedded key response times into the negotiated contract. Method of measurement agreed in advance with Plantech. Option of restricting the number of search criteria.

Assessment of key fields used for searching requires assessment during set up.

9. Reliance on ACOLNET by Plantech for future developments – How RBKC deals with future needs when Acolnet is seen as non-compliant with corporate standards.

3 3 9 ISD No commitment to ACOLNET given by RBKC apart from the level of facility that is given free of charge and that has only limited functionality Utilise ISD for provision of this requirement. Risk is then related to ISD provision only.

Monitor development of Acolaid and the relative importance of ACOLNET

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Acolaid Project Risk Log

Project: EHIS2000 (risks relating to the

implementation of Acolaid since selection of contractor)

Probability of problems 1 = Very unlikely 2 = unlikely/remote 3 = possibly may happen 4 = likely 5 = very likely/certain

Impact of problem occurring 1 = no impact to service 2 = minor disruption 3 = concern 4 = issue 5 = major issue

Ref

Risk

Prob.

Impa

ct

Risk

Owner Actions taken to mitigate risk Status/ Future Actions

10. Document generation set up complexity and use of Word –

1. migration of documents 2. process of document

generation.

3 3 9 EH 1. Explanation of document generator/ dips options made in general terms and incorporated into the contract

2. Migration (issue only relevant at outset of the project).

3. Quotation and proposal received from Aspect on how to tackle work.

Close assessment of migration and impact on timescale

11. Lack of previous experience of Interfaces/integration – The level of success and resource requirement needed by Plantech to achieve the interfaces. The credibility of the project if key interfaces do not work as required.

2 4 8 EH Deferred interface with some of the systems (One World; food training db) The extensive testing of the linkages before acceptance and transfer to the live system.

12. Complexity of the Reporting Tool –The users expectations are not fulfilled due to training need and time requirement.

2 3 6 EH Management of user expectations. The incorporation of the Corporate Project on this issue. Raising the implications of the reporting tool in the project team to assist in explanation and preparation on this issue

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Acolaid Project Risk Log

Project: EHIS2000 (risks relating to the

implementation of Acolaid since selection of contractor)

Probability of problems 1 = Very unlikely 2 = unlikely/remote 3 = possibly may happen 4 = likely 5 = very likely/certain

Impact of problem occurring 1 = no impact to service 2 = minor disruption 3 = concern 4 = issue 5 = major issue

Ref

Risk

Prob.

Impa

ct

Risk

Owner Actions taken to mitigate risk Status/ Future Actions

13. Project Management Continuity Gap at Project transition from negotiations to planning Lack of understanding of project complexity Heavy reliance on a few key staff for the project and general lack of Plantech resources risk that plan will be modified to reflect their previous experience rather than RBKC requirements

3 3 9 Neg Team

Enshrined the project implementation plan within the contract documentation and received BAFO on that basis. Initial Project planning meeting with Plantech used to assess level of knowledge transfer to key personnel.

Scrutinise the performance of Plantech’s project management staff and develop fallback strategy. Monitor the amendments that are made to the plan throughout the project. Introduction of new Project Manager specialist in EH rather than original data transfer specialist

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Acolaid Project Risk Log

Project: EHIS2000 (risks relating to the

implementation of Acolaid since selection of contractor)

Probability of problems 1 = Very unlikely 2 = unlikely/remote 3 = possibly may happen 4 = likely 5 = very likely/certain

Impact of problem occurring 1 = no impact to service 2 = minor disruption 3 = concern 4 = issue 5 = major issue

Ref

Risk

Prob.

Impa

ct

Risk

Owner Actions taken to mitigate risk Status/ Future Actions

14. Data Transfer Difficulties with the transfer of data adversely affecting the planned schedule. Inability to match part of EHIS data structure to Acolaid

2 2

4 3

8 6

Project Team

Implementation plan constructed to allow considerable testing extensive ISD involvement reconciliation of transferred data test system development

15. Technical risks (deployment of new technology, future commitment to products, lack of experience with product.)

2 5 10 EH Monitor Delphi ‘s future

16. Application Support (on-going support to application requiring specialist personnel)

1 5 5 EH Bond option not exercised. Source code will be held under an escrow agreement by RBKC. (source code held by RBKC)

Establish separate SLA with ISD for DBA, backups etc

17. Business Fit Inappropriate processes forced upon EH

2 4 8 EH Flexibility of Acolaid should enable most requirements to be met. Changes need to be requested via UG.

Review of TS & Licensing development to assess level of other site influence on change

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Acolaid Project Risk Log

Project: EHIS2000 (risks relating to the

implementation of Acolaid since selection of contractor)

Probability of problems 1 = Very unlikely 2 = unlikely/remote 3 = possibly may happen 4 = likely 5 = very likely/certain

Impact of problem occurring 1 = no impact to service 2 = minor disruption 3 = concern 4 = issue 5 = major issue

Ref

Risk

Prob.

Impa

ct

Risk

Owner Actions taken to mitigate risk Status/ Future Actions

18. Business Continuity Interruption of longer than 1 hour the delivery of EH’s services due to a failure of the application, hardware or infrastructure

2 5 10 ISD Risk level is subject to the BC option adopted including Testing environment. Use of corporate cluster with associated back up?