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Waverley Borough Council Committee System - Committee Document

Meeting of the Executive held on 09/11/2006

Summary & Purpose
The purpose of this report is to inform members of progress to date with respect to the procurement of an Electronic Data and Records Management System (EDRMS).

Waverley Borough Council


[Wards Affected: All]

Note pursuant to Section 100B(5) of the Local Government Act 1972

An annexe to this report contains exempt information by virtue of which the public is likely to be excluded during the item to which the report relates, as specified in Paragraph 3 of the revised Part I of Schedule 12A to the Local Government Act 1972, namely:-

Information relating to the financial or business affairs of any particular person (including the authority holding that information).

Summary and purpose:

The purpose of this report is to inform members of progress to date with respect to the procurement of an Electronic Data and Records Management System (EDRMS).

Environmental implications:

The corporate implementation of an EDRMS would reduce the Council’s consumption of paper.

Social / community implications:

There are no direct social / community implications of implementing an EDRMS.

E-Government implications:

The implementation of an EDRMS would enable the delivery of a number of the ODPM’s priority outcomes for e-government including the adoption of ISO 15489 methodology for electronic document records management.

Resource and legal implications:

The implementation of an EDRMS would ensure compliance with Freedom of Information and Data Protection legislation. Capital provision for the procurement of an EDRMS has been made in the 2005/06 and 2006/07 capital programmes and draft provisions included in the capital programmes for 2007/08 and 2008/09.


1. At the meeting of the Executive on 4th April 2006, members received a report recommending the procurement of an EDRMS to address numerous issues concerning Waverley’s management of its information subject to officers:
consulting with its neighbouring Authorities and maintaining an awareness of their electronic data and records management strategies, particularly with respect to their records management standards and EDRMS application software;
undertaking a requirements study; and
giving initial priority, subject to the findings of the requirements study, to the management of the Council’s email and Microsoft Office files.

2. This report informs members of progress to date with respect to procuring an EDRMS and the change and communications management strategy that has been introduced to address the associated policies, procedures and standards that have to be put in place to ensure its successful implementation.

3. Members are reminded that because of the scale of the task and the lack of in-house expertise and experience in this specialist area, your officers went out to tender and selected Cimtech Ltd to review Waverley’s current work practices with respect to the management of information and to assist in drawing up the Council’s statement of requirements and advise on the potential suppliers of an EDRMS.


4. Waverley Borough Council is the custodian of a very considerable amount of information on all of its services, customers and citizens and about its financial, property and human resources. As such, the Council’s information is an extremely valuable resource in its own right that needs to be maintained and managed as efficiently and as effectively as any other of its assets.

5. As well as being managed efficiently and effectively, Waverley’s information needs also to be managed corporately. There are numerous drivers for adopting a standard corporate classification scheme that would be applied to all information for all services in all departments stored on all types of media. These are set out at Annexe 1.

6. Cimtech undertook a review of the Council’s current information management practices and identified a number of issues. These are also set out at Annexe 1.

7. In order to address the above it was agreed that the Council would implement:

A corporate classification scheme;
Policies and procedures for the management of documents and records
A corporate retention schedule; and
An Electronic Document and Records Management System to support the operation and enforcement of the above and deliver corporate control over electronic documents and paper records.

8. An officer project board has been set up, to oversee the implementation of the above, including the Director of Finance, Head of Corporate Services, Head of Personnel and Central Services and Head of IT. The project is being managed in accordance with the principles of PRINCE2.

Corporate Classification Scheme

9. Waverley intends to introduce a corporate classification scheme based upon the Local Government Classification Scheme (LGCS). The LGCS has been developed by the Local Government Group of the Records Management Society of Great Britain to support local authorities in the areas of Data Protection, Freedom of Information and the Local Government Act and to promote improved records management practices within local government.

10. The LGCS has a hierarchical structure with broad groupings of Local Government service areas at its highest level (e.g. Waste Management) each of which are subdivided at the next level down (e.g. Street Cleaning, Waste Collection, etc.) which are then further subdivided (e.g. Bulk, Domestic, Trade, etc.). As the LGCS has been developed to include all local government services, in all tiers, much of it does not apply to district councils. Further, at the third and fourth level the LGCS allows for a certain amount of adaptation in order that it might fit in with local ways of working.

11. A working group of officers has been set up to adopt and adapt the LGCS to satisfy Waverley’s requirements. This group will also be looking at how each service area will be able to migrate from its current local filing scheme to a corporate one.

12. Your officers are also in consultation with other local authorities, both locally and nationally, to learn from their experience of introducing a corporate classification scheme. The situation with respect to Waverley’s neighbouring Surrey Authorities is summarised at (Exempt) Annexe 2.

Policies and Procedures and Corporate Retention Schedule

13. The Information Rights Officer has drafted an Information Management Strategy for Waverley Borough Council and has drawn up an initial Corporate Retention Schedule. These are currently being reviewed as part of the change management strategy and in the light of the adoption of the LGCS.

14. The decision as to where responsibility for the review and dissemination of, compliance with and guidance on the policies and procedures should reside will be determined following the review of the Council’s management structure (see para 23 below).

Electronic Document and Records Management System

15. Your officers undertook a study of the Council’s requirements with respect to an EDRM system. As the Council has already addressed the issues surrounding the management of high volumes of paper records in some service areas by investing in Document Image Processing (notably the implementation of the Comino DIP system in Revenues and Benefits and Planning) the most pressing need was identified with respect to the management of information held in electronic format, in particular e-mails and MS-Office files.

16. Members are reminded that, in its Scoping Report, Cimtech Ltd identified that Council members and staff send 978,000 and receive 1,500,000 e-mails in total per annum and that currently an average of 1,233 MS-Office files are stored on the Council’s shared drives for each member of staff. All of this information is unstructured. The introduction of a system that delivered the procedures and standards required to impose the corporate management of this information would be an immediate “quick win” for the implementation of an EDRM system.

17. The implementation of an EDRMS has therefore been divided into three phases which are broadly:

Phase 1: The corporate management of information stored on e-mail and MS-Office files;

Phase 2: The introduction and corporate management of document images in service areas not currently supported by the Comino DIP system (including the scanning of all incoming correspondence and the move to the “less paper” office); and

Phase 3: Integration between the EDRM system and the Comino DIP system.

18. The current project deals with the implementation of the first phase (para.17.1). A statement of the Council’s functional requirements of an EDRM system has been produced. The Council advertised in the Official Journal of the European Union inviting expressions of interest in supplying an EDRM system. After evaluating Pre-Qualification Questionnaires from twenty suppliers six were short-listed and invited to respond to an Invitation to Tender. Details are given at Exempt Annexe 2. (A full copy of the Invitation to Tender and Statement of Requirement have been placed in the Members’ Room.)

19. A progress report on the evaluation of the Tenders received will be given at the meeting of the Executive.

Resource Implications

20. The Capital programme currently includes a draft provision of 280,000 over four years (2005/06 to 2008/09).

21. In adopting the phased approach outlined at para.17 above it will be possible to bring the levels of expenditure required to implement an EDRM system in line with the proposed capital programme. As stated in the previous report to Executive, although the phased approach will bring immediate efficiency gains (i.e. non-cashable savings) there is a risk that it will result in delays in realising cashable savings (as most of these relate to the storage and retrieval of paper records, i.e. the corporate introduction of DIP).

22. The cost of engaging specialist consultants has been built into the estimated project costs, but over and above this the implementation will require considerable input from IT Section and a group of officers to oversee the project and manage the resultant changes in procedures within each service area.

23. It will also be necessary to identify where responsibility will reside for corporate information management in general and the management of the EDRM system in particular. This will be addressed following the review of the Council’s management structure. Within the revised management structure it is anticipated that the strategic and corporate responsibilities for Information Management will become the responsibility of a Head of Service. An Information Manager will report to that Head of Service and be responsible for a number tasks including:
the day to day management and support of the EDRMS;
the maintenance of the Council’s Business Classification Scheme; and
the review, development and dissemination of and guidance on the Council’s Information Management, Strategy, Policy and Procedures.

24. The introduction of an EDRMS will affect the work practices of every member and officer who handles a paper document, an MS-Office file or an e-mail. To this end your officers have devised a change management and information strategy and have started the work of raising awareness amongst staff in the matter of Information Management, introducing them to the new Information Policies and Procedures and consulting them on the Corporate Classification Scheme.

Partnership working / Local Government Review

25. The adoption of the LGCS will support the Council’s working in partnership with other service providers as it is a national standard classification scheme for the public sector. As stated above, your officers are consulting with other local authorities on this.

26. Your officers are also consulting with other Local Authorities on which particular EDRMS suppliers they have chosen. Two of the software houses on Waverley’s shortlist ((Exempt) Annexe 2 again refers) supply EDRM systems to neighbouring Council’s in Surrey.


30. Work on the introduction of corporate document management and the selection and implementation of an EDRMS is progressing in line with a project timetable that will see the installation of the system in April 2007 and the rolling out to all staff of the new procedures in the second half of the next financial year.

31. A further progress report, including the submission of the Information Strategy and Policy for members’ approval, will be presented to the Executive early in 2007.


It is recommended that the report be noted.

Background Papers (DoF)

There are no background papers (as defined by Section 100D(5) of the Local Government Act 1972) relating to this report.


Name: Lawrence Heath Telephone: 01483 523084
E-mail: lheath@waverley.gov.uk

Name: Phil Tucker Telephone: 01483 523157
E-mail: ptucker@waverley.gov.uk